STANDARDS FOR RECORDING SERIAL HOLDINGS IN MFHD

For: Technical Services Staff
By: Steven Arakawa
Date: (3/13/2003 creation date/ March 29, 2004 1:56 PM revision date)
 

CONTENTS: 1. Key definitions -- 2. Voyager MFHD -- 3. Indicator and Subfield values for Fields 866/867/868 -- 4. General Yale MFHD Policy for Serials. -- 5. Levels of Specificity -- 6. Basic Principle for Recording Extent of Holdings -- 7. Punctuation -- 8. Compression -- 9. Enumeration and Chronology -- 10. Gap and Non-Gap Breaks -- 11. Enumeration -- 12. Captions -- 13. Chronology -- 14. Microfilm, Reprints & Accompanying Material -- 15. More Examples -- 16. Supplements -- 17. Indexes -- 18. Free Text Notes -- Related Documents

OVERVIEW

Purpose: promote consistency in recording serial holdings by following the national standards.

Yale generally follows Level 4 (detailed holdings) of the current national standard for recording serial holdings: ANSI/NISO Z39.71-1999. Holdings Statements for Bibliographic Items. (Yale deviates from the current standard when recording some serial recon holdings.) The current standard supersedes: ANSI Z39.44-1986. Serial Holdings Statements.

Yale uses the MARC 21 Format for Holdings Data to store serial holdings records in machine readable form. At this time, Yale uses the MARC fields for textual holdings: 866, 867, 868. The MARC 21 standard supersedes: USMARC Format for Holdings Data, 1989.

1. KEY DEFINITIONS

Adjacent display. Holdings display in which each piece of enumeration is followed immediately by the corresponding chronology. Yale uses adjacent display in its holdings display.

Alternative enumeration. Additional, secondary enumeration assigned to some multipart units or serial units. Note: alternative enumeration provides a continuously numbered sequence in addition to hierarchichal designations. For example, "v.3:pt.1=fasc.7" reflects a primary enumeration of volumes and parts, and an alternative enumeration of fascicles.>

Basic bibliographic units. Primary bibliographic unit for which holdings are being recorded. Examples of basic bibliographic units are a book, a multivolume encyclopedia, a computer file, a map, a score, a set of orchestral parts, and a publication with separately titled constituent parts. A bibliographic entity composed of several bibliographic units where one does not predominate is considered to have multiple basic bibliographic units; for example, a multimedia kit or a musical score and parts.

Bibliographic unit. Discrete bibliographic entity that constitutes either the whole or a art of the bibliographic item. Note: a bibliographic unit may be a basic bibliographic unit, or a secondary bibliographic unit; it may be a single-part unit, a multipart unit, or a serial unit. A bibliographic unit may or may not correspond to a physical unit.

Caption. An alphabetic word or phrase attached as a prefix to the enumeration data that describes the type of data (for example, volume, Band, Heft, part, number, or tome).

Chronology. 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).

Combined numbering. The use of a combined numbering scheme when the publisher has chosen to publish two or more parts as one, for example, "number 3/4."

Compress. To record a range of holdings in terms of the enumeration and/or chronology of only the first and last parts held. Yale policy is that data elements may be compressed only if there is not a gap in the level or levels to be compressed.

Detailed holdings statement. Set of data elements required for Level 4 holdings to identify and record, at the most specific level of information, the parts of a bibliographic unit held by a particular institution. Yale generally applies when recording receipts and incomplete holdings, or for the holdings of some rare or special collection serials. Cf. Mixed; Summary holdings statements.

Enumeration. Data element in the Extent or Holdings Area that indicates the sequential numeric and/or alphabetic designation used by the publisher on a multipart or serial unit to identify the individual bibliographic or physical parts and to show the relationship of each part to the bibliographic unit as a whole.

Gap. A break or discontinuity in the holdings of the published parts of the serial held. The term does not refer to a break or discontinuity in the publication pattern of the serial.

Index. For the purposes of the ANSI/NISO standard, a separately described index (one having its own bibliographic record) is a basic bibliographic unit; an index described in the record for the main work that is not enumerated as part of the basic bibliographic unit is considered a secondary bibliographic unit.

Lacking. Not held. At Yale, used only in some recon holdings.

Mixed holdings statement. Holdings statement with a combination of summary and detailed levels of enumeration and/or chronology data.

Non-gap break. Break between the recorded parts of a multipart unit or serial unit caused by unpublished parts or discontinuity in the publisher's sequential designations.

Secondary bibliographic unit. Discrete bibliographic unit that is supplementary or complementary to a basic bibliographic unit or to another secondary bibliographic unit. Examples: map in pocket, set of updates to a loose-leaf, answer book accompanying a text, pamphlet accompanying an audiodisc.

Summary holdings statement. Holdings statement at the first (highest) level of enumeration and/or chronology. Yale policy is that data elements are recorded as summary holdings statements only if there is not a gap at any of the specific levels of the hierarchy. Where gaps occur, a mixed holdings statement is used. Cf. Detailed; Mixed holdings statements.

Supplement. Publication closely connected in subject matter to the basic bibliographic unit, issued by the same publisher, secondary to but separate from the basic bibliographic unit. A supplement having its own bibliographic description is considered a basic bibliographic unit and not treated as a supplement in the ANSI/NISO standard. A supplement included in the bibliographic description of the main work (basic bibliographic unit) is considered a secondary bibliographic unit so long as it is not enumerated as part of the main work, in which case it is considered a part of the basic bibliographic unit.

 

2. VOYAGER MFHD

Yale uses the Voyager MFHD to record holdings for serials. The Voyager MFHD stores data according to the MARC 21 Format for Holdings standard.

At this time, Yale uses MARC 21 field 866 (Textual holdings-Basic Bibliographic Unit) to record Basic Bibliographic Units for serials rather than fields 853-855 (Captions and Pattern) and 863-865 (Enumeration and Chronology).

 

 

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

For Supplementary Material, Yale uses MARC 21 field 867 (Textual holdings-Supplementary Material) rather than fields 854 (Captions and Patterns-Supplementary Material) and 864 (Enumeration and Chronology-Supplementary Material). The label SUPPLEMENTS is generated by the Voyager software in the webpac; the text "Supplement(s)" should not be entered in subfield a.

