Recording textual holdings of multipart and serial titles

Overview

For physical (i.e., tangible) monographs and serials, UC Berkeley follows the current national standard for recording multipart and serial holdings: ANSI/NISO Z39.71-2006 (R2011), Holdings Statements for Bibliographic Items. This document is intended as a digest version of the larger Z39.71 document to cover common situations and cases encountered at UC Berkeley. For cases not covered below, refer to the Z39.71 document.

UC Berkeley uses different (local) standards in textual holdings statements for physical collection types that are not monographic or serial (e.g., manuscript, pictorial, and map collections). Those standards are beyond the scope of this document.

Contents

Key definitions

Adjacent display. Holdings display with each piece of enumeration followed immediately by the corresponding chronology. UC Berkeley uses adjacent display in its textual holdings for multipart monograph and serial units.

Alternative enumeration. Additional, secondary enumeration assigned to some multipart or serial units. Note: alternative enumeration provides a continuously numbered sequence in addition to hierarchical designations. For example, "v.3:pt.1=fasc.7" reflects a primary enumeration of volumes and parts, and an alternative enumeration of fascicles. UC Berkeley generally does not use alternative enumeration.

Basic bibliographic unit. Primary bibliographic unit for which holdings are being recorded. Examples of basic bibliographic units are a book, a multivolume encyclopedia, a computer file, a map, a score, a set of orchestral parts, and a publication with separately titled constituent parts. A bibliographic entity composed of several bibliographic units where one does not predominate is considered to have multiple basic bibliographic units. Examples include: a multimedia kit, a musical score and parts. Cf. secondary bibliographic unit.

Bibliographic unit. Discrete bibliographic entity that constitutes either the whole or a part of the bibliographic item. Note: a bibliographic unit may be a basic bibliographic unit, or a secondary bibliographic unit; it may be a single-part unit, a multipart unit, or a serial unit. A bibliographic unit may or may not correspond to a physical unit. See also: basic bibliographic unit, secondary bibliographic unit; multipart unit, non-serial unit, serial unit, single-part unit.

Caption. Word, phrase, or abbreviation associated with enumeration that indicates the parts into which a multipart or serial unit has been divided by the publisher (e.g., v., Bd., Heft, pt., no., T.).

Chronology. The different types of dates used by the publisher on the work to identify the individual multipart or serial unit (e.g., date of coverage, publication, printing, or reprinting). Cf. enumeration, extent of unit, name of unit.

Combined numbering. The use of a combined numbering scheme when the publisher has chosen to publish two or more parts as one, for example, "number 3/4."

Compress. To record a range of holdings in terms of the enumeration and/or chronology of only the first and last parts held. UC Berkeley generally uses compressed holdings statements.

Detailed holdings statement. Holdings statement with the extent of holdings data recorded at Level 4 to identify and describe, at the most specific level of information, the parts of a multipart or serial unit held by the institution. UC Berkeley uses detailed holdings statements only when gaps require all segments to have this specificity in order to prevent ambiguity. Cf. mixed holdings statement, summary holdings statement.

Enumeration. The sequential numeric and/or alphabetic designation used by the publisher on a multipart or serial unit to identify the individual bibliographic or physical parts and to show the relationship of each part to the bibliographic unit as a whole. Cf. chronology, extent of unit, name of unit.

Extent of holdings area. Data area conveying the extent of unit, the name of unit, enumeration, and/or chronology (whichever is appropriate) about the bibliographic unit for which holdings are being recorded. This covers MARC fields 866, 867, and 868. See also: chronology, enumeration, extent of unit, name of unit.

Extent of unit. Specific information about the number of parts of a bibliographic unit lacking sequential designations held by the recording institution. Cf. chronology, enumeration, name of unit.

Gap. A break or discontinuity in the holdings of the published parts of a multipart or serial unit. The term does not refer to a break or discontinuity in the publication pattern of the unit.

Hierarchical enumeration. Enumeration logically divided into two or more vertical levels of organization. For example, a work may be divided into volumes and, within each volume, numbers.

Hierarchical level. The relative position of one or more data elements to other data elements in the hierarchical structure of a system. Such relative position implies an upward or downward relationship among the data elements in the structure.

Holdings statement. A record of the units of a bibliographic work held at a location. The holdings statement reflects only items currently held, not items no longer held nor items expected to be acquired. The holdings statement can be open-ended. See also: detailed holdings statement, mixed holdings statement, summary holdings statement.

Index. A systematic guide to the contents contained in or concepts derived from any work or group of works, comprising a series of entries arranged in alphabetical, chronological, numerical or other chosen order and with references or indicators to show where each indexed object or concept is located. For the purposes of the ANSI/NISO standard, a separately described index (one having its own bibliographic record) is a basic bibliographic unit; an index described in the record for the main work that is not enumerated as part of the basic bibliographic unit is a secondary bibliographic unit.

Lacking. Not held.

Mixed holdings statement. Holdings statement with a combination of summary (Level 3) and detailed (Level 4) extent of holdings data. UC Berkeley uses mixed holdings statements when gaps necessitate the recording of some, but not all, segments at Level 4. Cf. detailed holdings statement, summary holdings statement.

Monograph. Bibliographic unit that is either produced as complete or is intended to be completed. See: non-serial unit.

Monographic series. A group of separate bibliographic items related to one another by the fact that each item bears, in addition to its own title proper, a collective title applying to the group as a whole. The individual items may or may not be numbered. See also: serial unit.

Monographic set. A monograph with more than one volume. Also called “multivolume monograph” or “MVM”. See: multipart unit.

Multipart unit. Basic bibliographic unit or secondary bibliographic unit that is composed of a number of separate physical units and is either produced as complete or is intended to be completed in a finite number of parts. Examples include: a multivolume monograph, a map set. A multipart unit may be in any physical form or medium. Cf. non-serial unit, serial unit, single-part unit.

Multivolume monograph. A monograph with more than one volume. Also called “monographic set” or “MVM”. See: multipart unit.

