SERIAL MHLD  FORMATTING GUIDELINES

Here are described guidelines for the order and punctuation of enumeration and chronology data and other formatting standards in MARC holdings records. For information about creating and editing MHLDs, refer to the document Creating and Editing MARC Holdings Records for Serials in Orbis.

CONTENTS

  1. Definitions
  2. The MARC Holdings Record (MHLD)
  3. Compression
  4. Punctuation Conventions
  5. Recording Enumeration Data
  6. Recording Chronology Data
  7. Recording Supplementary Material
  8. Recording Indexes

1. Definitions

alternative numbering
a secondary numbering scheme used in designating a series of continuously published issues of a publication.
basic bibliographic units
the primary logical segments of the publication sequence of a serial as designated by the publisher excluding supplements, indexes, and accompanying material.
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).
compress
to condense one or more data elements through consolidation within one or more levels of data to express the same information with fewer characters. Data elements may be compressed only if there is not a gap in the level or levels to be compressed.
enumeration:
the nonchronological scheme used by the publisher on the bibliographic unit to identify the individual bibliographic units of a serial and to show the relationship of a bibliographic unit to the serial as a whole.
first-order designator:
the characters identifying the main or primary sequential division of the scheme of enumeration or chronology, or both, associated with a serial work, whether or not this main or primary division is further subdivided.
gap:
a break or discontinuity in the sequence of enumeration or chronology, or both, of the serial held. The term does not refer to a break or discontinuity in the publication pattern of the serial.
nongap break:
a gap between the recorded enumeration and/or chronology units caused by unpublished units or discontinuity in the publisher’s enumeration or chronology.
subsequent-order designator:
the characters identifying the second and all subsequent levels of sequential division of the scheme of enumeration or chronology, or both, associated with a serial work; that is, the levels of data required to distinguish between bibliographic units carrying identical first-order designators.

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2. The MARC Holdings Record (MHLD) 

The MARC Holdings Record is the record of permanent holdings.

A MARC Holdings Record 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: MARC Holdings Records are NOT attached to the serial records for monograph series received on standing order.

Holdings statements are recorded and displayed in a positive sense, that is, emphasizing 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.).  For RECON purposes, it should be noted that, in some cases, volume holdings have been recorded on statement cards in a negative sense, explicitly indicating issues missing.

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:

866/1:41: |8 0 |a v.1:no.1(1960:Jan.)-v.1:no.3(1960:Mar.),
866/2:41: |8 0 |a v.1:no.5(1960:May)-v.1:no.8(1960:Aug.)

Enumeration data is recorded first; corresponding chronology is enclosed in parentheses.
v.1:no.1(1976:Jan.)
v.1:no.2(1976:Feb.)

Enumeration and chronology data are recorded in logical sequences: that is, lowest enumeration data to highest, earliest date to latest.

RECON ONLY:  For subsequent orders of designation, incomplete volumes detailing issues missing or issues held are recorded separately.

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3. Compression

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

a. If there are no gaps between recorded pieces at the lowest hierarchical level, holdings are compressed on the MARC Holdings Record. Compression may occur even if there are nongap breaks.

   EXAMPLE:
Noncompressed:

v.1:no.1(1976:Jan.)
v.1:no.2(1976:Feb.)
v.1:no.3(1976:Mar.)
v.1:no.4(1976:Apr.)
v.1:no.6(1976:June)
v.1:no.8(1976:Aug.)
v.1:no.9(1976:Sept.)
v.1:no.10(1976:Oct.)
Compressed:

866/1:41: |8 0 |a v.1:no.1(1976:Jan.)-v.1:no.4(1976:Apr.),
866/2:41: |8 0 |a v.1:no.6(1976:June),
866/3:41: |8 0 |a v.1:no.8(1976:Aug.)-v.1:no.10(1976:Oct.)

b. If within a level there are no gaps, enumeration/chronology data can be further compressed to eliminate any unnecessary, subordinate level of detail.
EXAMPLE:
v.1:no.1(1976:Jan.)-v.1:no.12(1976:Dec.)

becomes

866/1:41: |8 0 |a v.1(1976)
EXAMPLE:
v.1:no.1(1976:Jan.)-v.1:no.12(1976:Dec.)
v.2:no.1(1977:Jan.)-v.2:no.12(1977:Dec.)
v.3:no.1(1978:Jan.)-v.3:no.12(1978:Dec.)

becomes

866/1:41: |8 0 |a v.1(1976)-v.3(1978)

If holdings are complete, one holdings field is used showing inclusive complete volumes. When a gap occurs, a new holdings field is used.
EXAMPLE:

866/1:41: |8 0 |a v.1(1982)-v.6:no.2(1987:June),
866/2:41: |8 0 |a v.6:no.4(1987:Oct.)-v.7(1988)

The recording of compressed enumeration and chronology data does not allow for an open-ended holdings statement. All holdings must be represented. Therefore, a hyphen must never be the last element when recording enumeration and chronology data.

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4. Punctuation Conventions

 The hyphen is used to indicate an unbroken range of holdings.

v.1(1953)-v.5(1957)
The comma is used to indicate a gap in a range of holdings.

1942-1945,
1953-1955
The diagonal is used as a connector between notations that form a single entity, such as two different years that form a single period of coverage or a double volume number.

v.1/5(1960/1965)
The question mark is used as the last digit of the date to show an unknown quantity in a date. The question mark shall be used ONLY as the last digit in a date. It may not be added to a date to qualify it.

