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: 15 Aug 2022 

Date of next review: 15 Aug 2023

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. 

Basic bibliographic units held are recorded in field 866  
Supplementary material held is recorded in field 867 
Cumulative indexes held are recorded in field 868; indexes to individual years or volumes may not be recorded or be recorded in field 866 

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 ERSM 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 

Items: v.1:pt.1 v.1:pt.2 v.1:pt.3 v.2:pt.1 v.2:pt.2 v.2:pt.3 
Compression: 866:41:|80|a v.1:pt.1-v.2:pt.3 

Items: v.1:pt.1(1990:Jan.) v.1:pt.2(1990:June) v.1:pt.3(1990:Oct.) v.2:pt.1(1991:Jan.) v.2:pt.2(1991:June) v.2:pt.3(1991:Oct.) 
Compression: 866:41:|80|a v.1:pt.1(1990:Jan.)-v.2:pt.3(1991:Oct.) 

Items: 1987:winter 1987:spring 1987:summer 1987:fall 1988:winter 1988:spring 1988:summer 1988:fall
Compression: 866:41:|80|a 1987:winter-1988:fall 

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 

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: 

Items: v.1:pt.1 v.1:pt.2 v.1:pt.3 v.2:pt.1 v.2:pt.2 v.2:pt.3 
Compression: 866:31:|80|av.1-2 

Items: v.1:pt.1(1990:Jan.) v.1:pt.2(1990:June) v.1:pt.3(1990:Oct.) v.2:pt.1(1991:Jan.) v.2:pt.2(1991:June) v.2:pt.3(1991:Oct.) 
Compression: 866:31:|80|a v.1(1990)-v.2(1991) 

Items: 1987:winter 1987:spring 1987:summer 1987:fall 1988:winter 1988:spring 1988:summer 1988:fall 
Compression: 866:31:|80|a 1987-1988 

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

All numeric information is converted to Arabic numbers. 

1 (on piece: “One”) 
v.7 (on piece: “volumen VII”)  
no.5 (on piece: “no. Five”) 
3 (on piece: “* * *”) 

Ordinal numbers

 If an ordinal number appears without a caption, record the number in the ordinal form found on the piece. Convert spelled-out words to the appropriate ordinal number for the language. 

1st (on piece: “first”) 
1o (on piece: "1o") 
2. (on piece: "zweite") 
3eme (on piece: "3ème") 
3e (on piece: "troisième") 
27th session (on piece: “27th session”) 

Refer to RDA Appendix B for compliant abbreviations of ordinal numbers for non-English publications. 

Alternative numbering (Parallel numbering)

For alternative numbering schemes, if there is a scheme of continuously incrementing issue numbers or other numbering schemes in addition to a regular scheme of enumeration, the alternative numbering scheme or schemes is also recorded, following the regular scheme of enumeration and separated by an equals sign. 

v.3:no.1(1994:Jan.)=no.50 

v.1:no1(1964:June)-(2002:Oct.)=no.1 (1964)-no.426(2002)  This title has ceased.

Alphabetical data

For alphabetic data, uppercase and lowercase characters are recorded as they appear on the publication and Romanized, if necessary. 

no.36B (on piece: “number 36B”) 
v.B (on piece: “Vol. B”) 

Captions

Captions associated with enumeration are recorded in the vernacular form appearing on the publication and Romanized, if necessary. However, do not input diacritics in the holdings statement.  

ano (on piece: “año”)  
n.s. (on piece: “n.s.”)  

Captions are abbreviated according to the appropriate portions of RDA Appendix B. Captions always precede the numbering.  

Do not put a space between the caption and the numbering if there is already a period between them. 

v.5 (on piece: “volume 5”) 
t.7 (on piece: “tome 7”)  
no.3 (on piece: “number 3”) 
new ser. (on piece: “new series”)  
nouvelle serie (on piece: “nouvelle série”)  
Bd.3 (on piece: “3. Band”) 
ser.3 (on piece: “3e sér”)  

Record captions in singular. 

no.1/2 (on piece: “nos. 1 & 2”)  

Choice of captioning when there is redundancy: 

volume no. use v. 
issue no. use no. 