Name of unit. The name or title of a bibliographic unit appearing on it or formulated by the cataloger for the purpose of identifying it. Enclosed in quotation marks. Used primarily for non-serial units, but also used for a serial unit which is designated by a name. Examples include: a part of a kit, accompanying material, a supplement, a serial with several named parts. Cf. chronology, enumeration, extent of unit.

Non-gap break. Break between the recorded parts of a multipart or serial unit caused by unpublished parts or discontinuity in the publisher's sequential designations.

Non-serial unit. Bibliographic unit that is a single-part unit or a multipart unit, and is either produced as complete or is intended to be completed. A non-serial unit may be in any physical form or medium. Cf. multipart unit, serial unit, single-part unit.

Secondary bibliographic unit. Discrete bibliographic unit that is supplementary or complementary to a basic bibliographic unit or to another secondary bibliographic unit. Examples include: map in pocket, set of updates to a loose-leaf, answer book accompanying a text, pamphlet accompanying an audiodisc. Cf. basic bibliographic unit.

Segment. Part of a holdings statement that records a single range of holdings.

Serial unit. Basic bibliographic unit or secondary bibliographic unit that is issued in successive parts at regular or irregular intervals, bearing numerical and/or chronological designations, and intended to be continued indefinitely. A serial unit may be in any physical form or medium. Examples include: periodicals, newspapers, annual works, reports, journals, memoirs, proceedings, transactions such as conferences of societies and other corporate entities, numbered monographic series. Cf. multipart unit, non-serial unit, single-part unit.

Single-part unit. Basic bibliographic unit or secondary bibliographic unit complete in a single physical unit. A single-part unit may be in any physical form or medium. Cf. multipart unit, non-serial unit, serial unit.

Summary holdings statement. Holdings statement with the extent of holdings data recorded at Level 3 to describe, at the first (highest) level of specificity, the parts of a multipart or serial unit held by the institution. UC Berkeley uses summary holdings statements only if there are no gaps at any of the specific levels of the hierarchy that require detailed segments for disambiguation. If such gaps occur, a mixed or detailed holdings statement is used. Cf. detailed holdings statement, mixed holdings statement.

Supplement. Publication closely connected in subject matter to the basic bibliographic unit, issued by the same publisher, secondary to but separate from the basic bibliographic unit. A supplement having its own bibliographic description is considered a basic bibliographic unit and not treated as a supplement in the ANSI/NISO standard. A supplement included in the bibliographic description of the main work (basic bibliographic unit) is considered a secondary bibliographic unit so long as it is not enumerated as part of the main work, in which case it is considered a part of the basic bibliographic unit.

Holdings record field use

Fields

UC Berkeley uses Alma holdings records to record holdings for physical (i.e., tangible) bibliographic units. The holdings record stores data according to the MARC 21 Format for Holdings standard.

For basic bibliographic units and accompanying materials, record the extent of holdings data in MARC field 866. This generates the label “Summary holdings:” in UC Library Search.

For supplementary materials, record the extent of holdings data in MARC field 867. This generates the label “Supplements:” in UC Library Search. Thus, the display label "Supplement(s)" should not be entered in field 867. Specific names/extents of units may still be entered.

For indexes, record the extent of holdings data in MARC field 868. This generates the label “Indexes:” in UC Library Search. Thus, the display label “Index(es)” should not be entered in field 868. Specific names/extents of units may still be entered.

Indicators and subfields

Fields 866, 867, and 868 follow the same guidelines for indicator coding and subfield use.

For indicator 1, enter the value 4. This corresponds to the level of specificity used in the extent of holdings data.

For indicator 2, enter the value 1. This indicates that the field is coded according to the NISO Z39.71 standard.

In subfield $$8, enter the value 0, as UC Berkeley does not use captions and patterns in 85X fields to generate 86X fields.

In subfield $$a, enter the textual holdings statement.

In subfield $$x, optionally enter a staff note, which does not display in UC Library Search.

In subfield $$z, optionally enter a public note, which does display in UC Library Search.

Levels of specificity

UC Berkeley uses a combination of ANSI/NISO specificity Levels 3 and 4 in textual holdings statements. A first indicator value of 3 would indicate that the holdings are described at the lowest level of specificity, even when there are smaller gaps (e.g., all volumes are held but some volumes are missing issues). UC Berkeley policy is to always describe gaps if they exist; to avoid misrepresentation, never use the value 3 in the first indicator, even if some or all of the holdings segments are recorded at Level 3 due to completeness.

Holdings statement structure

Holdings statement composition

When the extent of holdings is explicitly recorded, this standard requires the recording of those pieces held rather than of those pieces not held. Record and display data in a positive sense; that is, emphasize that which is held rather than that which is not. Gaps shall be indicated and are determined by the absence of any bibliographic unit at any hierarchical level.

Holdings statements shall reflect only the materials held for the associated bibliographic and holdings record. Separate holdings statements are required when materials are described in more than one bibliographic or holdings record.

Extent of holdings should ideally be based on examination of the physical items. If the physical items cannot be examined, digital surrogates (e.g., electronic versions or catalog item records) may be used.

UC Berkeley holdings statements may be either open (ending with a hyphen) or closed, depending on whether the title is currently received or not.

Punctuation

Use prescribed punctuation when recording holdings.

Blank space ( ). In compressed holdings statements, used only in particular cases. Use in enumeration, name of unit, or extent of unit data to separate two words or abbreviations within the data element. Use in chronology data to separate a month from a day if the month is not abbreviated. Use in enumeration data if the caption/enumeration combination contains a blank space. Use before or after plus signs. Use before or after square brackets unless those are used in conjunction with other punctuation that forbids adjacent blank spaces.

Colon (:). Separates two hierarchical levels of a bibliographic unit. The hierarchy level order should be from higher (less detailed) to lower (more detailed). Blank spaces are not used before or after a colon.

Comma (,). Indicates a gap in a range of holdings. Blank spaces are not used before or after a comma.

