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Introduction
Definitions
Punctuation
Capitalization and Abbreviation
Enumeration (Numbers)
Chronology (Dates)
Gaps and Breaks
Compression
Supplements
Indexes
The libraries using the Northwestern University NOTIS system have agreed to follow ANSI standard Z39.44-1986 (American National Standard for Information Sciences--Serial Holdings Statements) and will record holdings at Level 4. This chapter describes local interpretations and modifications of the ANSI standard. For specific instructions on entering data in NOTIS records, see Chapter 3 (MARC Holdings Records), Chapter 4 (Order Records), and Chapter 5 (Item Records). Standards for non-serial holdings are in Chapter 2.
basic bibliographic units. The primary logical segments of the publication sequence of a serial as designated by the publisher (e.g. volumes, issues) but excluding supplements, indexes, and accompanying material.
bibliographic units. The combination of the primary logical segments, supplements, indexes, and accompanying material of a serial as designated by the publisher.
caption. An alphabetic word or phrase attached as a prefix to the enumeration data that describes the type of data (e.g. volume, Band, Heft, part, number, or tome).
- hyphen indicates an unbroken range of holdings
1993-1994
v.5:no.1 (1988:Jan.)-v.5:no.5 (1988:May)
, comma indicates a break or gap in the library's holdings
v.1 (1910)-v.12 (1921),v.14 (1923)-v.80 (1989)
1990:Jan.,1990:Mar.-1990:May
v.2:no.1-v.2:no.2,v.2:no.4-v.2:no.6
/ slash (diagonal) connects notations that form a single physical entity (as published), such as double issue numbers
1988:Jan./Feb.
1989/1990
v.2:no.1/2
? question mark indicates an unknown quantity in a date; it is used only as the last digit in a date and may not be added to a date to qualify it
1950-197?
: colon separates successive levels of designation
1990:Aug.
v.1:no.2:pt.4
; semicolon indicates a nongap break in a publication's run (e.g. when an issue is not published)
v.1 (1901)-v.15 (1915);v.18 (1918)-v.50 (1950)
( ) parentheses separate enumeration and chronology data
v.2 (1980)
v.14:no.3 (1975:June)
v.3:no.1 (1990:winter)-v.3:no.3 (1990:fall)
= equals sign indicates an alternative numbering scheme (will be used rarely at NUL)
v.7:pt.1=no.33 (1980:Jan.)-v.10:pt.2=no.81 (1983:Dec.)
v.11:no.2=p.127-235 (i.e. pages 127-235)
[ ] backets enclose supplied data (e.g. a translated Gregorian date, or a missing number or date when the serial usually carries such information)
Showa 56-nendo [1981/1982]
v.1 (1960)-v.[10] (1969)
no.87 ([1993:June])-no.89 (1993:Aug.)
Capitalize captions, months, etc. according to the rules of the language involved. Abbreviate captions, months, etc. according to the guidelines in AACR2, Appendix B. Following are some common abbreviations.
Abteilung Abt. number,-s no.
Band Bd. numero (French) no
book bk. numero (Italian) n.
deel d. Nummer Nr.
edition ed. nummer nr.
editions eds. page, pages p.
facsimile facsim. part pt.
facsimiles facsims. parts pts.
fascicle fasc. partie ptie
Jahrgang Jahrg. parties pties
Lieferung Lfg. series ser.
neue Folge n.F. supplement suppl.
new series n.s. Teil, Theil T.
nouveau nouv. tome t.
nouvelle nouv. volume,-s v.
Months:
English: Jan. Feb. Mar. Apr. May June
July Aug. Sept. Oct. Nov. Dec.
French: janv. fevr. mars avril mai juin
juil. aout sept. oct. nov. dec.
German: Jan. Feb. Marz Apr. Mai Juni
Juli Aug. Sept. Okt. Nov. Dez.
Italian: genn. febbr. mar. apr. magg. giugno
luglio ag. sett. ott. nov. dic.
Spanish: enero feb. marzo abr. mayo jun.
jul. agosto sept. oct. nov. dic.
(set.)
Do not capitalize or abbreviate the seasons in English:
winter spring summer autumn fall
The enumeration is the nonchronological scheme used by the publisher to identify the individual bibliographic units of a serial and to show the relationship of a bibliographic unit to the serial as a whole.
Record all numeric information as Arabic numerals.
v. VII becomes v.7
First ed. 1st ed.
no. Five no.5
Troisieme 3.
Record alphabetic data as they appear on the publication (romanize if necessary).
3a
no.36B
v.B
Record captions in the vernacular form appearing on the publication (romanize if necessary). Capitalize and abbreviate captions according to AACR2, Appendix B. If the caption does not end with a period, put a space between the caption and the number; otherwise, do not use a space.
volume 5 becomes v.5
tome 7 t.7
nmbr 3 no.3
numero 22 no 22
Heft 1 Heft 1
Band 8 Bd.8
deuxieme ser. 2.ser.
If a serial lacks a caption, do not supply one. (Optionally, a cataloging unit may establish as local policy the addition of captions.)
