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--- holdings_statement_syntax_for_hol_records [2010/03/15 20:13]
ldegozzaldi
+++ holdings_statement_syntax_for_hol_records [2020/07/22 18:30]
annk [Enumeration]
@@ Line 1: / Line 1: @@
-====== Holdings Statement Syntax for HOL Records \\ ======
+====== HISTORICAL WORKFLOW UNDER REVIEW / DO NOT USE AT THIS TIME ======
+July 2020
+--- //[[annk@umass.edu|Contact: Ann Kardos]]//
-===== Introduction =====
+====== Serials Workflow: Holdings Statement Construction ======
-==== Updated holdings format ====
+===== Introduction to MARC 866 =====
-In Aleph, the holdings statement for serials and periodicals is recorded in the 866 field.  Previously, UMass holdings statements did not include enumeration captions and used brackets to indicate incomplete volumes.  We are now trying to convert these holdings statements into a more standard format using enumeration captions and inserting incomplete gaps, which we believe will be easier for patrons to understand, and to conform to ANSI/NISO practice, which may be more easily transferred to other systems/LHR's, World Cat Local?
+The holdings statement for serials is recorded in the 866 field. All holdings statements require indicators 41 in the 866 field. For information on this field and indicator definitions, please see the Library of Congress MARC documentation for textual holdings at [[https://www.loc.gov/marc/holdings/hd866868.html]].
-==== 866 indicators ====
+===== Enumeration =====
-All holdings statements with updated formats should include the indicators 41 in the 866 field.  The first indicator "4" indicates Holdings Level 4, which includes 2nd level enumeration details.  The second indicator "1" specifies that the holdings statement is ANSI Z39.44 or ANSI/NISO Z39.57.
+Do not capitalize enumeration abbreviations. Add year when present on the piece (not necessarily the publication date). The full form of the year is used, entered in parentheses. For combined years, both years are entered with a slash between. For a publication which uses both numbers and months as 2nd-level enumeration, numbers are preferred, unless the serial uses only months in their numbering. Enter the month as it is shown on the piece. Exception: For Depository materials, use June, July, and Sept per Five College Policy agreement.
-===== Caption designations =====
+NOTE: For **non-English language** serials, always use the abbreviations for the foreign term that is on the piece, such as tome, band or fascicle.
-==== Enumeration ====
+Enumerations used in holdings statements include, but may not be limited to:
-NOTE: For **foreign** serials and periodicals, UMass practice is to use “v.” and “no.” for designations such as tome and fascicle, though for monographs, we use the abbreviations for the foreign terms.  Otherwise, we try to follow the enumeration and chronology designations present on the piece.
+  * v. (volume)
+  * no. (number)
+  * pt. (part)
+  * fasc. (fascicle)
+  * t. (tome)
+  * bd. (band)
-Enumerations used in holdings statements include:
+Example simple enumeration statements:
-  * v. (for volume)
+  * 866 41 $a v.3:no.1 (1980), v.3:no.3 (1980)-v.10 (1987)
-  * no. (for number)
+  * 866 41 $a bd.243-bd.250
-  * pt. (for part)
+  * 866 41 $a v.1:pt.3 (2015)-v.4:pt.4 (2019)
-  * --st, --nd, --th (for ordinal numbers)
+  * 866 41 $a v.3:Feb (2001)-v.3:Dec (2001)
-  * ed. (for edition)
-When 2nd level enumeration must be entered, for example, to indicate a gap, a colon is used:
+===== Series =====
-  * v.3:no.1 (1980), v.3:no.3 (1980)-v.10 (1987)
+The series designation will precede the volumes included in that series.
-==== Series ====
+  * new ser. (new series)
+  * ser.2 (series 2 (etc.))
-The series designation, followed by a colon, will precede the volumes included in that series.  It need only be entered once before the volumes it pertains to, even when gaps are present.
+There may be multiple series designations in one title. An enumeration statement with a series designation looks like this:
-  * new ser. (for new series)
+  * 866 41 $a ser.4:v.1 (1958)-ser.4:v.5 (1962)
-  * ser.2 (for series 2 (etc.))
+  * 866 41 $a v.12 (1959)-ser2:v.3 (1982)
-  * ser.4:v.1 (1958)-v.3 (1960), v.5 (1962)
-The preferred practice is **not** to capitalize the first letter of enumeration captions, and **not** to include a space after the period.