Equal sign (=). Separates alternative numbering schemes. Blank spaces are not used before or after an equal sign.

Forward slash (/). Indicates combined enumeration, combined chronology or non-calendar year chronology data. Blank spaces are not used before or after a forward slash.

Hyphen (-). Indicates an unbroken range of holdings or open holdings. Blank spaces are not used before or after a hyphen.

Parentheses (()). Separates enumeration and chronology when the data are recorded together. Blank spaces are not used before or after parentheses.

Plus sign (+). Separates a basic bibliographic unit from a subsequent one or from a secondary bibliographic unit. Blank spaces are used before and after a plus sign.

Question mark (?). Indicates unknown digit(s) of a date when either the decade and/or year are not known. Blank spaces are not used before a question mark. Follow a closing question mark with a blank space unless used in conjunction with other punctuation that forbids adjacent blank spaces (e.g., parentheses).

Quotation marks (“”). Encloses the name of a unit. Blank spaces are used before and after the name of unit (including quotation marks), except where a quotation mark is the first or last character in the holdings statement.

Semicolon (;). Indicates a non-gap break, such as when an item is not published or a change in numbering occurs. Blank spaces are not used before or after a semicolon. For gaps in publication, use only when the gap in publication is known; otherwise, describe the gap with a comma.

Square brackets ([]). Encloses supplied enumeration or chronology data. Blank spaces are used before and after square brackets, unless used in conjunction with other punctuation that forbids adjacent blank spaces (e.g., equal sign, comma, parentheses).

Extent of holdings area

Guidelines on extent of holdings area

Choice of data element

At least one of the following extent of data elements must be present: name of unit, extent of unit, enumeration, chronology.

The data element name of unit is usually given only when the holdings of a secondary bibliographic unit are being recorded. For single-part secondary units, the name of unit may be the only data element required to express the extent of holdings.

The data element extent of unit is usually given only when a unit lacks sequential designations. This occurs most frequently with non-serial units.

The data element enumeration is used to give the extent of holdings for units with sequential designations. It is recorded for most serial units.

The data element chronology is usually associated with enumeration for serial units and is recorded in addition to the enumeration, when applicable. When no enumeration is present, chronology alone may specify the extent of holdings.

In summary, specify the extent of holdings using one or more of the following data elements, as appropriate:

  • Name of unit (for separately named secondary bibliographic units, which may or may not also have sequential designations)
  • Extent of unit (for units lacking sequential designations)
  • Enumeration (for units with sequential designations other than dates)
  • Chronology (for units lacking enumerative sequential designations)
  • Enumeration and chronology

Compression

Holdings statements are compressed into segments whenever possible. Use a hyphen to indicate compression of a range of holdings without gaps. Compression may occur even if there are non-gap breaks within the described range as long as there is no change in caption or enumeration pattern.

If there are no gaps within a level, generally do not record any unnecessary, subordinate levels of enumeration. Use judgment in not recording subordinate levels of detail if doing so would cause an unacceptable level of ambiguity.

Example: Compressed form with subordinate levels not recorded; all numbers of volumes 1-4 are held.
866 41 $$8 0 $$a v.1(1976)-v.4(1979)

Example: Compressed form with subordinate levels recorded; volume 4, number 12 is not held.
866 41 $$8 0 $$a v.1:no.1(1976:Jan.)-v.4:no.11(1979:Nov.)

Enumeration and chronology

For serial units, record both enumeration and chronology if both are present. For multipart monograph units, adding chronology is not recommended unless needed for disambiguation (e.g., when describing a revised edition of a volume -- see Revised editions). If recording enumeration and chronology, record in adjacent display form. Enumeration data is recorded first; corresponding chronology follows each element of enumeration and is enclosed in parentheses.

Example: An annual serial publication of twenty volumes, enumerated 1 to 20, beginning in 1951.
866 41 $$8 0 $$a v.1(1951)-v.20(1970)

Example: A multipart monograph published in three volumes.
866 41 $$8 0 $$a v.1-v.3

Record enumeration and chronology data in logical sequence; that is, lowest enumeration data to highest, earliest date to latest.

If holdings are actively received, end the statement with a final hyphen.

Examples:
866 41 $$8 0 $$a v.1(1951)-
866 41 $$8 0 $$a v.13:no.1(2003:Jan.)-v.13:no.3(2003:June),v.20(2010)-

When the enumeration and chronology data correspond with each other, they must be recorded at the same hierarchical level and in the same sequence.

Both sides of a holdings statement segment should be recorded at the same level of enumeration. If it is necessary to record both first-level and subsequent level enumeration to describe a gap, repeat all levels of enumeration at the beginning and end of the segment.

Example: Volume 2 is lacking issue 4, so both sides of the first segment repeat both levels of enumeration, even though volume 1 is complete. There are no gaps in volumes 3, 4, and 5, so the subsequent level of enumeration is eliminated in the second segment.
866 41 $$8 0 $$a v.1:no.1(1976:winter)-v.2:no.3(1977:fall),v.3(1978)-v.5(1980)

Do not use a hyphen in a holdings statement segment if only a single unit in the described range is held.

Examples:
866 41 $$8 0 $$a v.5
866 41 $$8 0 $$a 1992,1995-1997,1999

Gaps and non-gap breaks

Use a comma to indicate a gap in holdings.

Examples:
866 41 $$8 0 $$a v.1:no.1(1982:Jan.)-v.6:no.2(1987:June),v.7:no.4(1988:Oct.)
866 41 $$8 0 $$a v.1:no.1(1981:fall)-v.1:no.2(1981:winter),v.11(1990/1992)

Use a semicolon (;) to indicate a change in enumeration pattern (non-gap break). If a non-gap break occurs adjacent to a gap, a semicolon may be placed next to a comma.

Examples:
866 41 $$8 0 $$a v.1(1981)-v.2(1982);new ser.:v.1(1983)-new ser.:v.7(1989)
866 41 $$8 0 $$a v.1(1981)-v.2(1982);,new ser.:v.2(1984)-new ser.:v.7(1989)

A semicolon may also be used to denote a non-gap break when a volume was never published. (This should also be reflected in the bibliographic record.)