867 4 1 ‚8 0 ‚a <text> ‚x <text> ‚z<text>

For Indexes, Yale uses MARC 21 field 868 (Textual holdings-Indexes) rather than fields 855 (Captions and Pattern-Indexes) and 865 (Enumeration and Chronology-Indexes). The label INDEXES is generated by the Voyager software in the webpac; the text "Index(es)" should not be entered in subfield a.

868 4 1 ‚8 0 ‚a <text> ‚x <text> ‚z<text>

Enumeration data is recorded first; corresponding chronology follows immediately and is enclosed in parentheses. When a field is repeated, enumeration and chronology data are recorded from lowest enumeration data to highest, earliest data to latest.

EXAMPLE:

Published run: v. 1, no. 1-12 Jan.-Dec. 1960

Library holds: v. 1, no. 1-3, 5-8 Jan.-Mar., May-Aug. 1960

Record as:

866 4 1 ‚8 0 ‚a v.1:no.1(1960:Jan.)-v.1:no.3(1960:Mar.),
866 4 1 ‚8 0 ‚a v.1:no.5(1960:May)-v.1:no.8(1960:Aug.)

Details on indicators, punctuation, and compression are in subsequent sections.

 


 

3. INDICATOR AND SUBFIELD VALUES FOR FIELDS 866/867/868 (Permanent holdings)

 

Indicator 1 4=ANSI Level 4 (see 1. Levels of Specificity in the next section). Value 4 is MANDATORY
Indicator 2 1=Follows Z39.71 standard described in this document. Value 1 is MANDATORY.
‚8 0 Linkage field. May be used to facilitate arrangement of holdings fields if in the future, the MFHD includes both text and coded fields. Linkage field is MANDATORY.
‚a Textual holdings. MANDATORY.
‚x Staff note (does not display in Web Voyage)
‚z Public note (displays in Web Voyage)

 

 

 

 

 

 

 

Note that, for the time being, Yale procedure is to record current serial issue receipts in field 866. First and second indicator values for serial issue receipts should both be BLANK. Blank indicators will cause the current receipts to display in Web Voyage under the label Current Issues. (Values entered in the first and second indicators will cause the permanent holdings to display in Web Voyage under the label Library has. )

Volume holdings in 866 are transcribed following the American National Standard (ANSI)/NISO (National Information Standards Organization) Holdings Statements for Bibliographic Items standards (ANSI/NISO Z39.71-1999). Yale decisions on ANSI options as they apply to serials are recorded in this document.

For fixed field policies, see MFHD Policies & Procedures, 2.1-2.3

4. GENERAL YALE MFHD POLICY FOR SERIALS (Including series)

  • The MFHD is the record of permanent serial holdings. INTERIM POLICY: Until automated serial checkin is implemented, the MFHD will also be used to record issue receipts.
  • The MFHD is used with each serial record, even if holdings are complete in one issue or the bibliographic record is closed and holdings are complete.

EXCEPTION. At SML, the MFHD is NOT attached to the serial records for monograph series received on standing order when the record is used solely as a receipt record (i.e., is suppressed from public display in the webpac). Serial records without MFHDS are used for standing orders of monographic series that are classed separately. Note that cs sso receipts are recorded in the Acquisitions module only. (Some dept. libraries record cs sso's in 866 __, e.g. Divinity, and suppress the MFHD.)

TIP: To view cs sso receipts, open the Acquisitions Module. Select Check-in; then click on the Serials History icon. Use the radio buttons to select either the check in title or the ISSN and enter checkin title or ISSN in the Search for slot and click Search. Or for more familiar search parameters, click the Other Search button to open the familiar Cataloging Module search window and search. When the search is executed, the Order record title line should appear in the Select the Correct Order Record box. Double click on it to open the Search History Details window for the complete listing. EXAMPLE: Historische Mitteilungen Beiheft. Note that clicking on View Line Item in Acquisitions from the Record menu in the Cataloging Module will not retrieve the monographic series Search History Details window.

NEW: The bibliographic record for a classed together monographic series should display in the webpac and holdings should be recorded in the MFHD. If you notice that the record has been suppressed, be sure to uncheck the Suppress option under the System tab on both the bibliographic and MFHD records. Make sure that the staff note anlyz has been entered in 852 $x. The bibliographic record should be updated to full level if necessary. Do not follow this procedure for classed separately titles.

5. LEVELS OF SPECIFICITY

At Yale, ANSI Level 4 is used.

"Level 4 provides detailed extent of holdings information. The detailed holdings statement may be either itemized or compressed; the detailed holdings statement may be either open or closed. ... If enumeration [is] applicable, the most specific levels (including all hierarchical levels) must be included."

YUL holdings statements should always be closed. EXCEPTION: remote electronic resources use open statements when holdings are created locally. (Some vendor supplied records for electronic resources will not have serial holdings in 866)

Yale does not use ANSI Level 1 ("no indication of extent of holdings"), Level 2 ("general guidance as to the extent of the institutions' holdings") or Level 3 ("summary extent of holdings"). Note that Level 3 is understood to utilize the summary statement even when there are gaps. Cf. the examples for values 3 and 4 in MARC 21 Format for Holdings Data. Yale policy is always to indicate gaps, so to avoid ambiguity, never use first indicator 3 in 866.

Although Yale uses Level 4, the summary holdings statement is used to record holdings when there are no gaps within a range. When gaps occur, a mixed holdings statement is used, combining detailed and summary holdings statements.

The current standard is intended to allow institutions to record holdings with a combination of level 3 and level 4, allowing the institution to record some Extent of Holdings areas at the summary level, while others are recorded at the detailed level, within the same holdings statement. To simplify processing and to make clear that Yale summary statements never ignore gaps, code first indicator as 4 for all holdings statements, even when a non-gap summary statement is recorded.

For detailed scope notes on Levels 1-4, see ANSI/NISO Z39.71-1999 p. 15.

6. BASIC PRINCIPLE FOR RECORDING EXTENT OF HOLDINGS

"When the extent of holdings is explicitly recorded, this standard requires the recording of those pieces held rather than of those pieces not held." (ANSI/NISO Z39.71-1999, p. 2, 1.2.4. Pieces Held) See also p. 26: "Record and display data in a positive sense; that is, emphasize that which is held rather than that which is not." Gaps shall be indicated and are determined by the absence of any bibliographic unit at any level of order designators (first order or any subsequent order.).  