Convert symbols that serve as captions on the piece to vernacular equivalents (e.g. "#" becomes "no."). 

Prefer to add caption before and after hyphen.  

v.1-v.10  

If the pieces have no captions, do not supply a caption. 

Punctuation

When a serial carries combined numbering, for example, as in a double volume, the numbers are separated by a diagonal. 

v.1/2 

Enumeration data is recorded from highest hierarchical level to lowest; the colon is used to separate each level. 

v.1:no.1 
v.1:no.1:pt.A 

 When a serial carries multiple schemes of enumeration, the following guidelines apply: 

For unnumbered series, the series caption (e.g., "ns" or "new series") is treated as a caption for the most inclusive level of enumeration data and is recorded at the appropriate location within the enumeration data. 

new ser.v.1 

For numbered series, the series numbering schemes and series captions are treated as the most inclusive level of enumeration data and are recorded in the appropriate location within the enumeration data. 

ser.1:v.1:no.1 

5.2. Recording Chronology Data

The holdings record incorporates all levels of chronology data (e.g., year, month, day). 

When more than one type of date is recorded, a single date is selected from the following preferred dates, in the order indicated: 

Date of coverage 
Date of publication 
Date of copyright 
Date of printing 

The date of reprinting is not used in the holdings record because the chronology information used is that associated with the original work. Reprint information is properly a part of the bibliographic description of the work. 

Year

The format for the year includes all four digits. 

1856-1902 

Indicate span of coverage with a slash.  This type of chronology is common with publications covering fiscal years. 

1990/1991 (on piece: “1990/91”) 

If the century or decade is not known, the year is not recorded, but if there is chronology data available, but the exact year cannot be precisely determined the question mark can be used. 

188? 
18?? 

If the bibliographic record includes supplied chronology, use that supplied chronology in the HOL record. 

From bib record:  
“Vol. 1 lacks chronology.”  
“[1889]-1999” 

Record as:  
866:41: |80|a1889-1999 

Calendar scheme

When only a non-Gregorian calendar scheme appears on the publication record use the date on the resource and supply a Gregorian.  

1325 [1909] 

Heisei 9 [1997] 

When dates do not have a precise 1 to 1 conversions use “or” or question mark. 

1325 [1908 or 1909] 

When both a Gregorian and non-Gregorian calendar scheme appear on the publication, record the Gregorian scheme. 

1997 (on piece: “5757 (1997)”) 

NOTE: Gregorian dates will be used in the item records. 

Months and seasons

Months, seasons, and days are recorded in the vernacular form appearing on the publication and Romanized, if necessary. Chronology data is abbreviated according to the appropriate portions of RDA Appendix B. Do not input diacritics in holdings statements, such as seasons and months in non-English. Day notations are not treated as a separate hierarchical level. 

1968:June 12 
juin 15 
spring 
primavera 

Chronology data is recorded from highest hierarchical level to lowest; the colon is used to separate each level. 

2013:Sept.12 
2001:June 1 
1901:summer 
1970:juin 15 
1971:janv.12 
1945:spring 
2003:primavera 

If a serial does not carry chronology data, it is not supplied. 

However, if a serial normally carries chronology data, and such data is omitted from a specific piece, it may be supplied within brackets. 

6. Recording extent of non-serials

For unnumbered multipart items, record the number of items held as an Arabic numeral followed by a term or descriptive phrase indicating the class of material to which the items belong. The term or phrase should generally follow the bibliographic description. 

3 v. 
2 videocassettes 
3 computer discs 

Specific extent note

The specific extent note is given in angle brackets to clarify how many items are in the bibliographic unit or the format of the items. Use the specific extent note only in the following situations described below. The specific extent note may be used in Level 3 or Level 4 holdings statements. 

