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 --- //[[annk@umass.edu|Contact: Ann Kardos]]//
-====== Holdings Statement Syntax for HOL Records ======
+====== Serials Workflow: Holdings Statement Construction ======
-(Aleph Workflow-Information Resources Management)\\
+===== Introduction to MARC 866 =====
-(Working Draft, 3/15/10)
-===== Introduction =====
+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]].
-==== Updated holdings format ====
+===== Constructing a Holdings Statement =====
-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.
+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 held. Do not list each issue in a holdings statement. Individual issues are described in the Item Description field.
-==== 866 indicators ====
+  * 866 41 $a 2001/2002-2003/2004
+  * 866 41 $a v.13 (1996)-v.20:no.6 (2003)
-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.
+===== Enumeration =====
-===== Caption designations =====
+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 years, both years are entered with a slash between. For second level enumeration, some titles use numbers and some use months. Always use what is on the piece. If the publication uses months, enter the month as it is shown on the piece. Exception: for Depository materials, use June, July, and Sept per Five College Policy agreement.
-==== Enumeration ====
+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.
-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.
+Enumerations used in holdings statements include, but may not be limited to:
-Enumerations used in holdings statements include:
+  * v. (volume)
+  * no. (number)
+  * pt. (part)
+  * fasc. (fascicle)
+  * t. (tome)
+  * bd. (band)
-  * v. (for volume)
+Example enumeration statements:
-  * 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:
+  * 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.3:no.1 (1980), v.3:no.3 (1980)-v.10 (1987)
+===== Series Designations =====
-==== Series ====
+The series designation will precede the volumes included in that series.
-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.
+  * new ser. (new series)
+  * ser.2 (series 2 (etc.))
-  * new ser. (for new series)
+There may be multiple series designations in one title. An enumeration statement with a series designation looks like this:
-  * 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.
+  * 866 41 $a ser.4:v.1 (1958)-ser.4:v.5 (1962)
+  * 866 41 $a v.12 (1959)-ser2:v.3 (1982)
-  * v.1 (not V.1); no.1 (not No.1); pt.1 (not Pt.1)
+===== Incomplete Holdings =====
-  * new ser.:v.1 (not New Ser:V.1); ser.2:v.1 (not Ser.2:V.1)
-==== Chronology: years ====
+Do not use the 866 field to show all issues held by the library. The holdings statement is a general statement. Incomplete 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.
-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.
+An incomplete holdings statement looks like this:
-  * v.6 (1997)
+  * 866 41 $a v.1(1982)-v.45(2010) $z Incomplete holdings
-  * v.11 (1944/1945)-v.18 (1950/1951)
+  * 866 41 $a v.15 (1971)-v.17 (1973), v.20 (1976)-v.22 (1978)
+  * 866 41 $a fasc.12-fasc.21 $z Incomplete holdings
-==== Chronology: months ====
+If you come across an old title with a 952 field in the holdings record, this field must be removed. Please see instructions on how to fix old records with incomplete holdings information in the 952 field.
-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:
+===== Holdings Statements vs. Item Descriptions =====
-   * When a volume is incomplete: v.68 (1976:Jan), v.68 (1976:Mar)-v.78 (1986)
+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:
-   * 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.
+  * Description: v.24 (1989)
+  * Description: t.12
+  * Description: v.3:Winter (2002)
+  * Description: bd.488
+  * Description: 1999/2000
-===== Last volume in statement =====
+Do not use OPAC or internal note fields in the item record.
-==== Titles currently received ====
+===== Further Notes of Interest =====
-End the string with a dash, indicating that more are coming.
+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]].
-  * 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 =====
-==== 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.  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)
-  - 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.  **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 ====
-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.
-//[[lucyd@library.umass.edu|Primary contact: Lucy deGozzaldi]]//.
+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.