Recording Serial Volume Holdings: Yale University Library Policies & Procedures

An Introduction(rev2. 11/05)

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Goals Review basic policies: when,

where, what Learn: standards for recording

volume holdings (how to record) Learn: standards for recording

ENUM/CHRON data in Voyager item records.

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Scope/Definition: Serials Definition: Serial. A continuing

resource issued in a succession of discrete parts, usually bearing numbering, that has no predetermined conclusion. Examples of serials include: journals, magazines, electronic journals, continuing directories, annual reports, newspapers, and monographic series.

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When to record volume holdings Record volume holdings whether the set

is complete or incomplete

300 $a 15 v. ; $c 27 cm.300 $a v. ; $c 27 cm.

Phasing out: recording of issues received by acquisitions staff in volume holdings

Reinstated: recording volume holdings for classed-together analyzed series

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Where to record volume holdings

Record volume holdings in MFHD 866:

866 4 1 $8 0 $a <text> $x <text> $z <text>

MFHD=MARC Format for Holdings Data

Record volumes in $a Record staff notes in $x <avoid!> Record public notes in $z <avoid!>

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EXAMPLE (MARC 21 textual holdings field):

852 01 $b ssl $h HD28 $i .C87 (LC) $x do not anlyz $z Latest issue on Display Shelves.

866 41 $8 0 $a v.4(1999)-v.8(2003)

1=serial or multipart item

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Use MARC 21 textual holdings fields Yale policy is to use 866 (the MARC

21 textual holdings field) to record volume holdings

MARC 21 also allows libraries to record holdings using Holdings data fields 853-878, but Yale does not follow this option for volume holdings

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EXAMPLE (MARC 21 Holdings Data Fields): Holdings data fields are not used at

Yale. Here is the example used on slide 6 using the holdings data fields:

852 01 $b ssl $h HD28 $i .C87 (LC) $x do not anlyz $z Latest issue on Display Shelves853 20 $8 1 $a v. $i year $v c $w a863 40 $8 1 $a 4-8 $i 1999-2003

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EXAMPLE (Voyager)

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EXAMPLE (Voyager Predictive Pattern Window)

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EXERCISE 1-2 When to record volume holdings Where to record volume holdings

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ANSI standards The standards for recording

volume holdings at the Yale libraries are based on ANSI/NISO Z39.71-1999, Level 4, often referred to as the “ANSI standards”

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Basic ANSI standards principles (what to record)

Account for every volume owned by the library (Level 4 specific)

Always record in terms of volumes held, not volumes we lack (General ANSI principle)

Recon holdings sometimes record in terms of volumes we lack

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Basic ANSI standards principles (what to record) cont’d

For serials, record both enumerative and chronological designation

Multipart:866 $8 0 $a v.1Serial: 866 $8 0 $a v.1(2004)

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How to record volume holdings: basic policies (2) Adjacency policy: record numbers and

dates together Standard adjacency order: numbers

precede chronology

866 41 $8 0 $a v.1(2004)-v.2(2005)NOT:866 41 $8 0 $a v.1-v.2 (2004-2005)

Standard punctuation follows ANSI/NISO

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Basic punctuation standards (1) Colon. Used to distinguish different

hierarchical levels, from higher to lower.

Parentheses. Used to record chronology.

866 41 $8 0 $a v.1:pt.2(2000)

866 41 $8 0 $a 4:1:2(1975:Jan.)

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Basic punctuation standards (2) Hyphen. Used to show an unbroken range.

866 41 $8 0 $a t.4:1(1999:Jan.)-t.4:5(1999:May)

Comma. Used to indicate a gap.Start a new line (new 866) after the comma.

866 41 $8 0 $a Bd.1(1935),866 41 $8 0 $a Bd.4(1938)-Bd.6(1940)

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Basic punctuation standards (3)

Semicolon. Used to indicate when an item is not published or to indicate a change in numbering.

Equal sign. Used to record alternate numbering.