EXCEPTION. RECON ONLY. For subsequent orders of designation, incomplete volumes detailing issues missing or issues held are recorded separately. (See example at 14. below.)

Extent of holdings must be based on examination of the physical items. If the physical items cannot be examined, the Recon technique must be used.

7. PUNCTUATION, etc.

Use prescribed punctuation when recording holdings.

ANSI STANDARDS summary for punctuation and display as applied to serials (incorporating Yale option applications and modifications):

  1. Angle brackets. "Encloses the Specific Extent Note. The opening angle bracket is always preceded by a blank; the closing angle bracket is always followed by a blank." (See Microform and Accompanying Material, 14d.)

    <sound disc>

    <Water-damaged>

  2. Blank space. "Indicates separation of data elements within an area." For our holdings, blank is used in chronology data to separate a month from a day if the month is not abbreviated.

    (1988:June 12)
    (1988:Aug.15)


    NO BLANK SPACE before or after punctuation (except: square and angle brackets)


  3. Colon (:) "Separates two orders or levels of hierarchical bibliographic units." The hierarchy order should be from higher to lower. Blanks are not used before or after. Note in the second example that the series level is considered the first level of enumeration and is separated from the second level with a colon.

    v.1:no.1:pt.1

    new ser.:v.1


  4. Comma (,) "Indicates a gap in a range of holdings. Blanks are not used before or after the comma."

    1942-1945,
    1953-1955


  5. Equal sign (=) "Separates alternative numbering schemes. Blanks are not used before or after the equal sign." See also 11j. ALTERNATIVE NUMBERING SCHEMES.

    v.2:no.5(1950)=no.11

  6. Forward slash (diagonal) (/) "Indicates combined numbering, combined chronology or non-calendar year chronology data. Blanks are not used before or after the diagonal."

    v.1/5(1960/1965)


  7. Hyphen (-) "Indicates an unbroken range of holdings or open holdings. Blanks are not used before or after the hyphen."

    v.1(1953)-v.5(1957)

  8. Parentheses "separate enumeration and chronology when the data are recorded together. Parentheses are neither preceded nor followed by a blank."

    v.1(1950)

  9. Plus sign (+). "Separates a basic bibliographic unit from a subsequent one or from a secondary bibliographic unit. Blanks are used before and after a plus sign." See example under Quotation marks.

  10. Question mark "indicates unknown digit(s) of a date when either the decade and/or year are not known." No blank before; follow closing question mark with a blank unless used in conjunction with other punctuation that forbids blank before/after, e.g. parentheses.

    195?-197?
    18??


    BUT:

    v.1(19??)-v.8(195?)

  11. Quotation marks. "Encloses the name of a Unit." Precede and follow with blank space. See also example under Microform & Accompanying Material 14d.

    + "Cases" v.1(2000)-v.2(2001) <bound>


  12. Semicolon (;) "indicates a non-gap break," i.e., when an item is not published or a change in numbering occurs. Blanks are not used before or after. Use a line break following the semicolon for clarity.

    v.1(2000)-v.4(2004);
    v.6(2006)

    v.1(1900)-v.4(1904);
    new ser.:1(1905)-new ser.:12(1917);
    new ser.2:v.1(1918)-new ser.2:v.10(1928)

  13. Square brackets "enclose supplied enumeration or chronology data." Blank space before and after square brackets, unless used in conjunction with other punctuation that forbids blank before/after, e.g. equal sign, comma, parentheses. See Section 11, example 11g.

    [Bd.1](2002)

  14. Caption is transcribed consistently before each appropriate enumeration. (YUL)

  15. New line (i.e. new 866/867/868) for gap or change in enumeration (YUL)

 

 

8. COMPRESSION (ANSI 5.5.1.2) and LEVELS OF ENUMERATION (ANSI 5.5.4.1)

Holdings are compressed whenever possible. A hyphen is used to indicate compression.

OPTIONALLY, cataloger may decide not to compress in order to bring out issue details. This is more likely to occur with Beinecke and other special collections.

If there are no gaps between recorded pieces at the lowest hierarchical level, holdings are compressed in 86x. Compression may occur even if there are nongap breaks

Non-compressed:

866 4 1 ‚8 0 ‚a v.1:no.1(1976:Jan.)
866 4 1 ‚8 0 ‚a v.1:no.2(1976:Feb.)
866 4 1 ‚8 0 ‚a v.1:no.3(1976:Mar.)
866 4 1 ‚8 0 ‚a v.1:no.4(1976:Apr.),
866 4 1 ‚8 0 ‚a v.1:no.6(1976:June),
866 4 1 ‚8 0 ‚a v.1:no.8(1976:Aug.)
866 4 1 ‚8 0 ‚a v.1:no.9(1976:Sept.)
866 4 1 ‚8 0 ‚a v.1:no.10(1976:Oct.)

 

Compressed form:

866 4 1 ‚8 0 ‚a v.1:no.1(1976:Jan.)-v.1:no.4(1976:Apr.),
866 4 1 ‚8 0 ‚a v.1:no.6(1976:June),
866 4 1 ‚8 0 ‚a v.1:no.8(1976:Aug.)-v.1:no.10(1976:Oct.)

If within a level there are no gaps, generally eliminate any unnecessary, subordinate levels of enumeration. Use judgment in eliminating subordinate levels of detail if to do so would cause an unacceptable level of ambiguity.

EXAMPLE:

Compressed form with subordinate levels recorded:

866 4 1 ‚8 0 ‚a v.1:no.1(1976:Jan.)-v.1:no.12(1976:Dec.)

 

With subordinate levels eliminated:

866 4 1 ‚8 0 ‚a v.1(1976)

 

"If it is necessary to record both first-level and subsequent level enumeration in the holdings statement, repeat all levels of enumeration at the beginning and end of each range held." (ANSI p. 29) In the following example, a gap occurs in the subsequent enumeration level of v. 2, so both ends of the range in the first 866 repeat all levels of enumeration, even though v.1 is complete. There are no gaps in volumes 3, 4, and 5, so the subsequent levels of enumeration are eliminated when the compressed form is recorded as a summary statement.

 

866 4 1 ‚8 0 ‚a v.1:no.1(1976:winter)-v.2:no.3(1976:fall),
866 4 1 ‚8 0 ‚a v.3(1978)-v.5(1980)

"For both numbered and unnumbered first-level series designators, record the series level as the first level of enumeration. When the first level is a series, always record the second-level enumeration along with the first level." Note that the first level is separated from the second level with a colon. See also the example under 11i.