Example:
866 41 $$8 0 $$a v.1(1981)-v.2(1982);v.4:no.1(1984:Jan.)

However, if it is possible to compress the holdings (i.e., in situations where a change in enumeration pattern is not involved), the non-gap break is not accounted for.

Example: If, in the previous example, all issues for volume 4 were received, the unbroken holdings could be recorded as a single segment.
866 41 $$8 0 $$a v.1(1981)-v.4(1984)

Name of unit

The data element name of unit consists of the title of the unit, or a briefer supplied designation that describes it. Enclose the name of unit in quotation marks. Use the name of unit data element when the described bibliographic unit is named, separate from enumeration or chronology.

Use a plus sign to separate multiple bibliographic units.

Example: In addition to holdings volumes 1 and 2, an unnnumbered volume with the title “A demographic atlas of Northwest Ireland” is held.
866 41 $$8 0 $$a v.1-v.2 + “Atlas”

Example: Disk units are individually named.
866 41 $$8 0 $$a “Installation disk” + “Program disk” + “Help disk”

Example: Unit is a two-part serial whose parts are distinguished only by titles (names); two basic bibliographic units.
866 41 $$8 0 $$a “Tätigkeitsbericht” 1980-1986 + “Neuerwerbungen” 1979-1985

Extent of unit

The data element extent of unit is recorded as a total count of the number of parts held, and is used when the bibliographic units lack sequential designations. For units with a large number of parts, an estimate of the total may be given preceded by the abbreviation "ca.".

Examples:
866 41 $$8 0 $$a 2 sound cassettes
866 41 $$8 0 $$a 179 sheets
866 41 $$8 0 $$a ca. 1000 items

Enumeration

Record holdings by enumeration if the unit has an enumerative sequential designation. Serial units usually have enumeration, but may have only chronology. Serial holdings are recorded in terms of enumeration or chronology or both.

Some multipart non-serial units have enumeration, for example, multivolume monographs. In those cases, use the enumeration to record the non-serial holdings. Multivolume monographs with numbers on each volume may be recorded by enumeration only, unless chronology is necessary for disambiguation (see Revised editions).

Record enumeration by giving the caption followed by the sequential designator (e.g., the number). If the enumeration on the item uses ordinal numbering, with the number preceding the caption, convert to cardinal numbering in order to place the caption first.

Caption/enumeration examples
Issued as Recorded as
Band 5 Bd.5
volume 16, number 3 v.16:no.3
third series ser.3
63 63
volume 63 v.63
1st edition ed.1
3. Teil T.3
1st (captionless ordinal) 1

If bibliographic units are not issued with enumeration but with another designation (e.g., dates), do not supply enumeration.

Example: Volumes issued by dates only, without enumeration.
866 41 $$8 0 $$a 2002-2004

Levels of enumeration

If the parts have hierarchical enumeration, record the sublevels following a colon when the situation warrants recording of sublevels. See also Compression above.

Examples:
866 41 $$8 0 $$a v.1:no.1(2004:Jan.15)
866 41 $$8 0 $$a v.1:no.1:pt.A(2005:Jan.)

For both numbered and unnumbered first-level series designators, record the series level as the first level of enumeration. When the first level is a series, always record the second-level enumeration along with the first level, even if the series is complete and you are compressing the statement.

Example: The first level is a numbered series, “series 3.”
866 41 $$8 0 $$a ser.3:v.1(1999)

Example: The first level is an unnumbered “new series.”
866 41 $$8 0 $$a new ser.:v.1(1980)

Example: The new series of a title is complete in sixteen volumes, and all volumes are held.
866 41 $$8 0 $$a new ser.:v.1(1979)-new ser.:v.16(1994)

Captions

If captions are associated with enumeration of units, record them. If parts of a unit do not have captions, do not supply them. Transcribe captions associated with enumeration in the vernacular form appearing on the publication, transliterating when needed. Record captions in the singular.

If applicable, use a caption abbreviation from the CONSER Abbreviations for Captions list or AACR2 Appendix B: Abbreviations. If a caption is not included on either list, transcribe the caption in full, unabbreviated form. Do not translate Latin scripts (e.g., if the associated caption is Band, use Bd. as the caption rather than v.). Captions that appear in non-Latin scripts may be either transliterated or translated to the English-equivalent captions (e.g., ser., v., no.).

Record captions in lowercase unless the language of the caption (e.g., a German noun) requires an uppercase first letter.

If a symbol is used as a caption and it has a recognized textual equivalent, record the textual equivalent using the CONSER list of caption abbreviations.

Example: A part is issued as “#1” and published in 2003.
866 41 $$8 0 $$a no.1(2003)

When a caption is abbreviated and ends in a period, do not include a blank space between the caption and the following enumeration. If enumeration follows an unabbreviated caption, leave one space between the caption and the enumeration.

Examples:
866 41 $$8 0 $$a v.2
866 41 $$8 0 $$a Heft 1

Repeat captions at all described levels of enumeration.

Examples:
866 41 $$8 0 $$a Heft 1-Heft 2,Heft 4
866 41 $$8 0 $$a v.1:no.2(1999:Feb.)-v.4:no.3(2002:Mar.),v.4:no.6(2002:June)

Sequential designators

Convert all numeric information to Arabic numbers.

Numeric information examples
Issued as Recorded as
VII 7
six 6

Convert ordinal numbers to cardinal numbers.

Ordinal number examples
Issued as Recorded as
First edition ed.1
1st 1
3. Teil T.3

Record uppercase and lowercase alphabetic characters as they appear on the item.

Examples:
866 41 $$8 0 $$a 23a(2006:Apr.28)
866 41 $$8 0 $$a no.36B(2006:July/Dec.)
866 41 $$8 0 $$a v.B

When a bibliographic item is issued with combined numbering (i.e., not when bound together after receipt), separate the numbers by a forward slash. If a caption is used, record the caption for the first number only.