866 41 $8 0 $a v.1(1990)-v.2(1992)=no.1- -no.2; 866 41 $8 0 $a new ser.:v.1(1993)-new ser.: v.2(1994)=no.3-no.4

Brackets. Used when numbering is supplied. 866 41 $8 0 $a [v.1](1995)-v.5(1999)

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Basic punctuation standards (4) No unnecessary spaces!

866 41 $8 0 $a Bd.4(1938)-Bd.6(1940)NOT:866 41 $8 0 $a Bd. 4 (1938) – Bd. 6 (1940)

Exception. Unabbreviated terms and terms not ending with a period

866 41 $8 0 $a Heft 3(1978) 866 41 $8 0 $a no 5(1964)

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Enumeration: Definition Definition: Numeric or alphabetic

designation used by the publisher to identify the individual bibliographic or physical parts and to show the relationship of each part to the bibliographic unit as a whole.

For serials, a chronological designation sometimes functions as enumeration.

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Chronological designation functions as enumeration when:

The chronological designation is the only designation (e.g. an annual):

362 __ 1995- <Bib record>

866 41 $8 0 $a 1995-1998

The numerical designation repeats:

Bib. Record:500 __ Description based on: 1995:no.1.

866 41 $8 0 $a 1995:no.1-1996:no.3

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Enumeration: Standards and Policies (1) Standard: enumeration is not

supplied (no enumeration on the items=no volume holdings!)

Exception: when the set as a whole is numbered, but one of the parts is not, enumeration is supplied.

866 41 $8 0 $a [v.1](1995)-v.5(1999)

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Enumeration: Standards and Policies (2) Standard:higher level precedes the lower level

On the items: vol. 1 pt. 1 vol. 1 pt. 2vol. 2 pt. 1

Volume holdings: v.1:pt.1v.1:pt.2v.2:pt.1

NOTpt.1:v.1pt.2:v.1pt.1:v.2

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Enumeration: Standards and Policies (3) Convert all numeric information to (cardinal)

Arabic numbers

VII becomes 7sixth volume becomes v.6

If the item uses ordinal designation followed by a caption, convert to cardinal numbering and place the caption first.

third series becomes ser.33. Teil becomes T.3

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Enumeration: Standards and Policies (4) Record upper and lower case

letters as they appear:

866 41 $8 0 $a v.2:a

866 41 $8 0 $a Bd.1:C

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Exercises 3-4 Review of principles Review of punctuation

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Captions: Definition Definition: A word, phrase, or

abbreviation indicating the parts into which the publisher has divided the serial (or the multipart).

Examples: volume (v.), Band (Bd.), Teil (T.), tome (t.), Heft, number (no.), part (pt.)

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Captions: Policies and standards (1) Policy: record captions but do not supply

if not on the item.

On item: vol. 1Record as: 866 41 $8 0 $a v.1(1983)

On item: 2Record as: 866 41 $8 0 $a 2(1999) NOT 866 41 $8 0 $a v.2(1999)

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Captions: Policies and standards (2) Policy: record captions as found, i.e., do

not translate captions Use standard abbreviations for captions

http://www.library.yale.edu/cataloging/abbrev.htmhttp://www.library.cornell.edu/voyager/Checkin/Captabbr.htm

(if “vol.” on item, use “v.”; if “Band” on item, use “Bd.” not “v.”)

Exception: East Asia and Near East units translate captions

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Captions: Policies and standards (3) Capitalization. Use lower case

unless the caption is capitalized in the language.v.1 BUT Bd.1

Convert the # sign to the language equivalent.On item: #1; record as no.1 if English; record as no 1 if French

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Chronology: Definition and scope

“The different types of dates used by the publisher on the work to identify the individual bibliographic unit of a serial (for example, date of coverage, date of publication, date of printing, or date of reprinting).”

If more than one date is available, use the sequence above as the order of preference.