866 4 1 ‚8 0 ‚a new ser.:v.1(1999)

 

Although the standard now permits open-ended holdings statements, Yale policy is not to use such statements with the exception of e-journals.

9. ENUMERATION AND CHRONOLOGY (ANSI 5.5.1.4)

When both enumeration and chronology are present, both should be recorded and supplied. Enumeration and chronology may be displayed separately or adjacent to each other. Yale displays enumeration and chronology adjacently.

If both enumeration and chronology data are recorded adjacently, the chronology data is recorded in parentheses. If the item does not carry numeric designation and chronological designation is used (e.g., some annual publications), parentheses are not used with the chronology data.

866 4 1 ‚8 0 ‚a 1999:Dez.-2000:Mai

 

Enumeration and chronology is recorded from lowest enumeration data to highest; earliest date to latest.

10. GAP AND NON-GAP BREAKS (ANSI 5.5.1.5)

If holdings are complete, one holdings field is used showing inclusive complete volumes.

Holdings complete:

866 4 1 ‚8 0 ‚a v.1(1976)-v.20(1996)

Use a comma (,) to indicate a gap in holdings. When a gap occurs, Yale practice is to enter a new 866 field, the equivalent of a "line break":

866 4 1 ‚8 0 ‚a v.1:no.1(1982:Jan.)-v.6:no.2(1987:June),
866 4 1 ‚8 0 ‚a v.6:no.4(1987:Oct.)-v.7:no.4(1988:Oct.)

 

866 4 1 ‚8 0 ‚a v.1:no.1(1981:fall)-v.1:no.2(1981:winter),
866 4 1 ‚8 0 ‚a v.2:no.3(1982:spring)-v.10:no.2(1989:winter),
866 4 1 ‚8 0 ‚a v.11(1990/1992)

Use a semicolon (;) to indicate a change in enumeration (non-gap break). If a non-gap break occurs adjacent to a gap, a semicolon may be placed next to a comma. Yale practice is to enter a new 866 field when a non-gap break occurs.

866 4 1 ‚8 0 ‚a v.1(1981)-v.2(1982);
866 4 1 ‚8 0 ‚a new ser.:v.1(1983)-new ser.:v.7(1989);,
866 4 1 ‚8 0 ‚a new ser.2:no.2(1991)-new ser.2:no.3(1993)

A semicolon may also be used to denote a gap when a volume was never published.

866 4 1 ‚8 0 ‚a v.1(1981)-v.2(1982);
866 4 1 ‚8 0 ‚a v.4:no.1(1984)

However, if it is possible to compress the holdings (i.e., in situations where a change in enumeration is not involved), the non-gap break is not accounted for. If, in the previous example, all issues for v. 4 were received, the holdings would be recorded as:

866 4 1 ‚8 0 ‚a v.1(1981)-v.4(1984)

CAUTION: the bibliographic record must indicate that the volume was never published.

11. ENUMERATION (ANSI 5.5.4)

ENUMERATION. Data indicating the sequential numeric and/or alphabetic designation used by the publisher of the serial to identify the individual bibliographic or physical parts and to show the relationship of each part to the bibliographic unit as a whole.

11a. Supplied enumeration. "If the bibliographic item does not carry enumeration, do not supply it." (p. 28) See 11g. for an exception.

11b. Record enumeration by giving the caption followed by the sequential designator (the number). If the enumeration on the item uses ordinal numbering, with the number preceding the caption, convert to cardinal numbering in order to place the caption first. (ANSI Option 5.5.4.3, p. 30)

Item in hand has designation: 3. Teil. Record in 866 as:

866 4 1 ‚8 0 ‚a T.3(2004)

 

EXAMPLES:

Band 5 becomes Bd.5
volume 16, no. 3 becomes v.16:no.3
third series becomes ser.3
63 recorded as 63
volume 63 recorded as v.63

11c. If the parts have hierarchical enumeration, record the sublevels following a colon when the situation warrants recording of sublevels. See also 8. Compression above.

866 4 1 ‚8 0 ‚a v.1:no.1(2004:Jan.15/31)

866 4 1 ‚8 0 ‚a v.1:no.1:pt.A(2005:jan.)

11d. "Convert all numeric information to Arabic numbers" (p. 30).

VII becomes 7
sixth volume becomes v.6

11e. "Record uppercase and lowercase alphabetic characters as they appear on the item" (p. 31):

866 4 1 ‚8 0 ‚a 23a(2006:Apr.28)


866 4 1 ‚8 0 ‚a no.36B(2006:July/Dec.)


866 4 1 ‚8 0 ‚a v.B(2007:summer)

Yale will apply the option to romanize nonroman alphabetic data. See 12b.

11f. "When a bibliographic item is used with combined numbering--not when bound together after receipt--separate the numbers by a forward slash." (p. 31). If a caption is used, record the caption for the first number only.

866 4 1 ‚8 0 ‚a v.1/2(1985/1986)

11g. "When a part of an otherwise numbered unit lacks numeric or alphabetic designation, it may be supplied in square brackets" (p. 31):

Itemized form:

866 4 1 ‚8 0 ‚a [Bd.1](2002)
866 4 1 ‚8 0 ‚a Bd.2(2003)
866 4 1 ‚8 0 ‚a Bd.3(2004)

Compressed form:

866 4 1 ‚8 0 ‚a [Bd.1](2002)-Bd.3(2004)

11h. Record an incorrect numeric designation as found, with the correct form in square brackets preceded by "i.e." (p. 31). In this example some itemization is used to avoid potential ambiguity.

866 4 1 ‚8 0 ‚a v.1(1988)-v.2(1989);    
866 4 1 ‚8 0 ‚a v.2 [i.e.3](1990);   Volume 3 was incorrectly numbered by the publisher
866 4 1 ‚8 0 ‚a v.4(1991)-v.9(1996)    

11i. Series designators ("new series" and equivalent). Always record as first level enumeration whether unnumbered or not and always record the second level as well.

11i:1. New series with numbering. Caption and numbering included as another element of the enumeration hierarchy:

866 4 1 ‚8 0 ‚a ser.1:v.1:no.1(2003)

11i:2. New series without numbering. Note that the series designator is still separated from the second level with a colon, even though the series designator is not numbered.

