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holdings_statement_syntax_for_hol_records [2010/03/15 20:27]
ldegozzaldi
holdings_statement_syntax_for_hol_records [2020/07/22 19:15]
annk removed
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-====== ​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 gapswhich we believe will be easier ​for patrons to understand, and to conform to ANSI/NISO practice, which may be more easily transferred to/and understood by, other systems.+The holdings statement for serials is recorded in the 866 field. ​All holdings statements ​require indicators 41 in the 866 fieldFor information on this field and indicator definitionsplease see the Library of Congress MARC documentation ​for textual holdings at [[https://www.loc.gov/​marc/​holdings/​hd866868.html]].
  
-==== 866 indicators ​====+===== Constructing a Holdings Statement =====
  
-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.+Holdings ​statements should ​ALWAYS REFLECT WHAT THE LIBRARY OWNS. Holdings ​statements do not indicate what we do not yet own. The 866 field is a general statement of what the library currently owns and does not future-cast. Each time an issue is received by the library, update the end of the holdings statement ​by deleting the previous final issue held and adding the number and/or year of the new final issue heldDo not list each issue in a holdings statement. Individual issues are described in the Item Description field.
  
-===== Caption designations =====+  * 866 41 $a 2001/​2002-2003/​2004 
 +  * 866 41 $a v.13 (1996)-v.20:​no.6 (2003)
  
-==== Enumeration ====+===== Enumeration ​=====
  
-NOTE: For **foreign** serials and periodicalsUMass 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 ​Otherwisewe try to follow ​the enumeration and chronology designations present ​on the piece. ​+Do not capitalize enumeration abbreviations. Add the year when present on the piece (not necessarily the publication date). The full form of the year is used, entered in parentheses. ​For combined yearsboth years are entered with a slash betweenFor second level enumeration,​ some titles use numbers ​and some use monthsAlways ​use what is on the pieceIf the publication uses monthsenter the month as it is shown on the piece. Exception: for Depository materials, use June, July, and Sept per Five College Policy agreement.
  
-Enumerations used in holdings statements include:+NOTEFor **non-English language** serials, always use the abbreviations for the foreign term that is on the piece, such as tome, band or fascicle. ​
  
-  * v. (for volume) +Enumerations used in holdings statements includebut may not be limited to:
-  * no. (for number) +
-  * pt. (for part) +
-  * --st--nd, --th (for ordinal numbers) +
-  * ed. (for edition)+
  
-When 2nd level enumeration must be entered, for example, to indicate a gap, a colon is used:+  * v. (volume) 
 +  * no. (number) 
 +  * pt. (part) 
 +  * fasc. (fascicle) 
 +  * t. (tome) 
 +  * bd. (band)
  
-  * v.3:no.1 (1980), v.3:no.3 (1980)-v.10 (1987)+Example enumeration statements:
  
-==== Series ====+  * 866 41 $a v.3:no.1 (1980), v.3:no.3 (1980)-v.10 (1987) 
 +  * 866 41 $a bd.243-bd.250 
 +  * 866 41 $a v.1:pt.3 (2015)-v.4:​pt.4 (2019) 
 +  * 866 41 $a v.3:Feb (2001)-v.3:​Dec (2001)
  
-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.+===== Series Designations =====
  
-  * new ser. (for new series+The series ​designation will precede the volumes included in that series.
-  * ser.2 (for series ​2 (etc.)) +
-  * 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.+  ​new ser. (new series) 
 +  ​ser.2 (series 2 (etc.))
  
-  * v.1 (not V.1); no.1 (not No.1); pt.1 (not Pt.1) +There may be multiple series designations in one titleAn enumeration statement with a series designation looks like this:
-  * new ser.:v.1 (not New Ser:V.1); ser.2:v.1 (not Ser.2:V.1)+
  
-==== Chronologyyears ====+  * 866 41 $a ser.4:v.1 (1958)-ser.4:​v.5 (1962) 
 +  * 866 41 $a v.12 (1959)-ser2:​v.3 (1982)
  
-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.+===== Incomplete Holdings =====
  
-  * v.6 (1997) +Do not use the 866 field to show all issues held by the libraryThe holdings statement is a general statementIncomplete holdings are reflected in the item record. Ideally, a title is fully linked and each title has volume information in the Item Description field. Use the subfield z for a public note to show that a publication has "​incomplete holdings"​ when the statement does not show gaps in holdings.
-  * v.11 (1944/​1945)-v.18 (1950/1951)+
  
-==== Chronologymonths ====+An incomplete holdings statement looks like this:
  
-For publication which uses both numbers and months as 2nd-level enumeration,​ numbers are preferred.  ​Howeversome periodicals use only months.  ​Although we enter months more frequently in our item descriptions,​ sometimes we need to add them into a holdings ​statement, for example in the following cases:+  * 866 41 $v.1(1982)-v.45(2010) $z Incomplete holdings 
 +  * 866 41 $a v.15 (1971)-v.17 (1973)v.20 (1976)-v.22 (1978) 
 +  * 866 41 $fasc.12-fasc.21 $z Incomplete ​holdings
  