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Chronology: Policies & standards (1)

Record chronology Do not supply chronology for the

set as a whole, but supply it in brackets if the set as a whole has chronology but individual pieces do not

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Chronology: Policies & standards (2) Chronology should correspond to the same

level of detail as the enumeration

If the volume (a quarterly) is incomplete:866 41 $8 0 $a v.1:1(1995:fall)NOT:866 41 $8 0 $a v.1:1(1995)BUT (if the volume is complete):866 41 $8 0 $a v.1(1995)NOT:866 41 $8 0 $a v.1(1995:fall/winter)

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Chronology:Policies & standards (3)

Record chronology from highest to lowest, using a colon to separate(exception: days)

866 41 $8 0 $a v.1:no.2(1999:Jan.14)-v.2:no.27(2000:June 12)

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Chronology:Policies & standards (4) For months, seasons, and days, use the vernacular

form as found on the serial, romanized if necessary. Follow the capitalization rules for the language, & follow the AACR2 abbreviations for the language when applicable:

866 41 $8 0 $a t.1:no.1(1999:enero)

866 41 $8 0 $a t.1:no 1(1999:janv.)

866 41 $8 0 $a v.1:no.2(2000:summer)

866 41 $8 0 $a Bd.1:Nr.2(2000:Sommer)

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Chronology: Policies & standards (5)

Use a forward slash if the chronology spans a non-calendar year or more than one year

Always record all four digits of a year

866 41 $8 0 $a t.1(1953/1954)

NOT:

866 41 $8 0 $a t.1(1953/54)

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Chronology: Policies & standards (6)

East Asian & Near East teams convert non-Gregorian dates to Gregorian and translate months, etc. to English

Hebraica team uses the Gregorian date if both Jewish calendar & Gregorian dates are on the source; supplies Gregorian in brackets if only the Jewish calendar dates are present. Transliterated Hebrew terms for months, etc. are used.

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Level of enumeration: policies & standards

Record serial volume holdings at the highest level of enumeration

866 41 $8 0 $a v.1(2001)NOT:866 41 $8 0 $a v.1:pt.1(2001:spring)-v.1:pt.4(2001:winter)

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Compression: policies & standards For summary statements use a hyphen to

indicate compression; if a caption is used, it must be at both ends of the range

866 41 $8 0 $a v.1(2001)-v.3(2003)

ENUM v.1 CHRON 2001 ENUM v.2 CHRON 2002ENUM v.3 CHRON 2003

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When to record details Part holdings must be recorded at the detailed

level when the set is incomplete at subsequent levels of enumeration.

Each volume is in 2 parts; library has only v.1 no. 1:

866 41 $8 0 $a v.1:no.1(2004:spring)

NOT:

866 41 $8 0 $a v.1(2004) $z no.2 lacking

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Part details at both ends! If you record part detail at one end of the

range, you must record part detail at the other end!

866 41 $8 0 $a v.1:pt.1(2001:Jan./June)- v.4:pt.1(2004:Jan./June), 866 41 $8 0 $a v.5(2005)-v.7(2007) NOT: 866 41 $8 0 $a v.1(2001)-v.4:pt.1(2004:Jan./June), 866 41 $8 0 $a v.5(2005)-v.7(2007)

NOT:866 41 $8 0 $a v.1(2001)-v.7(2007) $z v.4:pt.2 wanting

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Part detail (Alternate) To avoid revising a compressed

range when an incomplete volume is added:866 41 $8 0 $a v.1(2001)-v.3(2003)866 41 $8 0 $a v.4:pt.1(2004:Jan./June),866 41 $8 0 $a v.5(2005)-v.7(2007)

866 41 $8 0 $a v.1(2001)-v.3(2003),866 41 $8 0 $a v.4:pt.2(2004:July/Dec.)866 41 $8 0 $a v.5(2005)-v.7(2007)

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SupplementsRecord supplements dependent on the parent serial

numbering in the parent MFHD in field 867. Item: “Supplement to v.14 of the Antiquarian”

Bibliographic record: 525 Kept up-to-date with supplements.