866 4 1 ‚8 0 ‚a n.F.:Bd.1(2003)

11j. REPEATING NUMBERS.

Per AACR2 12.3C4, "if the designation consists of a year and a number that is a division of the year, give the year before the number."

CONSER example (8.5.5):

On piece:

no. 1 1990 (no. 1 repeats each year)

In record:

362 0   ‚a 1990, no. 1-

MFHD:

Volume 1990 incomplete; volume 1991 complete:

866 4 1 ‚8 0 ‚a 1990:no.1-1990:no.5,
866 4 1 ‚8 0 ‚a 1990:no.7-1991:no.8

Volumes 1990 and 1991 complete (compressed):

866 4 1 ‚8 0 ‚a 1990-1991

 

 

11k. ALTERNATIVE NUMBERING SCHEMES. "If there is a scheme of continuously incrementing issue numbers or other numbering schemes in addition to a regular scheme of enumeration, the alternative numbering scheme or schemes may be recorded, following the regular scheme of enumeration and separated by an equals sign." (ANSI p. 32)

Yale policy is generally to record the alternative numbering; Yale will adapt LCRI 12.3E to determine where the alternative numbering will be recorded in relation to the chronology. "If more than one numeric system is recorded, generally record the chronological system with the first numeric system (cf. rule 12.3C4)."

 

866 4 1 ‚8 0 ‚a v.3:no.1(2003)=no.50

866 4 1 ‚8 0 ‚a v.1:pt.1(1893)-v.56:pt.2(1948)=no.1-no.666

CAUTION: When volume number and consecutive numbers appear together on the source, and the consecutive numbers are a subordinate level of designation, the consecutive number is recorded subordinately to the volume number; rather than as alternative numbering (cf. CONSER CATALOGING MANUAL 8.3.2c).

Bibliographic record has:

500     ‚a Description based on: v.153:no.3873(1944)

In that case, record volume holdings as:

866 4 1 ‚8 0 ‚a v.153:no.3873(1944)-v.160:no.4071(1947)

If the bibliographic record has no indication whether or not the consecutive numbers are to be recorded subordinately, record as alternative enumeration if the numbering is considered useful to record:

866 4 1 ‚8 0 ‚a v.153(1944)-v.160(1947)=no.3873-no.4071

As a rule of thumb, record alternative numbering only if it is accounted for in the bibliographic record in field 362 or a 500 Description based on note. (But not field 515; see the last example.) For alternative numbering examples, see CONSER Cataloging Manual 8.5.4. However, if the alternative numbering is commonly used in citation practice, or if there is reason to believe patrons are otherwise likely to use the alternative numbering, or if the alternative numbering is useful for check-in, record the alternative numbering even if it is not recorded in 362 or 500. (An example is the journal Nature.)

If the original numerical designation is consecutive but a new designation, such as "new series" or the like, appears in addition to the consecutive numbering designation, the additional designation is generally recorded in a 515 note; in that case, do not record the additional designation in 866. Cf. Liheng, Carol. Serials cataloging handbook. 2nd ed., p. 116-117 (F12).

515     ‚8 0 ‚a v.26-50 also called: ser. 2, v. 1-ser. 2, v. 25; v. 51-75 also called: ser. 3, v. 1-ser. 3., v.25; v. 76-100 also called: ser. 4, v.1-ser. 4, v. 25.

866 4 1 ‚8 0 ‚a v.1(1851)-v.124(1974)

NOT:

866 4 1 ‚8 0 ‚a v.1(1851)-v.25(1875);
866 4 1 ‚8 0 ‚a v.26(1876)-v.50(1900)=ser.2:v.1-ser.2:v.25;
866 4 1 ‚8 0 ‚a v.51(1901)-v.75(1925)=ser.3:v.1-ser.3:v.25;
866 4 1 ‚8 0 ‚a v.76(1926)-v.100(1950)=ser.4:v.1-ser.4:v.25;
866 4 1 ‚8 0 ‚a v.101(1951)-v.124(1974)

 

12. CAPTIONS (ANSI 5.5.4.2)

Caption. "A word, phrase, or abbreviation indicating the parts into which the publisher has divided the serial." Examples: "volume," "Band," "Teil," "part," "tome."

12a. ANSI Z39.71-1999. p. 29. Recording captions is optional. Yale applies the option. If parts of a unit do not have captions, captions are not supplied.

12b. "Transcribe captions associated with enumeration in the vernacular form appearing on the publication, transliterated when needed. Record captions in the singular. Optionally, captions may be translated. If the parts of a unit have no captions, do not supply captions." (p. 29)

Yale does not apply the translation option, i.e. if the caption is Bd., use Bd. as the caption rather than v.

EXCEPTION: East Asia and Near East cataloging translate captions instead of transliterating. Hebraica will use "v." if caption is lengthy and no abbreviation (see 12c.) is available.

12c. Per ANSI Z39.71-1999 (p. 30), if an AACR2 caption abbreviation is available, the abbreviation is used. ANSI option if no abbreviation in AACR2 is "other standard lists or ISO 832 rules." With Voyager Yale will now apply both the AACR2 and ISO abbreviations in MFHD. If the caption abbreviation is not listed in either AACR2 or the ISO list, it must be transcribed in full, unabbreviated form. Use of additional lists need to be documented; touch base with the Chief Cataloging Librarian. CAUTION: only AACR2 abbreviations may be used in the bibliographic record.

AACR2 abbreviations are on the Cataloging at Yale page/Tools & Resources at:

http://www.library.yale.edu/cataloging/abbrev.htm

Combined AACR2 and ISO abbreviations are available on the Cornell Technical Services page:

Cornell AACR2/ISO caption abbreviation list

Use lowercase for captions unless the language of the caption (e.g. German nouns) requires an uppercase first letter.

12d. If a symbol (e.g. #) is used as a caption and it has a recognized textual equivalent, record the textual equivalent [ANSI Z39.71-1999 (p. 30)]; use the AACR2 abbreviation if listed:

Caption on piece: #1. Record in 866 as:

866 4 1 ‚8 0 ‚a no.1(2003)

12e. If enumeration follows an unabbreviated caption (i.e., no end punctuation), leave one space between the caption and the enumeration. (p. 30)

In the following example, there is no authorized abbreviation for Heft and it is transcribed as is. Since there is no end punctuation, a space is entered betwen Heft and 1.