Example: Volumes 11 and 12 of an annual publication are issued together as a double issue.
866 41 $$8 0 $$a v.11/12(1985/1986)

If the bibliographic item does not carry enumeration, do not supply it.

Example: Volumes marked by dates only, without enumeration.
866 41 $$8 0 $$a 2002-2004

When a part of an otherwise numbered unit lacks numeric or alphabetic designation, supply it in square brackets.

Example: The first volume of a multivolume monograph lacks designation, but the others have it.
866 41 $$8 0 $$a [v.1]-v.3

If a unit recorded in the summary holdings statement has an incorrect designation, record the incorrect designation as found, with the correct form in square brackets preceded by "i.e."

Example: The first and fourth volumes of a title are lacking; the third volume is incorrectly designated as the second volume.
866 41 $$8 0 $$a v.2(1989)-v.2[i.e. 3](1990),v.5(1992)-v.9(1996)

Example: Volumes 2-9 are held, without gaps; the third volume is incorrectly designated as the second volume. The incorrectly designated unit is not recorded, as it would not be recorded in the summary holdings statement even if it were correctly designated.
866 41 $$8 0 $$a v.2(1989)-v.9(1996)

Multiple enumerations

For a serial or multipart unit within a serial or multipart unit, each with its own numbering scheme, record the enumeration per the scheme established by the bibliographic record linked to the holdings record containing the summary holdings statement.

Example: Volumes 2 and 5 of a multipart monograph are also designated as volumes 6 and 13, respectively, of the multipart monograph’s parent series. The summary holdings statement below is on a holdings record attached to the bibliographic record of the multipart monograph.
866 41 $$8 0 $$a v.2,v.5

When volume numbers and consecutive numbers appear together on the source, and the consecutive numbers are a subordinate level of designation, the consecutive number is recorded as subordinate to the volume number.

Example: Issues are numbered consecutively; the numbering pattern does not restart with the beginning of each new volume.
866 41 $$8 0 $$a v.153:no.3873-v.160:no.4071

If the bibliographic record has no indication whether or not the consecutive numbers are to be recorded subordinately, generally do not record the alternative enumeration unless the numbering is considered useful. Alternative numbering may be considered useful if it is commonly used in citation practice, if there is reason to believe patrons are otherwise likely to use the alternative numbering, or if the alternative numbering is useful for check-in.

Example: Issues have alternative enumeration, but it is not clear if the patterns are consecutive.
866 41 $$8 0 $$a v.153-v.160
866 41 $$8 0 $$a v.153-v.160=no.3873-no.4071

If the original numerical designation is consecutive but a new designation (e.g., "new series") appears in addition to the consecutive numbering designation, the additional designation is generally recorded in a 515 note in the bibliographic record; in that case, do not record the additional designation in field 866.

Example:
515 $$a v.26-50 also called: ser. 2, v. 1-ser. 2, v. 25

866 41 $$8 0 $$a v.1(1851)-v.50(1900)
NOT
866 41 $$8 0 $$a v.1(1851)-v.25(1875);v.26(1876)-v.50(1900)=ser.2:v.1-ser.2:v.25

Unnumbered issues

Record an unnumbered issue as part of a holdings segment, or compress it into the higher-order designator, as appropriate.

Example: A title’s premier issue, issued in 1971, is designated v. 1, no. 0.
866 41 $$8 0 $$a v.1(1971)-v.15(1985)

Example: A title’s premier issue, issued in 1971, is designated v. 0, no. 0.
866 41 $$8 0 $$a v.0(1971)-v.15(1985)

Example: A title’s premier issue, issued in September 1971, lacks enumeration.
866 41 $$8 0 $$a 1971:Sept.;v.1(1971)-v.15(1985)

Example: A title’s premier issue is named “Inaugural issue”, so it is described using the name of unit data element.
866 41 $$8 0 $$a “Inaugural issue” + v.1(1971)-v.15(1985)

Chronology

Chronology is recorded in parallel with enumeration, except when a title carries only chronology. When only a chronological sequential designation is present, the chronology specifies the holdings. When only chronology specifies the holdings, it is not enclosed in parentheses.

If both enumeration and chronology are present, record both, except for cases of multipart non-serial units (e.g., multivolume monographs) where chronology is not necessary for disambiguation.

If it is necessary to record both first-level and subsequent level chronology in the holdings statement, repeat all levels of chronology at the beginning and end of each range held.

If a title normally carries chronology data and such data is omitted from some pieces, it may be supplied within square brackets.

Dates

When more than one type of date is present on the item, select the date from the following preferred dates, in this order:

  1. Date of coverage
  2. Date of publication
  3. Date of copyright
  4. Date of printing

Always record all four digits of the year, even if all digits are not present on the item. Use a forward slash if the chronology spans a non-calendar year, or spans more than one year.

Example: A non-calendar year or biennial issue.
866 41 $$8 0 $$a 1989/1990

Example: A triennial covering the years 1989, 1990, and 1991.
866 41 $$8 0 $$a 1989/1991

Example: Two non-calendar year issues: 1989/1990 and 1990/1991.
866 41 $$8 0 $$a 1989/1990-1990/1991

If there is chronology data available, but the exact year cannot be precisely determined, use a question mark to fill the space of the missing digit. If the century is not known, do not record a date.

Examples:
866 41 $$8 0 $$a 198?
866 41 $$8 0 $$a 19??

When one calendar scheme is present on the publication, use that scheme to record chronology data. For non-Gregorian dates, supply the corresponding Gregorian date(s) in square brackets. If Gregorian and non-Gregorian dates are present on the publication, record only the Gregorian dates.

Example: Only the non-Gregorian date 3754 is printed on the item.
866 41 $$8 0 $$a v.12(3754 [1993 or 1994])

If the recorded compressed enumeration (due to complete holdings) does not correspond linearly with calendar years, record the chronology as non-calendar years corresponding to the compressed enumeration.