866 41 $8 0 $a v.1(1900)-v.12(1911),866 41 $8 0 $a v.14(1913),866 41 $8 0 $a v.18(1917)-v.24(1923)867 41 $8 0 $a v.11:suppl.-v.12:suppl.,867 41 $8 0 $a v.14:suppl.,867 41 $8 0 $a v.18:suppl.2(1917:June 1)

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Supplements(Separate Record)

Supplements with independent numbering are usually assigned a separate bibliographic record.

852 $b [loc] $h H5 $i .V6 Suppl. (LC)866 41 $8 0 $a 1924-1929

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Cumulative indexes Record cumulative indexes dependent

on the numbering of the parent serial in the parent MFHD in field 868:

866 41 $8 0 $a v.1(1900)-v.12(1911),866 41 $8 0 $a v.14(1913),866 41 $8 0 $a v.18(1917)-v.24(1923)867 41 $8 0 $a v.11:suppl.-v.12:suppl.867 41 $8 0 $a v.14:suppl.867 41 $8 0 $a v.18:suppl.2(1917:June 1)868 41 $8 0 $a v.1/12(1900/1911)868 41 $8 0 $a v.13/24(1912/1923)

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Indexes (Separate record) Indexes with numbering

independent of the parent serial are cataloged as separate serials

Weekly mail index:852 01 $b smlrefi $h AI3 $i .W4 (LC)+ $m Oversize866 41 $8 0 $a 1986-1993

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Item records:ENUM/CHRON On item records, unlike multiparts, serials

use both the ENUM and CHRON fields(In some cases just CHRON)ENUM: 1 CHRON: 1995

Refer to the punctuation and transcription standards for marking volumes:

http://www.library.yale.edu/cataloging/Orbis2Manual/serialmarking.htm

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MFHD and ENUM captions Captions used in MFHD should be

used in ENUM

866 41 $8 0 $a Bd.1-Bd.2ENUM: Bd.1 ENUM: Bd.2

NOT:ENUM: 1ENUM: 2

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MFHD vs. ENUM/CHRON part details (1) For binding & labeling purposes, ENUM

may be used to record part details (including captions) even if the part detail is eliminated in the MFHD summary statement. 866 41 $8 0 $a v.1(1990) ENUM: v.1:pt.1-6 CHRON: 1990:Jan.-June ENUM: v.1:pt.7-12CHRON: 1990:July-Aug.

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MFHD vs. ENUM/CHRON part details (2) To simplify processing, if dates are

used as enumeration in MFHD, enter the dates in CHRON rather than ENUM. If necessary, record part numbers following the date.

866 41 $8 0 $a 1990 CHRON 1990:pt.1CHRON 1990:pt.2

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MFHD vs. ENUM/CHRON part details (3) Don’t record part details in ENUM if

the part no. would not be recorded on the label. EXAMPLE: If v.1:pt.1,1990 AND v.1, pt.2, 1990 are bound as a single physical volume866 41 $8 0 $a v.1(1990)ENUM: v.1 NOT: v.1:pt.1-2CHRON:1990 NOT: 1990:Jan.-Dec.

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MFHD vs. ENUM/CHRON: missing issues (1)

If the decision is to bind a volume when issues are missing, the missing issue is ignored in ENUM/CHRON if it is not at the beginning/end of the range

Do not apply to the MFHD! Optionally, record the missing

issues in the FREE TEXT field of the Voyager item record

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MFHD vs. ENUM/CHRON: missing issues (2)

EXAMPLES. Single bibliographic volume for quarterly=single physical volume.

866 41 $8 0 $a v.1:pt.1(2006:Jan./Mar.), <gap within range> 866 41 $8 0 $a v.1:pt.3(2006:July/Sept.)-v.1:pt.4(2006:Oct./Dec.) ENUM:v.1 CHRON 2006

OPTIONAL NOTE IN FREE TEXT field: v.1:pt.2(2006:Apr./June) wanting

866 41 $8 0 $a v.1:pt.1(2006:Jan./Mar.)-v.1:pt.3(2006:July/Sept.) <gap at end of range>ENUM:v.1:pt.1-3 CHRON 2006: Jan.-Sept.

