Holdings Statement Syntax for HOL Records

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?

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 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.

Enumerations used in holdings statements include:

• v. (for volume)
• 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.3:no.1 (1980), v.3:no.3 (1980)-v.10 (1987)

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. (for new 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.

• v.1 (not V.1); no.1 (not No.1); pt.1 (not Pt.1)
• new ser.:v.1 (not New Ser:V.1); ser.2:v.1 (not Ser.2:V.1)

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)

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) 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 dash after the holding string. * v.20 (1966)-v.40 (1986)
• 1990/1991-2006/2007 NOTE: 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)

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.

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,
• 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) - 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 on piece ==== Use a semicolon to indicate the change. Examples: LIB. HAS 67 (1969)-75 (1977);1978-1993 LIB. HAS no.144 (1922)-156 (1928);v.79 (1929)-98 (1938) LIB. HAS N.S.:3 (1957)-32 (1972);Ser.3:1 (1973)-18 (1982);Ser.4:1(1983)-40 (2003)- 4) Title change occurs in the middle of a volume. Examples: LIB. HAS 43 (1976)-47:2 (1978:Feb) LIB. HAS 47:3 (1978:Mar)-56 (1982) 5) Missing numbers were never published. a) Last volume published only covers part of the year; no title change. Example: LIB. HAS 70 (1991)-77 (1998) NOTE: You wouldn’t enter 77:8 (1998:Aug), because 77:9+ was never published, even though the bib. record will cite the last volume this way in the 362 field. b) An entire number in the enumeration sequence was never published. Example: LIB. HAS 54 (1900)-63 (1909) NOTE: If vol. 57 was never published, the gap wouldn’t be indicated with a comma. The bib. should mention this in a 515, and sometimes the MORE INFO. note also contains this information. I’ve also seen cases where, if a gap is large or strange, it can be indicated with a semicolon, meaning change of enumeration. Example: LIB. HAS 54 (1900);58 (1904)-63 (1909) (Vols. 55-57 never published.) Example: LIB. HAS 166 (1935);166A-B (1935);167 (1936)-174 (1939);174A (1939);175 (1940)-185 (1945);185A C (1945),187 (1946)-202 (1954) NOTE: This a weird case I recently came across. I believe the comma (indicating we don’t have 186 (1945)) should take precedence over the semicolon. 6) Periodicals with weekly or daily frequencies: Occasionally, years, months and days are needed in the holding string. Example: LIB. HAS 1943:Jun 4-1946:Jun 4 In the holding string, enter numerical designations without v. or no. and enter years in parentheses. For multiple years, don’t truncate the years. Checkin: LIB HAS 45 (1967/1968) Item: v.45 1967-68 In the holding string, parts are indicated by a colon. Checkin: LIB HAS 25 (1977)-26:2 (1978) Items: v.25 1977 v.26 no.1-2 1978 Series is entered in the holding string as N.S. or Ser.# (in item, series is entered in lower case, n.s. or ser.#) Checkin holdings regarding incompletes, etc. A missing volume is indicated by a comma. For example in the following string v.35 is missing: LIB HAS 4 (1925)-34 (1955/1956),36 (1957/1958)-73:2 (1994) A semicolon indicates a change of numbering style or sequence, with no vols. missing: LIB HAS 4 (1925)-34 (1955/1956);1957-1994 LIB HAS 4 (1925)-34 (1956);N.S.1 (1957)- If a volume is incomplete, three things need to be indicated: a) Brackets around that volume in the checkin record holding string. b) An INC./ADD. note in the checkin record describing what we have. c) An Inc. at the end of the volume field in the item record For example, if vol. 3 has been bound lacking no. 4: Holding string: LIB HAS 1 (1949)-[3 (1951)]-46 (1994) INC./ADD. Incomplete volumes: 3:1-3,5-6 (1951) Item record: v.3 1951 Inc. Copy 2’s should also be indicated in an INC./ADD. note: Added copies: 4 (1968) is entered at end of holding string ONLY if the last vol. is last one published. Year inferred (periodicals only) This is an odd case which might be encountered, though the reason for it no longer exists. It applies only to periodicals with no obvious date. Serials with no obvious date are linked and entered in the checkin holding string as vols. or nos. only. When we kept the recently-bound periodicals in a separate location from earlier bound vols., we needed to know the year they were published. Therefore a year in parentheses was added to the spine, and ONLY these vols. are linked with years in parentheses. Holding string: LIB HAS 1-3 Item records: v.1 (1986) v.2 (1987) v.3 (1988) Cross-linking This will happen when the title changes in the middle of a bound volume. Some nasty publications have multiple title changes per one bound volume: LIB HAS 43 (1976)-47:2 (1978:Feb) [1st title] LIB HAS 47:3 (1978:Mar)-47:6 (1978:Jun) [2nd title] LIB HAS 47:7 (1978:Jul)-56 (1982) [3rd title]