1. Recording Serial Volume Holdings: Yale University Library Policies & Procedures An Introduction (rev2. 11/05)

2. 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. 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. 4 When to record volume holdings Record volume holdings whether the set is complete or incomplete 300 $a 15 v. ; $c 27 cm. 300 $a v. ; $c 27 cm. Phasing out: recording of issues received by acquisitions staff in volume holdings Reinstated: recording volume holdings for classed-together analyzed series

5. 5 Where to record volume holdings Record volume holdings in MFHD 866: 866 4 1 $8 0 $a $x $z MFHD=MARC Format for Holdings Data Record volumes in $a Record staff notes in $x Record public notes in $z

6. 6 EXAMPLE (MARC 21 textual holdings field): 852 01 $b ssl $h HD28 $i.C87 (LC) $x do not anlyz $z Latest issue on Display Shelves. 866 41 $8 0 $a v.4(1999)-v.8(2003) 1=serial or multipart item

7. 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. 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 $z Latest issue on Display Shelves 853 20 $8 1 $a v. $i year $v c $w a 863 40 $8 1 $a 4-8 $i 1999-2003

9. 9 EXAMPLE (Voyager)

10. 10 EXAMPLE (Voyager Predictive Pattern Window)

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

12. 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. 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. 14 Basic ANSI standards principles (what to record) cont ’ d For serials, record both enumerative and chronological designation Multipart: 866 $8 0 $a v.1 Serial: 866 $8 0 $a v.1(2004)

15. 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. 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. 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. 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 $a v.1(1990)-v.2(1992)=no.1- -no.2; 866 41 $8 0 $a new ser.:v.1(1993)-new ser.: v.2(1994)=no.3-no.4 Brackets. Used when numbering is supplied. 866 41 $8 0 $a [v.1](1995)-v.5(1999)

19. 19 Basic punctuation standards (4) No unnecessary spaces! 866 41 $8 0 $a Bd.4(1938)-Bd.6(1940) NOT: 866 41 $8 0 $a Bd. 4 (1938) – Bd. 6 (1940) Exception. Unabbreviated terms and terms not ending with a period 866 41 $8 0 $a Heft 3(1978) 866 41 $8 0 $a no 5(1964)

20. 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. 21 Chronological designation functions as enumeration when: The chronological designation is the only designation (e.g. an annual): 362 __ 1995- 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. 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. 23 Enumeration: Standards and Policies (2) Standard:higher level precedes the lower level On the items: vol. 1 pt. 1 vol. 1 pt. 2 vol. 2 pt. 1 Volume holdings: v.1:pt.1 v.1:pt.2 v.2:pt.1 NOT pt.1:v.1 pt.2:v.1 pt.1:v.2

24. 24 Enumeration: Standards and Policies (3) Convert all numeric information to (cardinal) Arabic numbers VII becomes 7 sixth 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.3 3. Teil becomes T.3

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

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

27. 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. 28 Captions: Policies and standards (1) Policy: record captions but do not supply if not on the item. On item: vol. 1 Record as: 866 41 $8 0 $a v.1(1983) On item: 2 Record as: 866 41 $8 0 $a 2(1999) NOT 866 41 $8 0 $a v.2(1999)

29. 29 Captions: Policies and standards (2) Policy: record captions as found, i.e., do not translate captions Use standard abbreviations for captions http://www.library.yale.edu/cataloging/abbrev.htm http://www.library.cornell.edu/voyager/Checkin/Captabbr.htm (if “ vol. ” on item, use “ v. ” ; if “ Band ” on item, use “ Bd. ” not “ v. ” ) http://www.library.cornell.edu/voyager/Checkin/Captabbr.htm Exception: East Asia and Near East units translate captions

30. 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. 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. 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. 33 Chronology: Policies & standards (2) Chronology should correspond to the same level of detail as the enumeration If the volume (a quarterly) is incomplete: 866 41 $8 0 $a v.1:1(1995:fall) NOT: 866 41 $8 0 $a v.1:1(1995) BUT (if the volume is complete): 866 41 $8 0 $a v.1(1995) NOT: 866 41 $8 0 $a v.1(1995:fall/winter)

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

37. 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. 38 Level of enumeration: policies & standards Record serial volume holdings at the highest level of enumeration 866 41 $8 0 $a v.1(2001) NOT: 866 41 $8 0 $a v.1:pt.1(2001:spring)- v.1:pt.4(2001:winter)

39. 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 range 866 41 $8 0 $a v.1(2001)-v.3(2003) ENUM v.1 CHRON 2001 ENUM v.2 CHRON 2002 ENUM v.3 CHRON 2003

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

41. 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. 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. 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. 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. 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. 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 Oversize 866 41 $8 0 $a 1986-1993

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

48. 48 MFHD and ENUM captions Captions used in MFHD should be used in ENUM 866 41 $8 0 $a Bd.1-Bd.2 ENUM: Bd.1 ENUM: Bd.2 NOT: ENUM: 1 ENUM: 2

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

50. 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.1 CHRON 1990:pt.2

51. 51 MFHD vs. ENUM/CHRON part details (3) Don ’ t record part details in ENUM if the part no. would not be recorded on the label. EXAMPLE: If v.1:pt.1,1990 AND v.1, pt.2, 1990 are bound as a single physical volume 866 41 $8 0 $a v.1(1990) ENUM: v.1 NOT: v.1:pt.1-2 CHRON:1990 NOT: 1990:Jan.-Dec.