Example: v.1:no.1(1986:July) through v.2:no.12(1988:June) are held, without gaps, so the holdings are compressed.
866 41 $$8 0 $$a v.1(1986/1987)-v.2(1987/1988)

Example: v.1:no.1(1986:July) through v.2:no.12(1988:June) are held, with gaps, so the holdings are not compressed.
866 41 $$8 0 $$a v.1:no.1(1986:July)-v.1:no.11(1987:May),v.2:no:2(1987:Aug.)-v.2:no.12(1988:June)

Transcribe terms associated with chronology in the vernacular form appearing on the publication. Terms that appear in non-Latin scripts may be either transliterated or translated to English equivalents. If applicable, use a month abbreviation from the CONSER Abbreviations for Names of Months list. Do not capitalize seasons.

Examples:
866 41 $$8 0 $$a 2012:winter
866 41 $$8 0 $$a 1999:Dec.
866 41 $$8 0 $$a no.1(2002:spring)-no.3(2002:fall)

Record from highest hierarchical level to lowest, and use a colon to separate each level. For chronology data that contains day notations, do not treat these as a separate hierarchical level, and do not separate them with a colon.

Example: A daily newspaper published on February 16, 1982.
866 41 $$8 0 $$a 1982:Feb.16
NOT
866 41 $$8 0 $$a 1982:Feb.:16

A blank space is used in chronology data to separate a month from a day if the month is not abbreviated.

Example: A bimonthly serial published on June 30, 1994.
866 41 $$8 0 $$a v.18:no.12(1994:June 30)

If chronology of less than a day is recorded, use a colon to separate time designations from the day.

Example: A daily newspaper with morning and evening editions; the February 16, 1982 morning edition is held.
866 41 $$8 0 $$a 1982:Feb.16:am

If the designation consists of a year and a number that is a division of the year, record the year before the number.

Example: The volume for 1990 lacks no.6; the volume for 1991 is complete.
866 41 $$8 0 $$a 1990:no.1-1990:no.5,1990:no.7-1991:no.8

Example: The volumes for 1990 and 1991 are complete, so the summary holdings statement is compressed.
866 41 $$8 0 $$a 1990-1991

Publication variations

Microforms and reprints

If a microform set is original, record holdings based on the bibliographic designation.

Example: A work originally published on microfiche.
010 ## $$a 93640490
245 00 $$a Dun's business identification service.
264 #1 $$a [Parsippany, N.J.] : $$b D & B,
300 ## $$a microfiches : $$b negative
310 ## $$a Semiannual
588 0# $$a May 1984; title from eye-readable header.

866 41 $$8 0 $$a 1990:no.1-1990:no.5,1990:no.7-1991:no.8

If a microform set is a reproduction of a single title, record holdings based on the bibliographic designation (i.e., original enumeration and dates of coverage), not the publication date of the reprints.

Example: A work originally published in print, and reproduced on microfiche.
245 00 $$a Dun's business month.
264 #1 $$a New York, N.Y. : $$b Dun & Bradstreet, $$c c1981-
300 ## $$a volumes : $$b illustrations ; $$c 28 cm
310 ## $$a Monthly
362 ## $$a [Vol. 118, no. 3] (Sept. 1981)-
533 ## $$a Microfiche. $$b Ann Arbor, Mich. : $$c University Microfilms International, $$d 2010. $$e 22 microfiches. $$f (Publication 202)

866 41 $$8 0 $$a v.118(1981)-v.140(2003)

If a reprint of a work differs enough from the original to be considered a separate bibliographic entity, record holdings based on the original bibliographic designation (i.e., original enumeration and dates of coverage), not the publication date of the reprints.

Example: A monthly serial originally published in 1913 and reprinted in a single volume in 1968.
010 ## $$a sf 92090648 $$z sn 90010223
245 04 $$a The blue review.
264 #1 $$a London : $$b Frank Cass and Co. Ltd., $$c 1968.
300 ## $$a 1 volume ; $$c 26 cm.
362 0# $$a Vol. 1, no. 1 (May 1913)-v. 1, no. 3 (July 1913).
580 ## $$a Originally published monthly: London : Martin Secker, 1913.

866 41 $$8 0 $$a v.1:no.1(1913:May)-v.1:no.3(1913:July)

If original and reprinted/reproduced parts of a multipart or serial title are held, both may be cataloged using the bibliographic record for the original. In such cases, describe both originals and reprints/reproductions in the same 86X field, using a subfield $$z in that 86X field to clarify the reprint/reproduction where necessary.

Example: Originals of v.1-19, 21-50 and a photocopy of v.20 of a serial title are held.
866 41 $$8 0 $$a v.1(1951)-v.50(2000) $$z v.20(1970) is a print reproduction

Example: Originals of v.1-50 and a photocopy of v.20 of a serial title are held. A subfield $$z is not used here, but a copy-specific note could be added in a different 5XX field if deemed important.
866 41 $$8 0 $$a v.1(1951)-v.50(2000)

Revised editions

Revised editions differ from reprints in that the intellectual contents of the work generally differ from the original edition. If all parts of a title are collectively reissued in a revised edition, catalog the revised parts using a separate bibliographic record from the original. However, if revised editions of individual parts of a multipart or serial (e.g., monographic series) title are issued individually or irregularly, and parts of the original edition are also held, the revised edition parts may be cataloged along with the original edition parts using the bibliographic record of the original edition. In such cases, describe the revised editions in the 86X fields by separating them from the original editions with a plus sign and name of unit (e.g., “Rev. ed.” or “3rd ed.”). Additionally, include chronology in the item record’s Description field when necessary to distinguish the specific edition of the volume held and described by that item record.

Example: v.1-12 of a multipart monograph held along with revised editions of v.1 and v.3 (published in 1972 and 1982, respectively). Chronology is recorded for the revised editions to further disambiguate them from the originals.
866 41 $$8 0 $$a v.1-v.12 + "Rev. ed." v.1(1972),v.3(1982)

If original and revised editions are issued regularly, treat the edition as a hierarchy within the year.