+===== Constructing a holdings statement =====
-  * v.1 (not V.1); no.1 (not No.1); pt.1 (not Pt.1)
+Holdings statements should ALWAYS REFLECT WHAT THE LIBRARY OWNS. We do not indicate what we do not yet own, and we do not denote that the library cancelled a title in the holdings statement. The 866 field denotes only what the library currently owns. If a title has ceased publication, this is denoted in the bib record. Go into OCLC and export the current bib record to reflect this. See instructions for [[serials_workflow_ceased_cancelled_titles|Ceased & Cancelled Titles]].
-  * new ser.:v.1 (not New Ser:V.1); ser.2:v.1 (not Ser.2:V.1)
-==== Chronology: years ====
+  * 866 41 $a 2001/2002-2003/2004
+  * 866 41 $a v.13 (1996)-v.20:no.6 (2003)
-Add year when present on the piece as a cover date, versus publication date.  The full form of the year is used, entered in parentheses.  For combined years, both years are entered with a slash.
-  * v.6 (1997)
-  * v.11 (1944/1945)-v.18 (1950/1951)
-==== Chronology: months ====
-For a publication which uses both numbers and months as 2nd-level enumeration, numbers are preferred.  However, some periodicals use only months.  Although we enter months more frequently in our item descriptions, sometimes we need to add them into a holdings statement in the following cases:
-   * When a volume is incomplete: v.68 (1976:Jan), v.68 (1976:Mar)-v.78 (1986)
-   * When a title change occurs in the middle of a volume
-     * v.36 (1990)-v.39 (1993:Feb) (earlier title)
-     * v.39 (1993:Mar)-v.46 (2000)( later title)
-UMass enters months by their first three letters only.  Exception:  For Depository materials, use June, July, and Sept, per Five College policy agreement.
-===== Last volume in statement =====
-==== Titles currently received ====
-End the string with a dash, indicating that more are coming.
-  * 2001/2002-2003/2004-
-  * v.13 (1996)-v.20:no.6 (2003)-
-==== Titles not currently received ====
-When we do **not** hold the last volume of a publication, for example when the library cancels a title which is still being published as far as we know, we remove the dash and add nothing after the holding string.
-  * 1st ed. (1979)-6th ed. (1985)
-When we **do** hold the last volume of a publication, either in the case of a title change or a cessation, we add a double slash after the holding string.  (NOTE: WIKI will not support illustration of double slash) NOTE: This is a local UMass practice not standard in ANSI/NISO notation.
 ===== Complex holdings statements =====
@@ Line 87: / Line 60: @@
 ==== Gaps: partial volume(s) missing; incompletes ====
-**Previous practice**:  We indicated incompletes by placing brackets around the incomplete vol./year, or year, and adding a field (952$x in Aleph) recording what the library holds in each incomplete volume.
+**Previous practice**:  We indicated incompletes by placing brackets around the incomplete vol./year, or year, and adding a field (952$x in Aleph) recording what the library holds for each incomplete volume.
 **Current practice**:  As time allows, we are converting these holdings to a format more consistent with ANSI/NISO practice, by:
   * Adding indicators 41 to the 866,
-  * Adding captions,
+  * Adding enumeration captions,
   * Replacing bracketed volumes with accurate descriptions of gaps.
@@ Line 114: / Line 87: @@
   - Holdings statements indicating gaps should be entered on one line only. Enter a space after each comma.  This assures that the text will wrap correctly in the OPAC display.
-  - There is no need to add any more than the first and last number around a gap.  For the first example above, v.26 (1992)-v.29:no.1-6 (1995), v.29:no.8-12 (1995)-v.33 (1999) would be incorrect.
+  - There is no need to add any more than the first and last number around a gap.  For the first example above, v.26 (1992)-v.29:no.1-6 (1995), v.29:no.8-12 (1995)-v.33 (1999) would be incorrect.  CORRECT FORM:  v.26 (1992)-v.29:no.6 (1995), v.29:no.8 (1995)-v.33 (1999)
   - Frequency considerations. In this example, we know that the periodical is a monthly.  If it had a greater frequency or was irregular (frequency unknown), the holdings would be expressed as v.26 (1992)-v.29:no.6 (1995), v.29:no.8-12 (1995), v.30 (1996)-v.33 (1999)
-  - In the case where there is a combined year, we repeat the combination after every number in the incomplete statement, even though it may be more literally accurate not to do this: v.3:no.1 (1941/1942), v.3:no.3-6 (1941/1942), versus v.3:no.1 (1941), v.3:no.3-6 (1942).  Following the latter procedure would entail too much labor-intensive checking of individual volumes.