1950-197?
The colon is used as a delimiter between a first-order designator and its related subsequent-order designators.

v.1:no.1:pt.1
The semicolon is used to indicate a nongap break in a range of holdings, i.e., when an item is not published or a change in numbering occurs.

v.1-4;v.6
The space is used in chronology data to separate a month from a day if the month is not abbreviated.

(1988:June 12)
Parentheses are used to separate enumeration data from chronology data.

v.1(1950)
The equals sign is used in enumeration data to separate alternative numbering schemes.

v.2:no.5=no.11
Brackets are used in chronology data to enclose a supplied date, such as a translated Gregorian date.

Showa 56-nendo [1981/1982]

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5. Recording Enumeration Data

All numeric information is converted to Arabic numbers.
v.VII is recorded as v.7
First ed. is recorded as 1st ed.
no. Five is recorded as no.5
Troisieme is recorded as 3e

For alphabetic data, uppercase and lowercase characters are recorded as they appear on the publication and romanized, if necessary.
no.36B
v.B

Captions associated with enumeration are recorded in the vernacular form appearing on the publication and romanized, if necessary. Captions are abbreviated according to the appropriate portions of Anglo-American Cataloguing Rules (Second edition 1988 revision) Appendix B.
volume 5 is recorded as v.5
tome 7 is recorded as t.7
nmbr 3 is recorded as no.3

When a serial carries combined numbering, for example, as in a double volume, the numbers are separated by a diagonal.
v.1/2

Enumeration data is recorded from highest hierarchical level to lowest; the colon is used to separate each level.
v.1:no.1
v.1:no.1:pt.A

When a serial carries multiple schemes of enumeration, the following guidelines apply:

For unnumbered series, the series caption (e.g., "ns" or "new series, " etc.) is treated as a caption for the most inclusive level of enumeration data and is recorded at the appropriate location within the enumeration data.

new ser. v.1
For numbered series, the series numbering schemes and series captions are treated as the most inclusive level of enumeration data and are recorded in the appropriate location within the enumeration data.

ser.1:v.1:no.1
For 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 is also recorded, following the regular scheme of enumeration and separated by an equals sign.

v.3:no.1=no.50

If a serial does not carry enumeration, it is not supplied.

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6. Recording Chronology Data

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

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, punctuated as follows:

a. No hyphen shall be used if only a single year is held.
866/1:41: ‡8 0 ‡a 1969

b. A diagonal (/) shall be used as a separator if the chronology data for a single bibliographic unit spans a noncalendar year, more than one year, or more than one month or season.
NONCALENDER YEAR OR BIENNIAL: 866/1:41: ‡8 0 ‡a t.2(1969/1970)
TRIENNIAL: 866/1:41: ‡8 0 ‡a Bd.1(1980/1982)

c. If there is chronology data available, but the exact year cannot be precisely determined (for example, for some non-Gregorian dates), a question mark shall be used to fill the appropriate space.

EXAMPLES: Correct: 196?

Incorrect: 1977? 

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 Anglo-American Cataloguing Rules (Second edition 1988 revision) Appendix B. Day notations are not treated as a separate hierarchical level.
Correct: 1968:June 12
Incorrect: 1968:June:12

Chronology data is recorded from highest hierarchical level to lowest; the colon is used to separate each level.
1980:Jan.

If a serial does not carry chronology data, it is not supplied. 

If a serial normally carries chronology data, and such data is omitted from a specific piece, it may be supplied within brackets.

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7. Recording Supplementary Material

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

 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. (Always after the 866 fields and before the 868 fields, if any)
866/1:41: ‡8 0 ‡a v.1(1900)-v.12(1912),
866/1:41: ‡8 0 ‡a v.14(1914),
866/1:41: ‡8 0 ‡a v.18(1918)-v.24(1924)
867/1:41: ‡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.
867/1:41: ‡8 0 ‡a v.18:suppl.1(1918:June 1)

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8. Recording Indexes

aAn 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. These are usually cumulative indexes for the serial covering a span of volumes/years, issued by the same publisher as separate physical volumes.
866/1:41: ‡8 0 ‡a v.1(1900)-v.12(1912),
866/1:41: ‡8 0 ‡a v.14(1914),
866/1:41: ‡8 0 ‡a v.18(1918)-v.24(1924)
868/1:41: ‡8 0 ‡a v.1/12(1900/1912)
868/1:41: ‡8 0 ‡a v.13/24(1913/1924)

NOTE: It has been a frequent local practice prior to Orbis for the type of cumulative index described under a. to be assigned a slightly different call number. When the serial record is converted to machine readable form, a separate copy statement on the same record has been created for the index. The 868 tag is still used.  The old local practice should not be followed for new serial titles.

b. 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. For example,  title X is issued quarterly and recorded by volume and year. Vol. 3, issue 4, Dec. 1999  includes an index to the entire v.3(1999), i.e., to all 4 of the 1999 issues. The index would not be recorded in MHLD.  

c. An index covering a single volume is usually bound with the volume indexed and not recorded in the volume holdings record.

d.  An index with an independent numbering scheme is considered a separate bibliographic entity (often  but not invariably a multipart monograph) and described in a separate bibliographic record. Often the index is issued by a different publisher.

MHLD for serial:

[Image]

MHLD for separately cataloged index. Note that the 866 tag is used.

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Original document by E. Hofsas et al.  with changes by M. Conway & S. Arakawa ; converted to HTML as document: sermhfmt.html 5/5/99 with further changes by s. arakawa
Send updates & corrections to: steven.arakawa@yale.edu
Last revision: 5/7/99