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SOPAG Electronic Resources Cataloging Task Force

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Guidelines for Recording Holdings For Tier 1-2 Titles in MARC 856 $3

The CCA-generated catalog records will include holdings in the MARC 856 $3.   It is also recommended  but not required that campuses also include holdings in the MARC 856 $3.  
  
The following guidelines for formatting holdings statements for the MARC 856 $3 field are based on ANSI/NISO Z39.71-199x (Draft) - Holdings Statements for Bibliographic Items.   Holdings statements should be expressed at the summary level (level 3).   NOTE:  The draft standard was approved in January 1999 and will be available from NISO Publications (http://www.niso.org/) in April or May 1999. 
 

 
ENUMERATION AND CHRONOLOGY  
  • When both the enumeration and chronology are present, both the enumeration and chronology data should be recorded. 
  • If a title does not carry enumeration, do not supply it.
  • Record enumeration and chronology data in logical sequence;  that is, lowest enumeration data to highest, earliest date to latest. 
  • In summary level (level 3), a final hyphen shall be used if the holdings are open.
             Example: 
  v.1(1998)- 
  Bd.1- 
  1998- 
 
  • At the summary level (level 3), record only the highest level of enumeration and chronology data for multipart and serial units. 
            Example: 
  Volume 8 
  Number 1, January 1998 
  Number 2, May 1998 
  Number 3, September 1998 
  Number 4, December 1998 
             Summary level (level 3) holdings statement:   v.8 (1998)- 
  • Record all four digits of the year. : 
            Example: 
 Record as 1993/1994   NOT 1993/94 
 
The range of holdings should only be broken by the recording of gaps.  (SEE GAPS BELOW) 
 
 
CAPTIONS 
  • Captions associated with enumeration may be recorded with the enumeration.   The recording of captions is recommended, but optional. 
  • If the parts of the unit have no captions, do not supply captions. 
  • Abbreviate captions in accordance with the appropriate portions of  "Abbreviations," Appendix B, AACR2rev. 
  • When a symbol with a recognized textual equivalent appears on the piece as a caption, record the textual equivalent or its abbreviation. 
  • Record captions with a lower-case letter, unless the language of the caption requires an upper-case first letter. 
  • When a caption is abbreviated and ends in a period, no blank shall separate the caption and the enumeration. 
Examples: 
 tome 10  becomes t.10 
 number 2 becomes no. 2 
 Band 3 becomes Bd.3 
 volume 5 becomes v.5 not vol.5 
 #6 becomes no.6 
 nmbr 3 remains nmbr 3  (NOTE: an unabbreviated caption is followed by a blank) 
 3. Tiel becomes T.3 
 

SEQUENTIAL DESIGNATORS 

Convert all numeric information to Arabic numbers 

Examples: 

 VII  becomes 4 
 six  becomes 6 
Optionally, ordinal numbers may be converted to cardinal numbers.   If ordinal numbers are recorded, follow Appendix C (Ordinal Numbers), Anglo-American Cataloging Rules (current edition and revision). 

Examples: 

 first    becomes  1st or 1 
 troisieme becomes  3e or 3 
 3.  Teil  becomes  T.3 
Record uppercase and lowercase alphabetic characters as they appear. 

Examples: 

 23a 
 no.36B 
 v.B 
When an item is issued with combined numbering, separate the numbers by a diagonal. 

Example: 
          v.5/6 
 
In level 3 (summary level holdings), end the statement with a final hyphen if the holdings are open. 

Example: 
           Bd.1(1968)- 
 

GAPS 

At the summary level (level 3), determine when a gap occurs based on whether any portion of a bibliographic unit is held.  In other words, at the summary level (level 3), if any part of a unit identified by a first-level enumeration is present, record the unit as held. 

Example:   v. 78, no. 2  is  not available online 

              Volume 80, Issue 1, 28 February 1999 
              Volume 79, Issue 2-3, 1 February 1999 
              Volume 79, Issue 1, 15 January 1999 
              Volume 78, Issue 3, 13 November 1998 
              Volume 78, Issue 1, 1 August 1998 

              Summary level  (level 3) holdings statement = v.78(1998)- 

BUT if it can be determined that the entire unit (volume 79) is not available: 

              Volume 80, Issue 1, 28 February 1999 
              Volume 78, Issue 3, 13 November 1998 
              Volume 78, Issue 1-2, 1 August 1998 

              Summary level holdings statement = v.78(1998),v.80(1999)- 
 

SECONDARY BIBLIOGRAPHIC UNITS 

At the summary level (level 3), secondary bibliographic units need not be separately recorded if the resulting statement is unambiguous.     Supplements to a single issue of serial unit are generally not recorded at the summary level (level 3) 

Example: 
             1998 
                        10/4 
                        10/3 
                        10/2 
                        10/1 
                        Supplements: 
                        10/S1 

Summary level (level 3) holdings  = 10(1998)- 
 

HOLDINGS NOTE AREA 

Use if desirable to enumerate specifically parts of an item that are not held or to indicate a nongap break. 

[It would be my recommendation that we keep the notes as general as necessary and not try and indicate gaps.  My examples are only that and not meant to be prescriptive.] 

Examples: 
              v.108 (1996)-  -- Some issues missing 
              Bd.23 (1998)- -- Only abstracts available for some issues 
              v.97 (1995)- -- Latest three years not available online 
 

ADDITIONAL EXAMPLES:   

1.           Volume 32, Issue 5, 1998 
              Volume 32, Issue 4, 1998 
              Volume 32, Issue 2/3, 1998 
              Volume 32, Issue 1, 1998 
              Volume 31, Issue 6, 1997 
              Volume 31, Issue 5, 1997 
              Volume 31, Issue 4, 1997 
              Volume 31, Issue 3, 1997 
              Volume 31, Issue 2, 1997 
              Volume 31, Issue 1, 1997 
              Volume 30, Issue 6, 1996 
              Volume 30, Issue 5, 1996 
              Volume 30, Issue 4, 1996 
              Volume 30, Issue 3, 1996 
              Volume 30, Issue 2, 1996 
              Volume 30, Issue 1, 1996 

 Summary level (level 3) holdings statement = v.30(1996)- 
 

2.           Volume 80, Issue 1, 28 February 1999 
              Volume 79, Issue 2-3, 1 February 1999 
              Volume 79, Issue 1, 15 January 1999 
              Volume 78, Issue 3, 13 November 1998 
              Volume 78, Issue 2, 16 September 1998 
              Volume 78, Issue 1, 1 August 1998 
              Volume 75, Issue 3, 1 May 1998 
              Volume 75, Issue 2, 16 April 1998 
              Volume 75, Issue 1, 31 March 1998 
              Volume 73, 1 October 1996 
              Volume 71-72, 1 September 1995 
              Volume 70, Issue 1, 18 July 1995 
 
              Summary level (level 3) holdings statement = v.70(1995)-73(1996),75(1998),78((1998)- 
 

3.           1999 
              36/2 
              36/1 

              1998 
              33/8 
              33/7 
              33/6 
              Abstracts only: 
              33/5 
              33/4 
              33/3 
              33/2 
              33/1 

              Summary level (level 3) holdings statement = 33(1998)- 

                                             OR 

              Option:   33(1998)- -- Only abstracts available for some issues. 


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