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(Almost) Everything You
Wanted to Know About Serials
But (Understandably) Have Been Afraid to
Ask
1. Definitions
Monograph an item that is either complete in one part or
complete, or intended to be complete, in a finite number of separate
parts.
Serial a publication in any medium that is issued in successive
parts bearing numeric or chronological designations and intended to be
continued indefinitely. Serials include periodicals; newspapers;
annuals (reports, yearbooks, etc.); the journals, memoirs, proceedings,
transactions, etc. of societies; and numbered monographic series.
Monographic series a group of separate items that are related to
one another by the fact that each item bears, in addition to its own title
proper, a collective title that applies to the group as a whole. The
individual items may or may not be numbered. An analytical entry is
an entry for a part of an item for which a comprehensive entry is also
made.
2. Cataloging
Successive-entry cataloging requires that a new (separate)
bibliographic record be created each time the title or the issuing body
(if it is used as the main entry) of the serial changes. The
associated holdings must be recorded accordingly, often across several
bibliographic records. Latest-entry cataloging permits such changes
(and therefore all holdings) to be recorded in a single bibliographic
record. Although successive-entry cataloging was incorporated into
the Anglo-American Cataloguing Rules in 1970, neither Yale nor the Library
of Congress adopted the practice until approximately 1978.
3. Retrospective conversion
Given the complex nature of Yale’s holdings, which are often extensive
though not always complete, our current retrospective conversion policy
has been designed to accommodate both successive- and latest-entry
cataloging. In keeping with current national practice,
successive-entry records are generally preferable to latest-entry
records. Successive-entry cataloging is required, however, only when
all the records that are necessary to accommodate Yale’s holdings already
exist and those records will accommodate Yale’s holdings without any gaps
in coverage. In other words, if the requisite successive-entry
records are not readily available, latest-entry cataloging is
appropriate.
- If successive-entry records for all of the titles held by Yale are
present in WorldCat, and those records will accommodate Yale’s holdings
without any gaps in coverage (i.e., there are holdings associated with
each successive-entry record), OCLC will claim the successive-entry
records for Yale, even if a latest-entry record also exists in WorldCat.
- If successive-entry records for some but not all of the titles held
by Yale are present in WorldCat, OCLC will create a latest-entry record
based upon the information on Yale’s card. OCLC will not create
successive-entry records for the titles not already represented in
WorldCat.
- If the only record in WorldCat is a latest-entry record, and that
record will accommodate Yale’s holdings, OCLC will claim the record for
Yale. OCLC will not create successive-entry records based solely
upon the information on Yale’s card.
4.
Examples
Successive-entry records (SLE 0):
Title:
Published:
Extent:
Continued by:
LOCATION:
CALL NUMBER:
LIBRARY HAS: |
Nebula award stories.
New York, Harper &
Row.
[1]-11; 1965-76.
Nebula winners
CCL, Stacks
PN3315 N43
v.1(1965)-v.3(1968),
v.5(1970),
v.7(1973)-v.8(1973),
v.11(1976) |
Title:
Published:
Extent:
Continues:
Continued by:
LOCATION:
CALL NUMBER:
LIBRARY HAS: |
Nebula winners.
New York, Harper & Row.
12- 1977-
Nebula award stories
Nebula award stories (New York, N.Y. : 1982)
CCL,
Stacks
PN3315 N43
v.12-v.15 |
| Title:
Published:
Extent:
Continues:
Continued by:
LOCATION:
CALL NUMBER:
LIBRARY HAS: |
Nebula award stories (New York, N.Y. : 1982)
Nebula
award stories.
New York, N.Y. : Holt, Rinehart, &
Winston, c1982-c1983.
16-17.
Nebula
winners
Nebula awards
SML, Linonia and Brothers,
1st Floor
PN3315 N43
v.16 |
Title:
Published:
Extent:
Continues:
LOCATION:
CALL
NUMBER:
LIBRARY HAS: |
The Nebula awards.
New York [N.Y.] : Arbor
House, c1983-
No. 18-
Nebula award stories (New
York, N.Y.: 1982)
SML, Linonia and Brothers, 1st
Floor
PN3315 N43
no.18-no.20,
no.22-no.23 |
Latest entry record (SLE 1):
Title: Universalist.
Published:
Extent:
Former titles:
Absorbed by:
LOCATION:
CALL NUMBER:
LIBRARY HAS: |
Boston, H. Bowen.
v. 1-60, no. 35; July 3,
1819-Dec. 28, 1878.
Universalist magazine 1819-1828.
Trumpet and universalist magazine 1828-1862.
Trumpet
and Christian freeman 1862-1863.
Trumpet and freeman
1864-1878.