52. 52 MFHD vs. ENUM/CHRON: missing issues (1) If the decision is to bind a volume when issues are missing, the missing issue is ignored in ENUM/CHRON if it is not at the beginning/end of the range Do not apply to the MFHD! Optionally, record the missing issues in the FREE TEXT field of the Voyager item record

53. 53 MFHD vs. ENUM/CHRON: missing issues (2) EXAMPLES. Single bibliographic volume for quarterly=single physical volume. 866 41 $8 0 $a v.1:pt.1(2006:Jan./Mar.), 866 41 $8 0 $a v.1:pt.3(2006:July/Sept.)-v.1:pt.4(2006:Oct./Dec.) ENUM:v.1 CHRON 2006 OPTIONAL NOTE IN FREE TEXT field: v.1:pt.2(2006:Apr./June) wanting 866 41 $8 0 $a v.1:pt.1(2006:Jan./Mar.)-v.1:pt.3(2006:July/Sept.) ENUM:v.1:pt.1-3 CHRON 2006: Jan.-Sept.

54. 54 MFHD vs. ENUM/CHRON: missing issues (3) EXAMPLE. Single monthly bibliographic volume bound in 2 physical parts. 866 41 $8 0 $a v.1:pt.1(2006:Jan.), 866 41 $8 0 $a v.1:pt.3(2006:Mar.)-v.1:pt.8(2006:Aug.), 866 41 $8 0 $a v.1:pt.10(2006:Oct.)-v.1:pt.12(2006:Dec.) ENUM v.1:pt.1-6 CHRON 2006:Jan.-June ENUM v.1:pt.7-12 CHRON 2006:July.-Dec. 866 41 $8 0 $a v.1:pt.2(2006:Feb.), 866 41 $8 0 $a v.1:pt.4(2006:Apr.)-v.1:pt.11(2006:Nov.) ENUM v.1:pt.2-6 CHRON 2006:Feb.-June ENUM v.1:pt.7-11 CHRON 2006:July-Nov.

55. 55 ENUM/CHRON: formatting for label printing software Use an underscore _ to represent a space Use a blank space to force a new line (limit to 12 spaces per line); otherwise use no blank spaces Use colons to separate parts; use hyphens for all ranges except overlapping academic years (use a slash for these) Enter punctuation at the end (not the beginning) of a line Use an equal sign if alternative numbering is used

56. 56 ENUM/CHRON: Forcing Line Breaks ENUM new_ser.II  v.437:  no.747-754 CHRON 2005:  July-Dec. to print: Q1.N37 new_ser.II v.437: no.747-754 2005: July-Dec.  = blank space

57. 57 ENUM/CHRON: AVOID SPLIT RANGES! ENUM new_ser.II  v.437:no.747-  754 CHRON 2005:July-  Dec. will print this way: Q1.N37 new_ser.II v.437:no.747- 754 2005:July- Dec.  =blank space

58. 58 ENUM/CHRON: Descriptor terms: Suppl., Index, etc. Enter descriptors like Suppl., Index, or CD as the last element of CHRON unless the term is part of the call number in 852 $i Use standard list of terms for accompanying media at: http://www.library.yale.edu/rsc/sml/media/cat.html http://www.library.yale.edu/rsc/sml/media/cat.html

59. 59 ENUM/CHRON: Suppl., Index, etc. LABEL EXAMPLES 852 $h N11 $i.C4X (LC)+ $m Oversize 868 41 $8 0 $a v.31/35(1949/73) ENUM v.31-35 CHRON 1949-73 Index N11.C4X v.31-35 1949-73 Index (LC)+ Oversize 852 $h H53 $i.W712 Suppl. (LC)+ $m Oversize 866 41 $8 0 $a 1970 ENUM CHRON 1970 H53.W712 Suppl. 1970 (LC)+ Oversize

60. 60 ENUM/CHRON: Alternative Number Alternative number recorded on label ENUM v.10:no.1-6=  no.121-126 CHRON 2005:  Jan.-June to print: Q1.S34 v.10:no.1-6= no.121-126 2005: Jan.-June  = blank space

61. 61 Exercises 5-6 Based on the information about the item in hand we have provided, supply the MARC tags and enter the volume holdings following the required standards.

62. 62 Summary Record volume holdings whether the set is complete or incomplete Use 866 4 1 $8 0 $a to record volume holdings Follow ANSI principle: record what we have Follow ANSI standards and our local decisions for punctuation, captions, enumeration, compression, and summary statements Part detail at both ends of the range! (Or use the alternate procedure) Follow local standards for recording ENUM/CHRON Captions now used in ENUM

63. 63 For reference: Policies & procedures for serial volume holdings at: http://www.library.yale.edu/cataloging/Orbis2Manual/serialmhfd.htm http://www.library.yale.edu/cataloging/Orbis2Manual/serialmhfd.htm Policies & procedures for ser.vol. supplement: http://www.library.yale.edu/cataloging/Orbis2Manual/serialmfhdsuppl.htm http://www.library.yale.edu/cataloging/Orbis2Manual/serialmfhdsuppl.htm Preliminary records for monographic series on standing order: http://www.library.yale.edu/cataloging/documentation/prelimseries.htm http://www.library.yale.edu/cataloging/documentation/prelimseries.htm ENUM/CHRON fields: http://www.library.yale.edu/cataloging/Orbis2Manual/enumchron.htm http://www.library.yale.edu/cataloging/Orbis2Manual/enumchron.htm Names of months: http://www.library.yale.edu/cataloging/months.htm http://www.library.yale.edu/cataloging/months.htm