 

866 4 1 ‚8 0 ‚a Heft 1(2000)

12f. ANSI: "Captions need not be repeated after the hyphen. However, captions may be repeated after the hyphen when needed for clarity."

Yale practice is to repeat the caption in all instances to promote standardization:

866 4 1 ‚8 0 ‚a Heft 1(2000)-Heft 2(2001)

 

13. CHRONOLOGY (ANSI 5.5.5)

The holdings record incorporates all levels of chronology data (e.g., year, month, day) (RECON: that are recorded consistently on the card.)

If both enumeration and chronology are present, ANSI states that both may be recorded. Yale records both. Note also that, per ANSI, if only enumeration is present, only enumeration is recorded; chronology is not supplied. And, vice versa, if only chronology is present, record only chronology; do not supply enumeration.

However, if a serial normally carries chronology data, and such data is omitted from a specific piece, it may be supplied within brackets. (ANSI option followed by Yale)

DATES (ANSI 5.5.5.2)

When more than one type of date is recorded, a single date is selected from the following preferred dates, in the order indicated:

Date of coverage

Date of publication

Date of copyright

Date of printing

The date of reprinting is not used in the holdings record because the chronology information used is that associated with the original work. Reprint information is properly a part of the bibliographic description of the work. 

The format for the year includes all four digits, even if the item does not.

1993/1994 not 1993/94

If the century or decade is not known, the year is not recorded.

Months, seasons, and days are recorded in the vernacular form appearing on the publication and romanized, if necessary. Chronology data is abbreviated according to the appropriate portions of AACR 2 Appendix B.

http://www.library.yale.edu/cataloging/abbrev.htm

Day notations are not treated as a separate hierarchical level.

USE: (1968:June 12)
NOT: (1968:June:12)

Chronology data is recorded from highest hierarchical level to lowest; the colon is used to separate each level:

(1980:Jan.)
(1996:Oct.19:am) <daily newspaper w/morning & evening eds.>

Note that a blank space is used in chronology data to separate a month from a day if the month is not abbreviated. (See Section 7. Punctuation)

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

1989/1990 <either a non-calendar year or a biennial>
1990/1992 <triennial>

YUL practice: Although ANSI standard is to record non-Gregorian chronological data when it is the only scheme used, YUL East Asia and Near East teams convert the chronological data to Gregorian; dates are not bracketed; months and seasons are translated into English.

East Asia example:

245 0 0 ‚6 880-01 ‚a Wen xue Taiwan.
310     Quarterly
362 0   ‚6 880-04 ‚a no. 1(2002 chun ji)-

866 4 1 ‚8 0 ‚a no.1(2002:spring)-no.3(2002:fall)

Hebraica: If only the non-Gregorian date appears on the source, Hebraica records the non-Gregorian date followed by the Gregorian year in brackets; Gregorian months and seasons are not recorded. If both the non-Gregorian and Gregorian dates appear on the source, only the Gregorian date (including transliterated months and seasons) is recorded.

Hebraica example (Gregorian date does not appear on the source):

245 0 0 ‚a BDD : ‚b be-khol derakhekha da°ehu : ketav-°et le-°inyene Torah u-mada°.
362 0    ‚a òHov. 1 (755 [1994 or 1995])-

866 4 1 ‚8 0 ‚a òhov.1(755 [1994 or 1995])

NOTE: The earlier Gregorian date is recorded in the item record CHRON field to facilitate shelving; the non-Gregorian date is not recorded in CHRON.

Hebraica example (Gregorian date appears on the source):

245 0 0 ‚a °Emdah : ‚b biòta®on le-sifrut.
362 0    ‚a 1 (aviv 1995)-

866 4 1 ‚8 0 ‚a 4(1996:òhoref)-10(2002:òkayits)

 

 


 

 

14. PROCEDURES FOR MICROFORM, REPRINTS, AND ACCOMPANYING MATERIAL

14a. If a microform set is original, record holdings based on the bibliographic designation.

010     ‚a 93640490
245 0 0 ‚a Dun's business identification service ‚h [microform].
260     ‚a [Parsippany, N.J.] : ‚b D & B,
300     ‚a microfiches : ‚b negative
310     ‚a Semiannual
500     ‚a Description based on: May 1984; title from eye-readable header.

866 4 1 ‚8 0 ‚a 1984:May-2003:May

 

14b. If a microform set is a reproduction of a single title,

  • record holdings based on the bibliographic designation in 866
  • leave the number of physical parts (reels or microfiches) blank in field 533 if the set is ongoing; record the total number of physical parts if the set is complete



010     ‚a sn 83010209
245 0 0 ‚a Dun's business month ‚h [microform].
260     ‚a New York, N.Y. : ‚b Dun & Bradstreet, ‚c c1981-
300     ‚a v. : ‚b ill. ; ‚c 28 cm.
310     ‚a Monthly
362 0   ‚a [Vol. 118, no. 3] (Sept. 1981)-
533     ‚a Microfiche. ‚b Ann Arbor, Mich. : ‚c University Microfilms International, ‚e microfiches. ‚f (Publication 202)

 

866 4 1 ‚8 0 ‚a v.118(1981)-v.140(2003)

 

14c. Reprints. Record holdings based on the original bibliographic designation in 866.

010     ‚a sf 92090648 ‚z sn 90010223
245 0 4 ‚a The blue review.
260     ‚a London : ‚b Frank Cass and Co. Ltd., ‚c 1968.
300     ‚a 1 v. ; ‚c 26 cm.
362 0   ‚a Vol. 1, no. 1 (May 1913)-v. 1, no. 3 (July 1913).
580     ‚a Originally published monthly: London : Martin Secker, 1913.

 

866 4 1 ‚8 0 ‚a v.1:no.1(1913:May)-v.1:no.3(1913:July)

 

14d. Generally do not record accompanying material in the MFHD. Instead, record accompanying material only in 300 $e, in a note, or ignore in the bibliographic description, as appropriate. See CONSER Cataloging Guide, 11.4.3. "Once you have determined what you have in hand, decide how to describe it. As with the illustration statement, consider the entire serial. Will each issue be likely to contain such material or is this more likely a one-time occurrence? If the latter is true, a note in the record may be more appropriate (AACR2 12.5E1, 12.7B13) or the accompanying material may be ignored. " (Advertising material might be an example of material to be ignored.)

