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holdings_statement_syntax_for_hol_records [2010/07/16 11:04]
ldegozzaldi
holdings_statement_syntax_for_hol_records [2020/07/22 14:30]
annk [Enumeration]
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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]]//
  
-(Aleph ​Workflow-Information Resources Management)\\  +====== Serials ​Workflow: Holdings Statement Construction ======
-(Working Draft, 3/15/10)+
  
-===== Introduction =====+===== Introduction ​to MARC 866 =====
  
-==== Updated ​holdings ​format ====+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]].
  
-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/and understood by, other systems.+===== Enumeration =====
  
-==== 866 indicators ====+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.
  
-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.+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
  
-===== Caption designations =====+Enumerations used in holdings statements include, but may not be limited to:
  
-==== Enumeration ====+  * v. (volume) 
 +  * no. (number) 
 +  * pt. (part) 
 +  * fasc. (fascicle) 
 +  * t. (tome) 
 +  * bd. (band)
  
-NOTE: For **non-English language** 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. ​+Example simple ​enumeration ​statements:
  
-Enumerations used in holdings statements include:+  * 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)
  
-  * v. (for volume) +===== Series =====
-  * 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:+The series designation will precede the volumes included in that series.
  
-  * v.3:​no.1 ​(1980), v.3:no.3 (1980)-v.10 (1987)+  * new ser. (new series) 
 +  * ser.2 (series 2 (etc.))
  
-==== Series ====+There may be multiple series designations in one title. An enumeration statement with a series designation looks like this:
  
-The series designation,​ followed by 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.+  * 866 41 $ser.4:v.1 (1958)-ser.4:​v.5 (1962) 
 +  * 866 41 $a v.12 (1959)-ser2:​v.3 (1982)
  
-  * new ser. (for new series) +===== Constructing a holdings statement =====
-  * 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 ​space after the period.+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 ​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]].
  
-  * v.1 (not V.1); no.1 (not No.1); pt.1 (not Pt.1) +  * 866 41 $a 2001/​2002-2003/​2004 
-  * new ser.:v.1 (not New Ser:V.1); ser.2:v.1 (not Ser.2:​V.1) +  * 866 41 $a v.13 (1996)-v.20:​no.6 (2003)
- +
-==== Chronology: years ==== +
- +
-Add year when present on the piece as 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, for example 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) This is a local UMass practice not standard in ANSI/NISO notation.+
  
 ===== Complex holdings statements ===== ===== Complex holdings statements =====
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   - 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)   - 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.   - 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. ​ Exception: ​ More than one gap exists in a volume'​s 2nd level enumeration,​ but not right before ​the next volume in the statement; see following example:  1990:​no.4-5,​ 1990:​no.7-8,​ 1990:​no.10-1995 ​1990:​no.4-5,​7-8,​1990:​no.10-1995.  ​This form is easier to read.+  - 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)
   ​   ​
  
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