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MFHD vs. ENUM/CHRON: missing issues (3)

EXAMPLE. Single monthly bibliographic volume bound in 2 physical parts. 866 41 $8 0 $a v.1:pt.1(2006:Jan.), <gap within range>

866 41 $8 0 $a v.1:pt.3(2006:Mar.)-v.1:pt.8(2006:Aug.), <gap w/in range>866 41 $8 0 $a v.1:pt.10(2006:Oct.)-v.1:pt.12(2006:Dec.)

ENUM v.1:pt.1-6 CHRON 2006:Jan.-JuneENUM v.1:pt.7-12 CHRON 2006:July.-Dec.

866 41 $8 0 $a v.1:pt.2(2006:Feb.), <gap at beginning & w/in range>866 41 $8 0 $a v.1:pt.4(2006:Apr.)-v.1:pt.11(2006:Nov.) <gap at end>

ENUM v.1:pt.2-6 CHRON 2006:Feb.-JuneENUM v.1:pt.7-11 CHRON 2006:July-Nov.

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ENUM/CHRON: formatting for label printing software

Use an underscore _ to represent a space Use a blank space to force a new line (limit to

12 spaces per line); otherwise use no blank spaces

Use colons to separate parts; use hyphens for all ranges except overlapping academic years (use a slash for these)

Enter punctuation at the end (not the beginning) of a line

Use an equal sign if alternative numbering is used

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ENUM/CHRON: Forcing Line Breaks

ENUM new_ser.IIv.437:no.747-754CHRON 2005:July-Dec.to print:

Q1.N37new_ser.IIv.437:no.747-7542005:July-Dec.

= blank space

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ENUM/CHRON: AVOID SPLIT RANGES!

ENUM new_ser.IIv.437:no.747-754CHRON 2005:July-Dec.will print this way:

Q1.N37new_ser.IIv.437:no.747-754 2005:July-Dec. =blank space

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ENUM/CHRON: Descriptor terms: Suppl., Index, etc.

Enter descriptors like Suppl., Index, or CD as the last element of CHRON unless the term is part of the call number in 852 $i

Use standard list of terms for accompanying media at:http://www.library.yale.edu/rsc/sml/media/cat.html

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ENUM/CHRON: Suppl., Index, etc. LABEL EXAMPLES

852 $h N11 $i .C4X (LC)+$m Oversize

868 41 $8 0 $a v.31/35(1949/73) ENUM v.31-35CHRON 1949-73 IndexN11.C4Xv.31-351949-73Index(LC)+Oversize

852 $h H53 $i .W712 Suppl. (LC)+ $m Oversize

866 41 $8 0 $a 1970ENUM <blank>CHRON 1970H53.W712Suppl.1970(LC)+Oversize

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ENUM/CHRON: Alternative Number

Alternative number recorded on labelENUM v.10:no.1-6=no.121-126CHRON 2005:Jan.-Juneto print:

Q1.S34v.10:no.1-6=no.121-1262005:Jan.-June

= blank space

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Exercises 5-6 Based on the information about

the item in hand we have provided, supply the MARC tags and enter the volume holdings following the required standards.

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Summary Record volume holdings whether the set is

complete or incomplete Use 866 4 1 $8 0 $a to record volume holdings Follow ANSI principle: record what we have Follow ANSI standards and our local decisions for

punctuation, captions, enumeration, compression, and summary statements

Part detail at both ends of the range! (Or use the alternate procedure)

Follow local standards for recording ENUM/CHRON Captions now used in ENUM

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For reference: Policies & procedures for serial volume

holdings at:http://www.library.yale.edu/cataloging/Orbis2Manual/serialmhfd.htm

Policies & procedures for ser.vol. supplement:http://www.library.yale.edu/cataloging/Orbis2Manual/serialmfhdsuppl.htm

Preliminary records for monographic series on standing order:http://www.library.yale.edu/cataloging/documentation/prelimseries.htm

ENUM/CHRON fields:http://www.library.yale.edu/cataloging/Orbis2Manual/enumchron.htm

Names of months:http://www.library.yale.edu/cataloging/months.htm