XI becomes 11 (not v.11)
45 becomes 45 (not no.45)
Record data in numerical order. For each piece, enumeration is recorded first, followed by the chronology within parentheses (see also Chronology). Use a blank space between enumeration and chronology. If the publication does not carry enumeration, the cronology alone is entered, with no parentheses. If a serial normally carries enumeration but a specific piece lacks it, it may be supplied within brackets.
v.1 (1960)
v.3 (1962)
v.[7] (1966)
v.10 (1969)
Record enumeration data from highest hierarchical level to lowest hierarchical level, using a colon to separate each level.
v.1:no.1
v.1:no.1:pt.A
When a serial carries combined numbering, such as in a double volume, separate the numbers with a slash.
v.1/2
v.1:no.3/4
Treat an unnumbered series designation (e.g. "new series" or "neue Folge") as part of the first level of enumeration; do not use a colon between the series designation and the caption.
n.s.v.1:pt.A
n.F.Bd.4
Treat a numbered series designation (e.g. "series 3" or "tweede reeks") as the entire first level of enumeration; use a colon to separate it from the second level.
ser.1:v.1:no.1
2.reeks:deel 1
4th ser.:v.8
Some numbering schemes will omit captions for second level enumeration and will instead separate the first and second levels with punctuation such as a hyphen or a slash. Use a colon for the separator between levels; do not supply a caption. (Optionally, a cataloging unit may establish as local policy the addition of captions.)
(1) On pieces: 79-11 79-12 79-13
Record as: 79:11-79:13
(2) On pieces: 2/1 2/2 2/3
Record as: 2:1-2:3
Record chronology data from the highest to the lowest level, using a colon to separate each level. If more than one calendar scheme is present on the publication, use the Gregorian; if the Gregorian is not included, use the first scheme given on the publication. If the serial does not carry chronology data, do not record any. If a serial normally carries chronology data but a specific piece lacks it, it may be supplied within brackets.
When more than one type of date is present in the source for chronology, select the date from the following preferred dates, in the order indicated. (For a reprint, use the date associated with the original; the date of the reprint is recorded in the bibliographic record.)
Coverage date (period or date designated by the publisher that defines the chronological limits of the content)
Publication date (date of issue as used by the publisher)
Copyright date
Printing date (date of impression and production as used by the publisher of the work)
Use all four digits for the year. Use a slash as a separator if the chronology data for a single bibliographic unit spans a noncalendar year (e.g. fiscal year or academic year) or more than one year.
Noncalendar year or biennial:
Correct: 1968/1969
Incorrect: 1968/69
1968/9
Noncalendar two-year period or triennial:
Correct: 1980/1982
Incorrect: 1980/82
1980/2
If the exact year cannot be precisely determined (e.g. for some non-Gregorian dates), use a question mark to fill the appropriate space. If the century or decade is not known, the year is not recorded.
Correct: 196?
Incorrect: 1967?
19??
1???
Record months, seasons and days in vernacular form as they appear on the publication (romanize if necessary); capitalize and abbreviate according to AACR2, Appendix B (see also Capitalization and Abbreviation). Do not treat days as a separate hierarchical level.
(1) Correct: 1968:juin 12 (on piece: 12 juin 1968)
Incorrect: 1968:June:12
(2) Correct: 1994:Feb.
Incorrect: 1994:February
A gap is a break or discontinuity in the sequence of enumeration and/or chronology in the library's holdings; the missing numbers/dates exist elsewhere.
A gap is indicated by using a comma.
Library has v. 58, no. 3 and v. 58, no. 5 (but not v. 58, no. 4):
v.58:no.3 (1970:Mar.),v.58:no.5 (1970:May)
A nongap break is a break or discontinuity in the sequence of enumeration and/or chronology caused by unpublished units or discontinuity in the publisher's enumeration or chronology (e.g. skipped numbers); the missing numbers/dates do not exist.
A nongap break is indicated by using a semicolon.
Library has v. 1-10; v. 5 was not published:
v.1 (1950)-v.4 (1953);v.6 (1955)-v.10 (1959)
Library has v. 5; v. 5, no. 3 was not published:
v.5:no.1 (1958:Jan.)-v.5:no.2 (1958:Feb.);v.5:no.4
(1958:Apr.)-v.5:no.12 (1958:Dec.)
Commas and semicolons may on rare occasion need to be used together (if there is a gap in the library's holdings and that gap includes skipped numbers).
Library has v. 10, no. 1-3 and v. 10, no. 9-12; v. 10, no. 6 was not
published:
v.10:no.1 (1975:Jan.)-v.10:no.3 (1975:Mar.),;,v.10:no.9
(1975:Sept.)-v.10:no.12 (1975:Dec.)
If there are no gaps between recorded pieces at the lowest level, the detailed holdings statement may be compressed.
Noncompressed:
v.1:no.1 (1960:Jan.) v.1:no.2 (1960:Feb.) v.1:no.3
(1960:Mar.),v.1:no.5 (1960:May) v.1:no.6 (1960:June)
v.1:no.7 (1960:July) v.1:no.8 (1960:Aug.)