Holdings statement does not convey the physical format of the unit  

If the holdings are in a different physical format than the original multivolume work described on the bibliographic record (for example, microform reproductions), record the physical holdings in a specific extent note. 

v.1-v.5 <on 10 microfiches> 
v.1-v.6 <on 1 reel>  

If a secondary bibliographic unit is in a different format from the basic bibliographic unit, and the secondary unit does not have a caption or the difference in format is not clear from the caption, add a specific extent note after the secondary bibliographic unit to explain the difference. 

reel 1-reel 2 + "Guide" v.1-2 <on 1 microfiche> 
v.1-v.3 + "Lessons" no.1-12 <on 3 computer discs>  

7. Recording name of unit

The name of unit is the title of the item, or a designation for it supplied by the cataloger, when the item lacks enumeration. The name of the unit is recorded when it is necessary to identify the specific part held, such as a monograph accompanied by a supplementary pamphlet, maps accompanied by a booklet, or an electronic resource accompanied by a manual or user's guide. 

Enclose the name of unit in quotation marks. 

"Statistical update" 
"Teacher's handbook" 

Transcribe the title exactly as it appears on the item. Omit diacritics. 

"Anexos" 
"Lexikon des osterreichischen Ortes" 

If the title is long, it may be abridged to the specific term or description of the item. 

"Atlas" (on piece: Bicentennial atlas of the Squaw Valley Watershed, showing seasonal streams and class B logging roads) 

If the item lacks its own unique title, supply a title to clarify the nature of the item. Do not enclose the title in square brackets. 

"User's guide"  
(title on CD-ROM: Photoshop 7; title on accompanying user's guide: Photoshop 7) 

For multipart items, follow the name of unit by the enumeration or chronology of the parts held, or give the extent of unit. 

"Advance sheets" 1987:1-8 
"Statutes" pt.1-pt.8 
"Statistical supplement" on 2 computer discs  

8. Accompanying materials to non-serials

Accompanying material (except for supplements and indexes) is entered in the 866 field separated from the basic bibliographic unit by a plus sign. 

866:41:|80|a 1 v. + 2 maps + 1 CD-ROM 
866:41:|80|a v.1-v.4 + 4 computer disks 
866:41:|80|a v. 2 + 25 plates 

Supplements are recorded in the 867 field. Indexes are recorded in the 868 field. 

Single-part accompanying material

 If the accompanying material is a single-part unit, describe it in terms of name of unit or extent of unit, whichever makes more sense. Enclose the name of the unit in quotation marks. 

866:41:|80|a 1 v. + "Teacher's handbook" 

866:41:|80|a 1 v. + 1 computer disc 
866:41:|80|a 1 computer disc + "User guide" 
 
866:41:|80|a 1 v. + 1 audio disc 
866:41:|80|a 1 videodisc + 1 installation key 

Multipart accompanying material

Numbered 

Record the accompanying material in terms of name of unit. Enclose the name of the unit in quotation marks. Following the name of unit, leave a space, then record the parts held by the library in terms of enumeration and, if applicable, chronology. 

866:41:|80|a v.1-v.2 + 1 map v.3-v.4 v.5 + 1 map 

Unnumbered 

Record unnumbered accompanying material in terms of extent of unit, supplied numbering, or indication of contents. If the holdings statement is not clear, record the name of the unit preceding the extent of unit. Enclose the name of the unit in quotation marks. 
 

866:#0:|80|a 1 v. + 2 quick reference cards + "Teacher's handbook" 2 v. 
866:#0:|80|a 5 v. + 2 maps 
866:#0:|80|a 1 videodisc + 3 sheets 

9. Recording Supplementary Material

Discontinued local practice had been to record supplementary materials in separate holdings records or in a note preceded by preceded by “>>>” or “//”.  

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) is recorded in the holdings record in field 867. 