Christian leader 1878
MUDD,
Stacks
Miw50 +Un3
v.1:no.1(1819:July
3)-v.60:no.35(1878:Dec. 28) |
Guidelines for Recording
Serial Holdings
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.
2. The Holdings Record
Holdings are generally recorded in a positive sense, that is,
emphasizing that which is held as opposed to that which is not. Gaps
can usually be determined by the absence of any bibliographic unit at any
level of order designation. In many cases, however, holdings have been
recorded in a negative sense, explicitly indicating issues missing.
Holdings records are created when holdings are complete and when
holdings are incomplete.
Basic bibliographic units held are recorded in Orbis field
866
Supplementary material held is recorded in Orbis
field 867
Indexes held are recorded in Orbis field
868 In general, holdings are recorded in the holdings
record in the same manner as they are recorded on the card. When
enumeration and chronology have been recorded consistently on the card,
enumeration and chronology data are recorded in the holdings record.
Enumeration data is recorded first; corresponding chronology is enclosed
in parentheses.
v.1:no.1(1976:Jan.)
v.1:no.2(1976:Feb.) At the
first order of designation (usually “volume”), holdings are recorded in a
positive sense; gaps are indicated by the absence of a bibliographic unit
at the “volume” level; and holdings are compressed whenever
possible.
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) For subsequent orders of designation,
incomplete volumes detailing issues missing or issues held are recorded
separately.
If the card records issues lacking/wanting:
866/1:41: ‡8 0 ‡a v.1(1900)-v.12(1912)
866/1:41: ‡8 0 ‡a
v.13(1913) have no. 2-3,5,7-10,12
866/1:41: ‡8 0 ‡a
v.14(1914)
866/1:41: ‡8 0 ‡a v.15(1915) have no.
2-5,11-12
866/1:41: ‡8 0 ‡a v.16(1916) have no. 1-6,8-11
866/1:41: ‡8 0 ‡a v.17(1917) have no. 1-2,4-12
866/1:41:
‡8 0 ‡a v.18(1918)-v.24(1924)
3. Compression
Holdings are compressed whenever possible.
Data elements may not be compressed if there is a gap in the
level or levels to be compressed (i.e., a break or discontinuity in the
sequence of enumeration or chronology, or both, of the serial
held).
Data elements may be compressed if there is a nongap break
(i.e., a gap between the recorded enumeration and/or chronology units
caused by unpublished units or discontinuity in the publisher’s
enumeration or chronology). Examples:
Noncompressed: v.1:no.1(1976:Jan.)-v.1:no.12(1976:Dec.)
Compressed: v.1(1976)
Noncompressed: 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.)
Compressed: v.1(1976)-v.3(1978)
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: v.1:no.1(1976:Jan.)-v.1:no.4(1976:Apr.),
v.1:no.6 (1976:June),
v.1:no.8(1976:Aug.)-v.1:no.10(1976:Oct.)
4. Punctuation Conventions
The hyphen is used to indicate an unbroken range of
holdings.
The comma is used to indicate a
gap in a range of holdings.
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.
The question mark is used as the
last digit of the date to show an unknown quantity in a date.
The colon is used as a delimiter between a
first-order designator and its related subsequent-order designators.
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.
The space is used in chronology data to
separate a month from a day if the month is not abbreviated.
Parentheses are used to separate
enumeration data from chronology data.
The equals sign is used in enumeration data
to separate alternative numbering schemes.
Brackets are used in chronology data
to enclose a supplied date, such as a translated Gregorian date.
Showa 56-nendo [1981/1982]
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.
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.
Enumeration data is recorded from highest hierarchical
level to lowest; the colon is used to separate each level.
When a serial carries
multiple schemes of enumeration, the following guidelines apply:
For unnumbered series, the series caption (e.g., "ns" or "new
series") is treated as a caption for the most inclusive level of
enumeration data and is recorded at the appropriate location within the
enumeration data.
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.
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.
If a serial does not carry enumeration,
it is not supplied.
6. Recording Chronology Data
The holdings record incorporates all levels of chronology data (e.g.,
year, month, day) 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.
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.
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.
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.
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
independent numbering schemes, the numbering scheme of the supplement is
recorded in the holdings record.
867/1:41: ‡8 0 ‡a suppl.A 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) For
supplements that lack an independent numbering scheme or do not have
numbering related to a particular volume or issue of the parent serial,
one of the following is recorded as appropriate:
867/1:41: ‡8 0 ‡a unnumbered supplement
867/1:41: ‡8 0 ‡a unnumbered supplements 8. Recording Indexes
An index with an independent numbering scheme is considered a separate
serial and described in a separate bibliographic record.
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.
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) An index
covering a single volume is usually bound with the volume indexed and not
recorded in the volume holdings record.
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