-   * When volume is incomplete: v.68 (1976:Jan)v.68 (1976:​Mar)-v.78 (1986) +If you come across an old title with 952 field in the holdings recordthis field must be removedPlease see instructions on how to fix old records with incomplete holdings information ​in the 952 field.
-   * 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.+===== Holdings Statements vsItem Descriptions =====
  
-===== Last volume ​in statement ​=====+The Item Description field in Aleph should be used when linking to describe individual items. Do not use the holdings ​statement ​to list each volume or individual runs of volumes unless specifically determined to be useful for patrons. Use the same descriptors as appear on the piece, in terms of enumeration. Under the (2) General Information tab:
  
-==== Titles currently received ====+  * Description:​ v.24 (1989) 
 +  * Description:​ t.12 
 +  * Description:​ v.3:Winter (2002) 
 +  * Description:​ bd.488 
 +  * Description:​ 1999/2000
  
-End the string with a dash, indicating that more are coming.+Do not use OPAC or internal note fields in the item record.
  
-  * 2001/​2002-2003/​2004- +===== Further Notes of Interest ​=====
-  * 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) This is a local UMass practice not standard in ANSI/NISO notation. +
- +
-===== Complex holdings statements ===== +
- +
-==== Gaps: whole volumes missing ==== +
- +
-Gaps are indicated by a comma. +
- +
-  * v.15 (1971)-v.17 (1973), v.20 (1976)-v.22 (1978) +
- +
-==== 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 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 enumeration captions, +
-  * Replacing bracketed volumes with accurate descriptions of gaps. +
- +
-EXAMPLES: +
- +
-  > 866__ $a26 (1992)-[29 (1995)]-33 +
-  > 952__ $xIncomplete volumes: 29:1-6, 8-12 +
- +
-becomes: +
- +
-  > 86641 $av.26 (1992)-v.29:​no.6 (1995), v.29:no.8 (1995)-v.33 (1999) +
- +
-  > 866__ $a1985-[1990]-1995 +
-  > 952__ $xIncomplete volumes: ​ 1990:​1-2,​4-7,​10-12 +
- +
-becomes: +
- +
-  > 86641 $a1985-1990:​no.2,​ 1990:​no.4-7,​ 1990:​no.10-1995//​ +
- +
-NOTES: +
- +
-  - 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. +
-  - 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) +
-  - 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 +
-   +
-==== 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 +
-  * no.144 (1922)-no.156 (1928); v.79 (1929)-v.98 (1938) +
-  * new ser.:v.3 (1957)-v.32 (1972); ser.3:v.1 (1973)-v.18 (1982) +
-  * v.166 (1935); v.166A-B (1935); v.167 (1936)-174 (1939); v.174A (1939) +
- +
-NOTE:  Comma overrides semicolon. ​ If a gap exists at the point where a change occurs, use a comma (for example, if no.155-156 are missing): +
- +
-  * no.144 (1922)-no.154 (1927), v.79 (1929)-v.98 (1938) +
- +
-==== Missing numbers never published ==== +
- +
-Last volume published only covers part of the year; no title change: +
- +
-  * v.70 (1991)-v.77 (1998) +
- +
-There is no need to enter v.77:no.8 (1998:Aug) because v.77:no.9+ was never published., although the bib. record will cite the last volume this way in the 362 field. +
- +
-An entire number in the enumeration sequence was never published:​ +
- +
-  * v.54 (1900)-v.63 (1909) +
-  * 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$z public note field, mentioning the missing volume.  +
- +
-  * v.54 (1900)-v.55 (1901); v.58 (1904)-v.63 (1909) +
- +
-==== Periodicals with weekly or daily frequencies ==== +
- +
-Occasionally,​ years, months and days are needed in the holding string: +
- +
-  * 1943:Jun 4-1946:Jun 4 +
- +
-===== Treatment of Supplements and Indexes ===== +
- +
-==== Supplements ==== +
- +
-If a title contains supplements,​ indicated in the item description as "​Suppl."​ (bound alone) or "​+Suppl."​ bound with a regular issue, UMass policy has been to enter the following note in the public note field (952$z): +
- +
-Supplements accompany some vols. +
- +
-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 +
- +
-==== Indexes ==== +
- +
-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 these(in bold) in the public (OPAC) view. +
- +
-===== Holdings versus Item Descriptions ===== +
- +
-In many cases, the item descriptions used when linking the items will differ from the holdings syntax: +
- +
-^ Holdings Syntax ​      ^ Item Description ​ ^ +
-| v.49 (1955/​1956) ​     | v.49 1955-56 ​     | +
-| new ser.:v.30 (1982) ​ | n.s. v.30 1982    | +
-| ser.2:​no.108 (1977) ​  | Ser.2 no.108 1977 | +
-| 1978/​1979 ​            | 1978-79 ​          | +
-| v.56:no.1 (1964), v.56:no.3-4 (1964) | v.56 1964 Inc. | +
- +
-In the last example, a LACKS or HAS note should be entered in the Internal Note field of the Item.+
  
 +If a title has ceased publication,​ this is denoted in the bib record. Do not record in a field 952. Go into OCLC and export the current bib record to reflect this. See instructions for [[serials_workflow_ceased_cancelled_titles|Ceased & Cancelled Titles]].
  
 +If a title has been cancelled by the library, this is no longer denoted in the holdings record. Do not use field 590 in any holdings record.
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