Compressed:
v.1:no.1 (1960:Jan.)-v.1:no.3 (1960:Mar.),v.1:no.5
(1960:May)-v.1:no.8 (1960:Aug.)
If there are no gaps within a level, data can be further compressed to eliminate unnecessary subordinate levels of detail.
v.1:no.1 (1976:Jan.)-v.1:no.12 (1976:Dec.)
becomes: v.1 (1976)
v.1:no.1 (1980:Jan.)-v.1:no.6 (1980:June)
v.2:no.1 (1980:July)-v.2:no.6 (1980:Dec.)
v.3:no.1 (1981:Jan.)-v.3:no.6 (1981:June)
v.4:no.1 (1981:July)-v.4:no.6 (1981:Dec.)
becomes: v.1 (1980:Jan./June)
v.2 (1980:July/Dec.)
v.3 (1981:Jan./June)
v.4 (1981:July/Dec.)
becomes: v.1 (1980:Jan./June)-v.4 (1981:July/Dec.)
If there are any gaps within a level, data for that volume, etc. cannot be compressed any further.
v.1:no.1 (1980:Jan.)-v.1:no.6 (1980:June)
v.2:no.1 (1980:July),v.2:no.3 (1980:Sept.)-v.2:no.6
(1980:Dec.)
v.3:no.1 (1981:Jan.)-v.3:no.5 (1981:May),
v.4:no.1 (1981:July)-v.4:no.6 (1981:Dec.)
becomes: v.1 (1980:Jan./June)
v.2:no.1 (1980:July),v.2:no.3 (1980:Sept.)-
v.2:no.6 (1980:Dec.)
v.3:no.1 (1981:Jan.)-v.3:no.5 (1981:May),
v.4 (1981:July/Dec.)
If a volume covers only part of a year or a noncalendar year, use a slash in the date when compressing.
v.6:no.1 (1975:July)-v.6:no.6 (1975:Dec.)
v.7:no.1 (1976:Jan.)-v.7:no.6 (1976:June)
becomes: v.6 (1975:July/Dec.)-v.7 (1976:Jan./June)
v.10:no.1 (1993:July)-v.10:no.12 (1994:June)
becomes: v.10 (1993:July/1994:June)
Note: Complete and incomplete levels cannot be mixed in compression. Nor can compressed and noncompressed designations be mixed in an unbroken range of holdings.
Correct: v.1 (1971)-v.10 (1980)
v.11:no.1 (1981:Jan.)-v.11:no.6 (1981:June)
[ten complete volumes; one incomplete volume]
Incorrect:v.1:no.1 (1971:Jan.)-v.11:no.6 (1981:June)
Incorrect:v.1 (1971)-v.11:no.6 (1981:June)
Note: The ANSI standard uses "positive" reporting only; that is, only the pieces actually held are recorded. The old local practice of using "(inc)" and "LACKS:" is no longer to be followed.
If a supplement has its own bibliographic record (separate from the parent serial), record the holdings as instructed above, using the enumeration and chronology related to the supplement itself. If a supplement does not have its own separate bibliographic record, record the holdings in the same record as the parent serial, as follows.
For supplements with independent numbering schemes, use that numbering.
Library as has no. 2-3 of the supplement to Title B:
no.2-3
For supplements with numbering related to a particular volume or issue of the parent serial, use all hierarchical levels of enumeration and chronology data appearing on the publication to record the holdings.
Library has supplement 1 to v. 16 of Title C dated June 1, 1977:
v.16:suppl.1 (1977:June 1)
Library has supplement to v. 31 of Title D:
v.31:suppl.
Library has supplement to v. 12, no. 8 of Title E:
v.12:no.8:suppl.
See chapters 3-5 for instructions on the use of the word "sup." in the various NOTIS records.
Chapter 3 (MHLD Records)
Chapter 4 (Order Records)
Chapter 5 (Item Records)
Holdings for indexes, including cumulations, that are not cataloged in separate bibliographic records or are not contained within a specific volume or issue of a basic bibliographic unit are recorded in separate holdings statements.
Library has separate indexes for v. 1 (1921)-v. 70 (1990):
v.1 (1921)-v.70 (1990)
Library has two cumulative indexes: one for v. 71 (1974)-v. 80 (1983)
and one for v. 81 (1984)-v. 90 (1993):
v.71/80 (1974/1983)-v.81/90 (1984/1993)
Indexes that are contained within a regular volume or issue of the serial are not recorded in a holdings statement. The existence of such indexes may be noted in the bibliographic record.
See chapters 3-5 for instructions on the use of the word "index" in the various NOTIS records.
Chapter 3 (MHLD Records)
Chapter 4 (Order Records)
Chapter 5 (Item Records)
Main Table of Contents
Introduction
Chapter 2: Non-Serial Holdings Standards
Chapter 3: MARC Holdings Records
Chapter 4: Order Records
Chapter 5: Item Records
Hypertext version of this document created 2/95 by Kevin
M. Randall
Last updated 3/16/95 (KMR)
