Duke University Libraries Holding Statements: ANSI/NISO Z39.71

Scope: This document covers only holdings fields input during cataloging (866, 867 and 868).  It does not discuss the holdings fields related to serials control of items.  These decisions may or may not affect local practice for information in the item description of the item record. 

Contact: Jacquie Samples

Unit: Metadata & Discovery Strategy

Date last reviewed: Dec 17, 2025 

Date of next review: Aug 14, 2026

Summary of key ANSI/NISO Z39.71 standard options to adopt

The standard provides many options for formatting holdings statements. Listed below are the key options that Duke Catalogers should follow when creating holdings statements:

1. Holdings should be compressed to level 4 whenever possible. This is especially the case when cataloging SCL materials.
   

2. Captions should use abbreviations compliant with RDA Appendix B. (may be different than recorded in Bib record)
   

3. Months should use abbreviations compliant with AACR2 Appendix B.15. (may be different than recorded in Bib record)
   

4. Record captioning in the language of the publication.
   

5. Captioning should be use before and after the hyphen, and repeated whenever necessary to reduce confusion for the patrons.
   

6. Chronology should be adjacent to enumeration.
   

7. Alternative (parallel) numbering should be at compression level 4.
   

8. Non-Gregorian dates and Gregorian dates can be recorded at compression level 4 when only a non-Gregorian date is on the piece.
   

9. Vernacular language recorded for enumeration and chronology, sometimes transliterated. Duke exception: CJK enumeration and chronology may be translated OR transliterated. Whole holdings record must follow one method.

1. Key Definitions

alternative numbering: a secondary numbering scheme used in designating a series of continuously published issues of a publication; also called parallel numbering. 

basic bibliographic units: the primary logical segments of the publication sequence of a serial as designated by the publisher excluding supplements, indexes, and accompanying material. 

caption: an alphabetic word or phrase attached as a prefix to the enumeration data that describes the type of data (for example, volume, band, heft, part, number, tome, no., fascicle, #). 

chronology: 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). 

compress: to condense one or more data elements through consolidation within one or more levels of data to express the same information with fewer characters. Data elements may be compressed only if there is not a gap in the level or levels to be compressed.  

enumeration: the non-chronological scheme used by the publisher on the bibliographic unit to identify the individual bibliographic units of a serial and to show the relationship of a bibliographic unit to the serial as a whole. 

first-order designator: the characters identifying the main or primary sequential division of the scheme of enumeration or chronology, or both, associated with a serial work, whether or not this main or primary division is further subdivided. 

gap: a break or discontinuity in the sequence of enumeration or chronology, or both, of the serial held. The term does not refer to a break or discontinuity in the publication pattern of the serial. 

Monograph: an item that is either complete in one part or complete, or intended to be complete, in a finite number of separate parts. 

Monographic series: a group of separate items that are related to one another by the fact that each item bears, in addition to its own title proper, a collective title that applies to the group as a whole. The individual items may or may not be numbered. An analytical entry is an entry for a part of an item for which a comprehensive entry is also made. 

Non-gap break: a gap between the recorded enumeration and/or chronology units caused by unpublished units or discontinuity in the publisher’s enumeration or chronology. 

Parallel numbering: see Alternative numbering. 

Serial: a publication in any medium that is issued in successive parts bearing numeric or chronological designations and intended to be continued indefinitely. Serials include periodicals; newspapers; annuals (reports, yearbooks, etc.); the journals, memoirs, proceedings, transactions, etc. of societies; and numbered monographic series. 

subsequent-order designator: the characters identifying the second and all subsequent levels of sequential division of the scheme of enumeration or chronology, or both, associated with a serial work; that is, the levels of data required to distinguish between bibliographic units carrying identical first-order designators.  

2. General: The Holdings Record

Holdings are generally recorded in a positive sense; that is, emphasizing that which is held as opposed to that which is not. Gaps can usually be determined by the absence of any bibliographic unit at any level of order designation. 

Generally do not record holdings for single-part units that are not accompanied by secondary bibliographic units. That is, do not record holdings statements for single-part monographs. 

3. Compression Levels

Holdings are compressed whenever there is a continuous run (i.e., no gaps). Beginning in 2014, holdings statements for serial titles cataloging in Collections Services will follow level 4 standards whenever possible, but especially for newly recreated records. Past practices have led to inconsistent application of the standard across the DUL community. 

Level 4

Serials:

Holdings statements for serials should record: 

• All levels of enumeration and chronology 

• Gaps in holdings and non-gap breaks 

• Alternative (parallel) numbering when on the publication 

  • Non-Gregorian date and Gregorian date, when only non-Gregorian date is on publication.
    (Record Gregorian date in item description.) 

• Supplements (867) and indexes (868) in separate holdings statements 

Open

Open

Non-serials

Holdings statements for unnumbered multipart publications should record: 

• Extent of the multipart, even if numbering is supplied by the cataloger in the bibliographic record. (i.e. : 866:41: |80|a 3 v.) 

• Accompanying material of primary units in 866  
  (i.e.: 866:41: |80|a 1 v. + “Tabellen”) 

• Supplements (867) and indexes (868) in separate holdings statements 

Numbered multipart bibliographic units 
When a bibliographic item consists of multiple basic bibliographic units (for instance, a score and parts; a multimedia kit; a set of related, but separately issued laws); all units included in the bibliographic description should be recorded in the holdings statement. 

Holdings statements for numbered multipart publications should record 

• Numbered and unnumbered units recorded in a single 866. When name of unit is ambiguous use names of parts or indications of contents enclosed in quotation marks  

• Any supplements (867) and indexes (868) in separate holdings statements 

Open

Level 3 – This section for information only, as Level 3 is in use in some of Duke’s legacy holdings records.  We now use Level 4 whenever possible. 

Compress Level 3 statements:  

• Record only the highest level of enumeration and, when if applicable, chronology 

• Do not record alternative numbering in Level 3 holdings statements.  

• Generally, holdings for secondary bibliographic units (supplements and indexes) are not recorded at Level 3. Supply a general note in the MARC holdings record. 

Compression at Level 3 is recorded as: 

4. Punctuation Conventions at Duke

** Past Duke practice is to leave the holding statement open for currently received periodicals, but add a note after the hyphen, “to date”.  As of 7/20/2015 the use of “|z Currently received periodical” is sufficient. 

5. Recording Enumeration Data

• In general we should record enumeration data in the vernacular (sometimes transliterated). 

• For CJK titles enumeration and chronological designations may be translated into English instead of being transliterated.   

• When abbreviating enumeration comply with RDA B.7 Latin Alphabet Abbreviations; and when abbreviating months comply with AACR2 Appendix B.15 Names of months. If the language being record is not listed in Appendix B.15 then do not abbreviate; record as found on piece. 

• Any language that does not appear in the Appendices from RDA or AACR2 should be transliterated and recorded as found on the pieces. However, if representation of enumeration and chronology is inconsistently abbreviated, record spelled-out form.  (ex. Numara on several pieces, num. on others in flip-floppy manner: use Numara).  

NOTE: CONSER’s Publication Pattern Initiative has a useful online version of Appendix B.  Abbreviations For Names Of Months which is also approved for use. 

5.1. Recording Enumeration Data

When recording enumeration and chronology record chronology adjacent to its enumeration: 
v.1(1990)-v.3(1992),v.5(1994)           NOT v.1-v.3,v.5(1990-1994) 

If a serial does not normally carry enumeration, it is not supplied. 

Arabic numbers