Example: Serial title issued biannually as “<year> edition” and “<year> revised edition”.
866 41 $$8 0 $$a 1994:ed.-2009:rev.ed.

Organizing summary holdings using name of unit and hierarchy structure may be necessary to describe complex (but regular) issuing patterns.

Example: Several subseries of a title are issued biannually as “<year> edition” and “<year> revised edition”.
866 41 $$8 0 $$a “Federal” 1994:ed.-2009:rev.ed. + “Federal bankruptcy courts” 2009:rev.ed.-2020:ed.,2021:ed.-2021:rev.ed. + “Federal district courts” 2010:ed.-2020:ed.,2021:ed.-2021:rev.ed. + “State” 1994:ed.-2015:ed.,2016:ed.-2020:ed.,2021:ed.-2021:rev.ed.

Secondary bibliographic units

Accompanying material

In general, do not record accompanying material in the 866 holdings. Accompanying material may be described in field 300 of the bibliographic record, in a public note (e.g., in field 500 in the bibliographic record, field 852 $$z in the holdings record, or a Public Note in item record), by creating separate item records, or ignoring in the bibliographic description, as appropriate.

Example: Each issue of a monthly serial is accompanied by an audio compact disc.
010 ## $$a 90649787
245 00 $$a Amadeus : $$b il mensile della grande musica.
264 #1 $$a Milano : $$b De Agostini-Rizzoli periodici, $$c [1989?]-
300 ## $$a volumes : $$b illustrations (chiefly color) ; $$c 29 cm + $$e sound discs
310 ## $$a Monthly
362 0# $$a Anno 1, n. 1 (dic. 1989)-

866 41 $$8 0 $$a anno 1(1989)-anno 2(1990)

Example: Some issues of a bimonthly serial are accompanied by diskettes.
010 ## $$a 87656977
245 00 $$a OCLC micro.
264 #1 $$a [Dublin, Ohio : $$b OCLC Online Computer Library Center, $$c c1985]-1992.
300 ## $$a 8 volumes : $$b illustrations. ; $$c 23 cm
310 ## $$a Bimonthly
362 0# $$a Vol. 1, no. 1 (Mar. 1985)-v. 8, no. 6 (Dec. 1992).
500 ## $$a Some issues accompanied by diskettes.

866 41 $$8 0 $$a v.1(1985)-v.8(1992)

If considered important, accompanying material may be recorded in field 866. In such cases, accompanying material should be recorded as a secondary bibliographic unit according to the scheme: <primary bibliographic unit> + <secondary bibliographic unit>. This procedure might be appropriate for a rare or ceased serial. It would be misleading to record only selected accompanying material in 866 for an ongoing serial. Alternatively, consider using a public note in 866 $$z instead.

Example: Volume 4 is accompanied by a globe.
866 41 $$8 0 $$a v.1(1989)-v.3(2002);v.4(2003) + 1 globe;v.5(2004)-v.6(2005)

Example: Each volume of a serial is accompanied by a sound disc titled “musica” with enumeration corresponding to the volumes.
866 41 $$8 0 $$a v.1(1985)-v.8(1992) + "musica" v.1(1985)-v.8(1992)

Example: A multivolume monograph is accompanied by an unnamed, unnumbered reel.
866 41 $$8 0 $$a v.1-v.3 + 1 reel

Example: A printed text with various kinds of accompanying materials. Note the occurrences of name of unit, extent of unit, and enumeration as appropriate.
866 41 $$8 0 $$a 1 v. + ”Teacher’s guide” 1 sound cassette + 1 sound disc + ”Supplement” no.1-5

Accompanying material may be described in the 866 as well as an item Fulfillment Note if it is present in bibliographic field 300. Accompanying material not described in the 300 field may be described only in the item Fulfillment Note, without mention in the 866.

Example: A single-part monograph with an accompanying computer disc described in the 300 $$e; both parts are held. The extent of unit of the basic bibliographic unit is recorded because there is a secondary bibliographic unit.
866 41 $$8 0 $$a 1 v. + 1 CD-ROM

Example: A single-part monograph with an accompanying computer disc described in the 300 $$e. The main work is held, but the computer disc is not.
866 41 $$8 0 $$a 1 v. $$z Accompanying CD-ROM wanting

Example: A single-part monograph with an accompanying computer disc described in the 300 $$e. The computer disc is held, but the main work is not.
866 41 $$8 0 $$a 1 CD-ROM $$z Main text wanting

Supplements

A supplement with an independent numbering scheme from its main title is considered a separate title and should be described in a separate bibliographic record. In such cases, record holdings according to this separate bibliographic record’s designation, with the supplement volumes as its basic bibliographic units, in holdings field 866.

Example: Volumes 1-55 of a serial title’s supplement, which is represented by its own bibliographic record, are held.
022 0# $$a 0065-1419 $$l 0065-1419 $$2 0
245 00 $$a Acta neurochirurgica. $$p Supplementum.
772 0# $$t Acta neurochirurgica $$x 0001-6268 $$w (DLC)sn 81001243 $$w (OCoLC)1460937

866 41 $$8 0 $$a v.1(1950)-v.55(1992)

For 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), record holdings in field 867 of the holdings record attached to the main title’s bibliographic record.

Example: In addition to several volumes of a serial title, the 1960 supplement accompanying volume 7 is held; holdings for the volumes and the supplement are attached to the bibliographic record for the serial title.
022 ## $$a 0032-633X $$l 0032-633X $$2 1
245 00 $$a Practical anthropology.
525 ## $$a Vol. 7 accompanied by supplement for 1960: Selected reprints from volumes 1-4 (1953-57).

866 41 $$8 0 $$a v.5(1958)-v.6(1959),v.11(1964)-v.19(1972)
867 41 $$8 0 $$a [v.7]:suppl.(1960)

For a supplement with numbering related to a particular volume or issue of the main title, record all hierarchical levels of the enumeration and chronology data appearing on the publication in the holdings record.

