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holdings_statement_syntax_for_hol_records [2015/05/13 14:36]
holdings_statement_syntax_for_hol_records [2019/01/07 12:20] (current)
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 +====== Holdings Statement Syntax for HOL Records ======
 +
 +(Aleph Workflow-Information Resources Management)\\ ​
 +(Working Draft, 3/15/10)
 +
 +===== Introduction =====
 +
 +==== Updated holdings format ====
 +
 +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.
 +
 +==== 866 indicators ====
 +
 +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.
 +
 +===== Caption designations =====
 +
 +==== Enumeration ====
 +
 +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:
 +
 +  * 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)
 +
 +==== 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. (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)
 +
 +==== Chronology: years ====
 +
 +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, 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 =====
 +
 +==== 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]]//​.
  
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