867:41:|80|a v.14:suppl. 

Supplements which are considered to be a separate work should have its own bibliographic description and holdings records. These may be monographic or serial in nature. Serial supplements to non-serials are cataloged as serials, and holdings are recorded according to the guidelines for serials. 

Supplementary holdings statements are recorded only at the detailed level (level 4). 

Supplements to serials

Independent numbering 

For supplements that don’t have a distinctive title, but have independent numbering schemes, the numbering scheme of the supplement is recorded in a separate holdings statement. 

867:41:|80|a suppl.A 
867:41:|80|a no.1-no.3 

Dependent numbering 

For supplements with numbering related to a particular volume or issue of the parent serial, all hierarchical levels of the enumeration and chronology data appearing on the publication are recorded in a separate holdings statement. 

867:41:|80|a v.18:suppl.1(1918:June 1) 
867:41:|80|a v.1:pt.1-v.10:pt.2  

Unnumbered supplements to serials 

For unnumbered supplements which are not related to specific issues of the main serial and don’t have a distinctive title, record the presence of these supplements in a public note in the 852 field. See "Public notes given in a MARC holdings statement" for more information. 

Record unnumbered supplements to specific issues of the main serial in the 867, using the designation for the main part followed by a colon and the designation "suppl."  

866:41:|80|a v.1-v.6 
867:41:|80|a v.2:pt.1:suppl.  

Supplements to non-serials

If the supplement is a single-part unit, describe it giving the name of unit or the extent of unit, whichever is appropriate for the item. 

866:41:|80|a 1 v. 
867:41:|80|a 4 v. 
867:41:|80|a “Supplementary pamphlet to Title 42"  

Record numbered supplements in terms of enumeration 

866:41:|80|a 1 v. 
867:41:|80|a v.1-v.4  

Supplement label inadequate 

If the 867 label does not adequately describe the supplementary unit, use the name of the unit to record holdings. Enclose the name of the unit in quotation marks. Following the name of unit, leave a space, then record the number of parts held by the library as either extent of unit (for unnumbered items) or enumeration (for numbered items).  

866:41:|80|a 1 v. 
867:41:|80|a "Supplement to Statistical Abstract" v.1-v.4  

10. Recording Indexes

Discontinued local practice had been to record indexes in separate holdings records, or occasionally after the summary holdings in the 866 preceded by “>>>” or “//”. 

An index with an independent numbering scheme is considered a separate serial and described in a separate bibliographic record. 

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) is not recorded in the holdings record. The existence of such an index is usually noted in the bibliographic record. 

An index that is not described in a separate bibliographic record and not contained within a basic bibliographic unit is recorded in the holdings record in field 868. 

866:41:|80|a v.1(1900)-v.12(1912), 
866:41:|80|a v.14(1914), 
866:41:|80|a v.18(1918)-v.24(1924) 
868:41:|80|a v.1/12(1900/1912)-v.13/24(1913/1924) 

An index covering a single volume is usually bound with the volume indexed and not recorded in the volume holdings record 

Indexes that are separate units but that do not require a separate record according to current cataloging rules are recorded in the 868 field. In the public Socrates display, the text of the 868 field is preceded by the label "Index:" 

Indexes to serials

Independent numbering 

For indexes that don’t have a distinctive title, but have independent numbering schemes, the numbering scheme of the supplement is recorded in a separate holdings statement. 

866:41:|80|a v.1:no.1(1979:July)-v.12:no.12(1990:June) 
868:41:|80|a 1979/1983 1984/1988  

Dependent numbering 

For indexes with numbering related to a particular volume or issue of the parent serial, all hierarchical levels of the enumeration and chronology data appearing on the publication are recorded in a separate holdings statement. 

866:#0:|av.1:pt.1-v.10:pt.2 (pt. 4 of each volume is a cumulative index)  

Indexes to non-serials

Single part index 

If the index is a single-part unit, describe it in terms of name of unit or extent of unit. 