In the following example, each issue is accompanied by an audio compact disc*:

*(i.e., in the original CONSER example; LC later revised the record and recorded information about accompanying material in a note).

010     ‚a 90649787
245 0 0 ‚a Amadeus : ‚b il mensile della grande musica.
260     ‚a Milano : ‚b De Agostini-Rizzoli periodici, ‚c [1989?-
300     ‚a v. : ‚b ill. (chiefly col.) ; ‚c 29 cm. + ‚e sound discs
310     ‚a Monthly
362 0   ‚a Anno 1, n. 1 (dic. 1989)-

866 4 1 ‚8 0 ‚a anno 1(1989)-anno 2(1990)

In the following example, some issues have accompanying material:

010     ‚a 87656977
245 0 0 ‚a OCLC micro.
260     ‚a [Dublin, Ohio : ‚b OCLC Online Computer Library Center, ‚c c1985]-1992.
300     ‚a 8 v. : ‚b ill. ; ‚c 23 cm.
310     ‚a Bimonthly
362 0   ‚a Vol. 1, no. 1 (Mar. 1985)-v. 8, no. 6 (Dec. 1992).
500     ‚a Some issues accompanied by diskettes.

866 4 1 ‚8 0 ‚a v.1(1985)-v.8(1992)

 

14e. If considered to be important, accompanying material should be recorded in field 866 and not as a supplement in field 867. In such cases, accompanying material should be recorded as a "secondary bibliographic unit" in field 866 according to the scheme: <primary bibliographic unit> + <secondary bibliographic unit>. This procedure might be more appropriate for a rare, dead serial. It would be misleading to record only selected accompanying material in 866 for an ongoing serial.

866 4 1 ‚8 0 ‚a v.1(1989)-v.3(2002)
866 4 1 ‚8 0 ‚a v.4(2003) + 1 globe
866 4 1 ‚8 0 ‚a v.5(2004)-v.6(2005)

If the library decides to record the accompanying material for the Amadeus example in MFHD (based on ANSI 1999 example 20, p. 43):

866 4 1 ‚8 0 ‚a v.1(1985)-v.8(1992)
866 4 1 ‚8 0 ‚a + "musica" v.1(1985)-v.8(1992) <sound discs>

Note use of plus sign, line break, quotation marks, and angle brackets to identify the accompanying material.

If the accompanying material has been given a distinct name by the publisher, it is recorded in quotation marks; include a specific extent note in angle brackets if the nature of the accompanying material is not clear. Where the publisher has not assigned a distinct name, generally use a standard term from the appropriate AACR2 chapter without quotation marks.

15. MORE EXAMPLES:

15.1. Preview issues (based on Cornell examples)

Premier issue is v. 1, no. 0

866 4 1 ‚8 0 ‚a v.1(1971)-v.15(1985)

Premier issues is v.0, no. 0

866 4 1 ‚8 0 ‚a v.0(1971)-v.15(1985)

Preview issue without enumeration

866 4 1 ‚8 0 ‚a 1971:Sept.;
866 4 1 ‚8 0 ‚a v.1(1971)-v.15(1985)

866 4 1 ‚8 0 ‚a premier issue (1970);
866 4 1 ‚8 0 ‚a v.1(1971)-v.15(1985)

15.2. Issued in 2 parts; one issue is incomplete (Cornell example):

Annual composed of 2 parts, "Undergraduate degree programs" and "Graduate degree programs"

866 4 1 ‚8 0 ‚a 1st ed.(1972)-7th ed.(1978),
866 4 1 ‚8 0 ‚a 8th ed.:graduate degree programs(1979)
866 4 1 ‚8 0 ‚a 9th ed.(1990)-18th ed.(1989)

15.3. RECON ONLY. If the original statement card recorded issues lacking/wanting:

866 4 1 ‚8 0 ‚a v.1(1900)-v.12(1912)
866 4 1 ‚8 0 ‚a v.13(1913) lacks no. 1,4,6,11
866 4 1 ‚8 0 ‚a v.14(1914)
866 4 1 ‚8 0 ‚a v.15(1915) lacks no. 1,6-10
866 4 1 ‚8 0 ‚a v.16(1916) lacks no. 7,12
866 4 1 ‚8 0 ‚a v.17(1917) lacks no. 3
866 4 1 ‚8 0 ‚a v.18(1918)-v.24(1924)

 

15.4. RECON ONLY. If the statement card recorded issues held:

866 4 1 ‚8 0 ‚a v.1(1900)-v.12(1912)
866 4 1 ‚8 0 ‚a v.13(1913) have no. 2-3,5,7-10,12
866 4 1 ‚8 0 ‚a v.14(1914)
866 4 1 ‚8 0 ‚a v.15(1915) have no. 2-5,11-12
866 4 1 ‚8 0 ‚a v.16(1916) have no. 1-6,8-11
866 4 1 ‚8 0 ‚a v.17(1917) have no. 1-2,4-12
866 4 1 ‚8 0 ‚a v.18(1918)-v.24(1924)

15.5. Remote online resource:

Comment: volume holdings are not recorded for remote online resources in MFHD; 856 in bib record is used to hot-link to full text holdings supplied by vendors.

130 0   ‚a Acta anaesthesiologica Scandinavica (Online)
245 0 0 ‚a Acta anaesthesiologica Scandinavica ‚h [electronic resource].
260     ‚a Copenhagen [etc.] : ‚b Munksgaard [etc.]
310     ‚a Eight issues a year ‚b <May 1985->
321     ‚a Bimonthly
362 0   ‚a Coverage as of Sept. 11, 2000: vol. 43, issue 1 (Jan. 1999)-
500     ‚a Description based on: Vol. 43, issue 1 (Jan. 1999); title from journal information screen (viewed Sept. 11, 2000).
506    

‚a Subscription required for access to abstracts and full text.

516     ‚z Electronic journal articles are available in portable document format (PDF). Abstracts are in HTML format.
590    

‚a Access is available to the Yale Community through use of a networked computer with a Yale IP address.

856 4 0 ‚u http://www.blackwellsynergy.com/
journals/member/institutions/
issuelist.asp?journal=man
 

Generally use the following for remote electronic resources:

852 8 0 ‚b yulint ‚k None ‚h ‚z Online Resource

CAUTION. If the bib record is associated with an order record, the call number will display as "On order" unless ‡k None ‡h is entered.