Example: There exist multiple numbered and dated supplements to v.18; supplement 2 is held.
867 41 $$8 0 $$a v.18:suppl.2(1918:June)

Compress supplement holdings if it is possible to do so.

Example: Every volume of a title is accompanied by supplements within a given range, and all supplements are held.
866 41 $$8 0 $$a v.31(1986)-v.35(1990)
867 41 $$8 0 $$a v.31:suppl.(1986)-v.35:suppl.(1990)

Indexes

An index with an independent numbering scheme from its main title is considered a separate title and should be described in a separate bibliographic record. In such cases, record holdings according to this separate bibliographic record’s designation, with the index volumes as its basic bibliographic units, in holdings field 866.

Example: 1914-1940 of an index, which is represented by its own bibliographic record, are held.
245 04 $$a The official index to The times.
787 08 $$i Index to: $$t Times (London, England) $$x 0140-0460 $$w (DLC)sn 85054080 $$w (OCoLC)6967919

866 41 $$8 0 $$a 1914-1940

For an index 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), record holdings in field 868 of the holdings record attached to the main title’s bibliographic record.

Example: Cumulative author indexes of a serial, published every 25 years. Use volumes and dates of coverage in enumeration and chronology.
868 41 $$8 0 $$a “Cumulative author index” v.1/50(1901/1950)-v.1/75(1901/1975)

Example: Annual indexes of a serial, published and numbered as separate units from the main volumes.
868 41 $$8 0 $$a 1951:index,1955:index-1970:index

For 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) do not record it in the holdings record. The existence of such an index is usually noted only in the bibliographic record.

Example: A cumulative index is included within volumes 10 and 20, then is later published separately from the basic enumeration. The cumulative index covering v.1-31 is described in the 868, but the ones covering v.1-10 and v.1-20 are not.
022 0# $$a 0003-4851 $$l 0003-4851 $$2 1
245 04 $$a The Annals of mathematical statistics.
555 ## $$a Vol. 1-10 (1930-39) with v. 10; v. 1-20 (1930-49) with v. 20; v. 1-31 (1930-1960). 1 v.; v. 32-43 (1961-1972). 1 v.

866 41 $$8 0 $$a v.1(1930)-v.43(1972)
868 41 $$8 0 $$a “Cumulative index” v.1/31(1930/1960)

Example: A serial title is published 13 times annually; the index to each year’s volume is issued as no.13 of that year’s volume. The index is described in the 866, not the 868.
866 41 $$8 0 $$a v.1(1951)-v.9(1959),v.10:no.2(1960:Feb.)-v.10:no.13(1960:Dec.)

Example: Annual indexes of a serial are published within no.12 of each volume (December issue + annual index). Holdings field 868 is not used.
866 41 $$8 0 $$a v.1(1951),v.5(1955)-v.20(1970)

Free text notes

Record free text notes related to the summary holdings in the 86X $$z (public) or 86X $$x (non-public) subfields at the end of the 866 field with its corresponding holdings. Record other types of notes in the appropriate MARC fields as described in Holdings record field coding.

Example: Originals of v.1-19, 21-50 and a photocopy of v.20 of a serial title are held.
866 41 $$8 0 $$a $$a v.1(1951)-v.50(2000) $$z v.20(1970) is a print reproduction

Appendix: Changes in UC Berkeley practice

Appendix

This section clarifies some differences between these guidelines and historical UC Berkeley practices.

Catalogers may, but are not required to, update legacy holdings records to conform to the new guidelines. When modifying legacy holdings records, catalogers may preserve the non-conforming structure of the holding statements for expedience. However, if a legacy holdings record’s 86X fields are updated without conforming to these guidelines, do not update the LDR, 008, or indicator values.

Use of colon and hyphen

Legacy practice: in addition to the current uses, colons and hyphens were used in multivolume monograph holdings to succinctly group multiple pieces recorded at the same detailed hierarchical level.

Current practice: a colon indicates a change in hierarchical levels; a hyphen indicates a held range of holdings between described parts.

Use of semicolon

Legacy practice: in addition to recording a non-gap break, a semicolon was used in multivolume monograph holdings to separate sections for readability.

Current practice: use to record a non-gap break.

Space after comma or semicolon

Legacy practice: a comma or semicolon was followed by a space.

Current practice: a comma or semicolon is not followed by a space.

Complementary levels of enumeration and chronology

Legacy practice: enumeration/chronology on either side of a hyphen could be described at different hierarchical levels.

Current practice: data on both sides of a hyphen must be recorded at the same level.

Digits in chronology years

Legacy practice: omitted the first two digits of the second year in certain cases.

Current practice: always record all four digits of a year.

Use of “?” in chronology years

Legacy practice: often omitted chronology years entirely if unknown.

Current practice: include chronology years with a “?” if the specific year or decade are unknown, but the century is known.

Non-Gregorian dates

Legacy practice: omitted non-Gregorian dates in favor of the Gregorian equivalent.

Current practice: describe both non-Gregorian and Gregorian dates.

Month abbreviations

Legacy practice: abbreviated months with 3 or 4 letters, with no period.

Current practice: follow the CONSER Abbreviations for Names of Months.

Repeating captions

Legacy practice: captions were repeated only when necessary for clarity.

Current practice: captions are always repeated at every level of enumeration.

Treatment of captionless ordinal

Legacy practice: captionless ordinal enumeration (e.g., 6th) was recorded after parenthesized chronology (e.g., "(1913)6").

Current practice: treat as enumeration without caption, followed by chronology (e.g., "6(1913)").

Multivolume monograph enumeration and chronology

Legacy practice: recorded enumeration and chronology in separate display.

Current practice: record enumeration and chronology in adjacent display (as with serials), but only record chronology when necessary for disambiguation.

By abaron on 03-05-2025

Tags

Cataloging, Collection maintenance, Policy, Resource Management Group (RMG)