866:41:|80|a 1 v. 
868:41:|80|a "Index to place names" 

Multipart indexes 

Record numbered indexes in terms of enumeration and/or chronology. 

866:41:|80|a 1 v. 
868:41:|80|a v.1-v.4  

Index label inadequate 

If the 868 label does not adequately describe the index, use the name of the unit. Enclose the name of the unit in quotation marks. Follow the name of the unit with a space, then an indication of the parts held, recorded in terms of extent of unit for an unnumbered index or in terms of enumeration for a numbered index. 

866:41:|80|a v.1-v.10 
868:41:|80|a "Subject Index" v.1-v.4 

11. Public Notes

Local and past practice had been to add public notes in both the 866 subfield $a and subfield $z. Formatting of notes have changed over time, so inconsistency has resulted.  In general, notes intended for the public and public services staff, should be in |z subfields associated with the appropriate line of holdings data.  Notes intended only for Collections services staff should be made in |x subfields associated with the appropriate line of holdings data. 

Below are some frequently used legacy notes, with updated formatting and indicator values: 

1. Library's retention of a serial title is not permanent. 
      e.g. Library has latest issues only. 

2. Acquisitions status 

3. Library retains issues of a serial in a different shelving location. 

4. Classed together analyzed serials, series, and sets: 

866:31: 8 0 
             z To find individual titles in this series, search the call number:  [insert call # here] 

5. Library has titles bound with or filmed with other titles 

Former practice  (bibsysno: 105830) 

Current practice  (bibsysno: 105830) 

866:31: 8 0
             z [insert volumes here] bound with earlier title, search for:  [insert title here] 

MCL example of similar situation in Current topics in pathology (BibSysNo: 1089106) 

866:41: 8 0 
             a v.51(1970)-v.60(1975) 
             z v.61(1976-v.95(2001) classified separately, search for:  Current topics in pathology 

12. Examples and Holdings levels

Level 4

Basic bibliographic units

Multipart units: Numbered

 Enumeration 

866:41:|80|a v.1:pt.1:no.1 (on piece: “volume 1, part 1, number 1”) 

866:41:|80|a Bd.1:T.1 (on piece: “Band 1, Teil 1”) 

866:41:|80|a 1:no.1 (on piece: “1, number 1”) 

866:41:|80|a 1-3;v.8-v.9 (on pieces: “1”, “3”, “volume 8”, “volume 9”; captioning begins with  v.8) 

866:41:|80|a v.1 <1992 rev. ed.> v.2-v.5 v.6 <1994 rev. ed.> v.7-10 

866:41:|80|a no.1(1975:Oct.)-no.56/57(2006:Apr./Oct.),no.60/61(2008) 

866:41:|80|a no.2-no.6,no.8-no.11,no.13-no.16,no.18-no.36/37 (some issues combined) 

866:41:|80|a N37-S172 (on pieces: “N37”, “S172”; map sheets; no gaps) 

866:41:|80|a 12th(2004)-15th(2007). (on piece: “12th 2004”, “15th 2007”) 

Chronology 

866:41:|80|a v.1:no.1(1970:June)-to date (on piece: “volume 1, no 1 (June 1970)”; currently received periodical) 

866:41:|80|a v.1:no.1(1970:Nov.)-v.1:no.4(1971:Nov.) 

866:41:|80|a Bd.2:T.1(1955:Herbst),Bd.31:T.4(1984:Winter) 

866:41:|80|a 1959:Jan.-1975:Dec. (on pieces: “January 1959, Dec. 1975”; no gaps) 

866:41:|80|a 31st ed.(2012) (on piece: “Thirty first edition, 2012”) 

866:41:|80|a Ano 8:no.81(2006:out.)-to date (on piece: “Ano 1, 81 (out. 06)”; Portuguese) 

866:41:|80|a 1994:no.9 (on piece: “No. 9”; numbering restarts each year) 

