Recording Serial Volume Holdings: Yale University Library Policies & Procedures

1. Recording Serial Volume Holdings: Yale University Library Policies & Procedures An Introduction (rev3. 09/06) (minor rev. 11/07)

2. 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.

3. 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.

4. When to record volume holdings • Record volume holdings whether the set is complete or incomplete300 $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

5. 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!>

6. EXAMPLE (MARC 21 textual holdings field): 852 01 $b ssl $h HD28 $i .C87 (LC) $x do not anlyz $x ssl: v.3(1998) missing 2+ years, withdrawn 10/07, ssl/tm $z Latest issue on Display Shelves. 866 41$8 0 $a v.4(1999)-v.8(2003) 1=serial or multipart item

7. 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

8. 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6 using the holdings data fields:852 01 $b ssl $h HD28 $i .C87 (LC) $x do not anlyz $x ssl: v.3(1998) missing 2+ years, withdrawn 10/07, ssl/tm $z Latest issue on Display Shelves853 20 $8 1 $a v. $i year $v c $w a863 40 $8 1 $a 4-8 $i 1999-2003

9. EXAMPLE (Voyager)

10. EXAMPLE (Voyager Predictive Pattern Window)

11. EXERCISE 1-2 • When to record volume holdings • Where to record volume holdings

12. 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”

13. 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

14. Basic ANSI standards principles (what to record) cont’d • For serials, record both enumerative and chronological designationMultipart:866 $8 0 $a v.1Serial: 866 $8 0 $a v.1(2004)

15. 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

16. 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.)

17. 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)

18. 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 $av.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)

19. Basic punctuation standards (4) • No unnecessary spaces!866 41 $8 0 $aBd.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 period866 41 $8 0 $aHeft 3(1978)866 41 $8 0 $a no 5(1964)

20. 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.

21. Chronological designation functions as enumeration when: • The chronological designation is the only designation (e.g. an annual):362 1_ Began with 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

22. 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)

23. Enumeration: Standards and Policies (2) • Standard:higher level precedes the lower levelOn the items: vol. 1 pt. 1 vol. 1 pt. 2vol. 2 pt. 1Volume holdings: v.1:pt.1v.1:pt.2v.2:pt.1NOTpt.1:v.1pt.2:v.1pt.1:v.2

24. Enumeration: Standards and Policies (3) • Convert all numeric information to (cardinal) Arabic numbersVII 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

25. Enumeration: Standards and Policies (4) • Record upper and lower case letters as they appear:866 41 $8 0 $a v.2:a866 41 $8 0 $a Bd.1:C

26. Exercises 3-4 • Review of principles • Review of punctuation

27. 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.)

28. 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)NOT866 41 $8 0 $a v.2(1999)

29. Captions: Policies and standards (2) • Policy: record captions as found, i.e., do not translate captions • Use standard abbreviations for captionshttp://www.library.yale.edu/cataloging/abbrev.htmhttp://lts.library.cornell.edu/lts/pp/spp/captabbr.cfm(if “vol.” on item, use “v.”; if “Band” on item, use “Bd.” not “v.”) • Exception: East Asia and Near East units translate captions

30. 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

31. 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.

32. 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

33. Chronology: Policies & standards (2) • Chronology should correspond to the same level of detail as the enumerationIf 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)

34. 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)

35. 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)

36. 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 year866 41 $8 0 $a t.1(1953/1954)NOT:866 41 $8 0 $a t.1(1953/54)

37. 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.

38. Level of enumeration: policies & standards • Record serial volume holdings at the highest level of enumeration866 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)

39. 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 range866 41 $8 0 $a v.1(2001)-v.3(2003)ENUM v.1 CHRON 2001 ENUM v.2 CHRON 2002ENUM v.3 CHRON 2003

40. 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 $av.1:no.1(2004:spring)NOT:866 41 $8 0 $a v.1(2004) $z no.2 lacking

41. 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

42. 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)

43. Supplements Record 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)

44. 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

45. 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)

46. 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

47. Item records:ENUM/CHRON • On item records, unlike multiparts, serials use both the ENUM and CHRON fields(In some cases just CHRON)ENUM: t.1 CHRON: 1995 • Refer to the punctuation and transcription standards for marking volumes:http://www.library.yale.edu/cataloging/Orbis2Manual/serialmarking.htm

48. MFHD and ENUM captions • Captions used in MFHD should be used in ENUM866 41 $8 0 $a Bd.1-Bd.2ENUM: Bd.1ENUM: Bd.2NOT:ENUM: 1ENUM: 2

49. 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 $av.1(1990) ENUM: v.1:pt.1-6 CHRON: 1990:Jan.-June ENUM: v.1:pt.7-12CHRON: 1990:July-Aug.

50. 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