+  - Where there is a combined year, we repeat the combination after every number in the incomplete statement, even though it may be more literally accurate not to do this: v.3:no.1 (1941/1942), v.3:no.3-6 (1941/1942), versus v.3:no.1 (1941), v.3:no.3-6 (1942).  Following the latter procedure would entail too much labor-intensive checking of individual volumes.
-  - UMass policy is to allow a combination of 2nd level enumeration (without repeating the captions) as long as no gap exists within the combination:  1990:no.4-7, 1990:no.10-1995 versus 1990:no.4-1990:no.7, 1990:no.10-1995
+  - UMass policy is to allow a combination of 2nd level enumeration (without repeating the captions) as long as no gap exists within the combination.  **Example:**  1990:no.4-1990:no.7, 1990:no.10-1995 //can be written as:// 1990:no.4-7, 1990:no.10-1995.
+    - Exception:  More than one gap exists in a volume's 2nd level enumeration, but not if adjoining the preceding or following volume in the statement.  **Example:**  1990:no.4-5, 1990:no.7-8, 1990:no.10-1995 //can be written as// 1990:no.4-5,7-8,1990:no.10-1995.  Combining "4-5, 7-8" makes the statement easier to read.
+    - Do **not** combine 2nd level enumeration if adjoining preceding or following volume, as this can create ambiguity.  **Examples: ** 1990:no.830-831, 832-1991 //better as:// 1990:no.830-831, 1990:no.832-1991; v.7:no.6-7,9 (1992)-v.11 (1993) //better as:// v.7:no.6-7 (1992), v.7:no.9 (1992)-v.11 (1993).  v.2 (1946)-v.3:no.2,4-5 (1947), v.6 (1950) //better as:// v.2 (1946)-v.3:no.2 (1947), v.3:no.4-5 (1947), v.6 (1950)
-==== Enumeration system change on piece ====
-Use a semicolon to indicate a change in a publication's numbering system, when no issues are missing where the change occurs.
+==== Enumeration system change ====
+Use a semicolon to indicate a change in a publication's numbering system, when **no issues are missing** where the change occurs.
   * v.67 (1969)-v.75 (1977); 1978-1993
@@ Line 145: / Line 121: @@
   * 952__$zVol.57 never published.
-Do not indicate this "gap" with a comma. A semicolon may be used to indicate such a gap (especially if large or strange) although it is also permissible, per longstanding UMass policy, to not indicate such a gap. For clarity (see above), a note may be entered into the 952$z public note field. Sometimes a 515 field in the bib. record will mention the gap in publication.
+Do not indicate this "gap" with a comma. A semicolon may be used to indicate such a gap (especially if large or strange) although it is also permissible, per longstanding UMass policy, to not indicate such a gap. For clarity (see above), a note may be entered into the 952$z public note field, mentioning the missing volume.
-  * v.54 (1900)-v.55 (1901); v.58 (1904)-v.63 (1909) (v.57 never published)
+  * v.54 (1900)-v.55 (1901); v.58 (1904)-v.63 (1909)
 ==== Periodicals with weekly or daily frequencies ====
@@ Line 163: / Line 139: @@
 Supplements accompany some vols.
-Very occasionally, a specific supplement will be mentioned in the HOL.  Enter this supplement in an 867 field with indicators 41:
+Very occasionally, we may consider it beneficial to mention a specific supplement in the HOL.  Enter this supplement in an 867 field with indicators 41:
-  * 86741 $av.49 (1985) Buyer's Guide (or whatever)
+  * 86741 $av.49 (1985) Buyer's Guide
 ==== Indexes ====
-Per UMass policy, we will record any indexes covering five years or more in the HOL record.  Enter the index in an 868 field with indicators 41:
+Per UMass policy, we record any indexes covering five years or more in the HOL record.  Enter the index in an 868 field with indicators 41:
   * 86841 $av.10 (1926)-v.19 (1935)
-There is no need to add the words "Supplement" or "Index" since the system automatically supplies them (in bold) in the public (OPAC) view.
+There is no need to add the words "Supplement" or "Index" since the system automatically supplies these(in bold) in the public (OPAC) view.
 ===== Holdings versus Item Descriptions =====
@@ Line 188: / Line 164: @@
 In the last example, a LACKS or HAS note should be entered in the Internal Note field of the Item.
+//[[lucyd@library.umass.edu|Primary contact: Lucy deGozzaldi]]//.