15.6. MFHD for Batch-loaded remote electronic resources

The following is used for batch loaded remote electronic resources.

Bib record:

245 0 0 ‚a Administrative science quarterly ‚h [electronic resource].
260     ‚a [Ithaca, N.Y., ‚b Graduate School of Business and Public Administration, Cornell University]
362 0   ‚a v. 1- June 1956-
506     ‚a Access restricted by licensing agreement.
590     ‚a Access is available to the Yale Community through use of a networked computer with a Yale IP address.
856 4 0

‚z Full text from 03/01/1987 to 09/01/2001 (ABI/INFORM Global) ‚u http://proquest.umi.com/pqdweb?RQT=318&pmid=24671

856 4 0 ‚z Full text from 03/01/1989 to 09/01/2002 (Business & Company Resource Center) ‚u
http://galenet.galegroup.com/servlet/BCRC
856 4 0

‚z Full text from 03/01/1989 to 09/01/2002 (General Reference Center Gold) ‚u http://infotrac.galegroup.com/itw/infomark/1/1/1/
purl=
rc3%5fGRGM%5F0%5F%5Fjn+%22Administrative+
Science+Quarterly%22)

856 4 0

‚z Full text from 03/01/1989 to 09/01/2002 (InfoTrac OneFile) ‚u
http://infotrac.galegroup.com/itw/infomark/1/1/1/
purl=rc3%5fITOF%5F0%5F%5Fjn+%22Administrative+
Science+Quarterly%22

MFHD:

852 8 0 ‚b yulint ‚z Online Resource

Comment. Since batchload records are not associated with order records, the ‡k None ‡h are not entered.

 

16. SUPPLEMENTS

A supplement with an independent numbering scheme is considered a separate serial and described in a separate bibliographic record.

For a supplement described in a separate bibliographic record, the numbering scheme of the supplement is recorded in the holdings record for the supplement. For example, the library holds volumes 66-69 of Beiheft zur A for 1965-1968, which is represented by its own bibliographic record. Record holdings as:

866 4 1 ‚8 0 ‚a v.66(1965)-v.69(1968)

A supplement that is not described in a separate bibliographic record and not contained within a basic bibliographic unit (i.e., one of the segments of the publication sequence of a serial as designated by the publisher) is recorded in the holdings record in field 867 in the form:

<caption><vol. no.>:suppl.

EXAMPLE (item states: "Supplement to v.14, 1914 of The antiquarian"):

866 4 1 ‚8 0 ‚a v.1(1900)-v.12(1912),
866 4 1 ‚8 0 ‚a v.14(1914),
866 4 1 ‚8 0 ‚a v.18(1918)-v.24(1924)
867 4 1 ‚8 0 ‚a v.14:suppl.

For supplements with numbering related to a particular volume or issue of the parent serial, all hierarchical levels of the enumeration and chronology data appearing on the publication are recorded in the holdings record. In the following example, there exist multiple numbered and dated supplements to v.18; library has supplement 2.

867 4 1 ‚8 0 ‚a v.18:suppl.2(1918:June 1)

Supplement holdings are compressed if it is possible to do so. For example, if it is known that every volume is accompanied by supplements within a given range, compress as follows in the volume holding statement:

867 4 1 ‚8 0 ‚a v.31:suppl.-v.35:suppl.

 

17. INDEXES

An index with an independent numbering scheme is considered a separate serial and described in a separate bibliographic record.

For indexes described in separate bibliographic records, the numbering scheme of the index is recorded in the holdings record for the index. For example, the library holds 1975-1977 of the Index of Title E where the Index is represented by its own bibliographic record. Record holdings as:

866 4 1 ‚8 0 ‚a 1975-1977

An index that is not described in a separate bibliographic record but contained within a basic bibliographic unit (i.e., one of the segments of the publication sequence of a serial as designated by the publisher) is not recorded in the holdings record. The existence of such an index is usually noted in the bibliographic record. 

An index that is not described in a separate bibliographic record and not contained within a basic bibliographic unit is recorded in the holdings record in field 868. Generally, cumulative indexes are not compressed.

866 4 1 ‚8 0 ‚a v.1(1900)-v.12(1912),
866 4 1 ‚8 0 ‚a v.14(1914),
866 4 1 ‚8 0 ‚a v.18(1918)-v.24(1924)
867 4 1 ‚8 0 ‚a v.14:suppl
868 4 1 ‚8 0 ‚a v.1/12(1900/1912)
868 4 1 ‚8 0 ‚a v.13/24(1913/1924)

18. FREE TEXT NOTES

Generally limit free text staff and public notes to $x and $z respectively of field 852 rather than fields 866, 867, 868 unless they are issue specific.

Note that in the following example, the 866 is a receipt statement (blank indicators)

852 0 1 ‚b engnper ‚h Q1 ‚i N37 (LC)+ ‚m Oversize ‚z Latest issue on Display Shelves.
866 _ _ ‚8 0 ‚a v.417:no.6884(2002:May 2)
866 4 1 ‚8 0 ‚a v.252(1974)-v.416:no.6883(2002:May 1),
866 4 1 ‚8 0 ‚a v.417:no.6886(2002:May 16)-v.420:no.6914(2002:Nov. 28)
868 4 1 ‚8 0 ‚a v.349/354(1991) ‚z bound with v.354(1991)

 


852 7 1 ‚b smly ‚h B44 ‚i R291 ‚z Current issues in SML Periodical Room. ‚z (Section 13) ‚2 localyale

 

852 7 1 ‚b geoper ‚h Q2 ‚i N3+ ‚m Oversize ‚z Latest issue on Display Shelves. ‚z For current issues ask at service desk. ‚z For computer disks, ask at service desk.

 

RELATED DOCUMENTS

Rules for Serial Marking

ENUM/CHRON fields in Voyager Item Records for Serials

Cornell AACR2/ISO caption abbreviation list

Vernacular designators (Princeton)
CAUTION: List of vernacular designators on the Princeton page includes abbreviations that in some cases are not authorized by AACR or ISO; use of the Princeton list is not recommended at this time as an authoritative source for abbreviations. However, it remains extremely useful as a quick look up for verifying whether a word is a designator and how it translates in a given language.

 

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