866:41:|80|a 1998:July 10 (on piece: “10 July 1998”) 

866:41:|80|a 1993:June-1996:June;1996/1997-2012/2013 

(on pieces: “June 1993”, “June 1996;1996/97”, “2012/13:; no gaps but pattern changed) 

866:41:|80|a v.10:no.1(1960:Jan.)-v.31:no.1(1981:quarter 1). v.10-v.11 bound with former title 

Alternative numbering 

866:41:|80|a v.100(2011:Oct.)-v.100(2011:Dec.)= no.1189-no.1191 (on pieces: “Volume 100 October 2011, No. 1189”, Volume 100 December 2011, No. 1191”) 

Serial with accompanying material 

867 #0|80|a "Version 7.0.1 updates" 

Unnumbered

Extent of unit 

866:41:|80|a 5 v. (unnumbered, 5 volume set) 

866:41:|80|a 3 videocassettes (unnumbered, 3 units) 

866:41:|80|a ca. 1000 items (too many items in the set to count, circa 1000 items) 

866:41:|80|a 1 map <on 4 sheets (1 map on 4 sheets :col. ;67 x 99 cm)  

866:41:|80|a 55 maps <folded in box>  (see ex. Map sets Aleph: 3385578 and 3413745) 

867:41:|80|a 3v. “text” 

(55 maps : col. ;102 x 90 cm. or smaller, folded in box 13 x 18 x 24 cm. +text (3 v. : col. diagrams, col. ill., col. maps, col. sections ; 25 cm.) and 1 CD-ROM (4 3/4 in. in pocket in v. 1)  

866:41:|80|a 1-65,237-241,245-249 reels (see Aleph 07561681) 

(252 microfilm reels : ill. ;35 mm.+ guide (iii, 66 p. ; 23 cm.); Guide included at start of reel 1. ); not all reels held) 

866:41:|80|a 50 sound discs  

867:41:|80|a “Program notes and index”<in box> 

(50 sound discs : digital, stereo., mono. ;  4 3/4 in.; Program notes by Clement Crisp in English, French, and German, including an index to all the works in the set (115 p. : ports.) inserted in box.) 

Accompanying material 

866:41:|80|a 2 v. + 25 plates  

866:41:|80|a 1 v. + ”Teacher’s guide” 

866:41:|80|a 1 v. + (model) ca. 300 pieces + ”Teacher’s guide”  

866:41:|80|a 2 sound discs + 1 pamphlet ”Plot summary” 

866:41:|80|a 1 score + (a,music,1,2,8) 10 parts 

866:41:|80|a 1 score + 1 sound disc 

866:41:|80|a 2 sound discs +1 booklet “Program notes” 

866:41:|80|a 1 videodisc + 1 sound disc + 1 booklet 

866:41:|80|a 1 reel + Guide “Underground newspaper microfilm collection” 

Numbering supplied by the cataloger  

Serials 

866:41:|80|a no.1,no.4,no.8,no.10-no.12 
(some issues lack numbering, but not a change in pattern: no. 4 supplied)  

Non-Serials 

866:41:|80|a 1-5,8,11,13-15 (one pieces: 1, 5, 8,11,13; no captioning) 
(numbering supplied in the bibliographic record; library lacks unnumbered parts 6, 7, 9, 10 and 12)  

Multiple basic bibliographic units 

866:41:|80|a "Karnataka" + "Kerala/Tamil Nadu" + "Laccadive Islands/Maldives" 
866:41:|80|a 1 score + 1 piano conductor part + 16 parts 
866:41:|80|a 30 booklets + 1 audio cassette + 6 duplicating versions + 1 printed copy of each 
duplicating version + "User's guide" 
866:41:|80|a 1 computer disc + "User's guide"  

Secondary bibliographic units

Supplements

Supplements to serials (not requiring a separate record) 

Dependent numbering 

867:41:|80|a v.18:suppl.1(1918:June 1) (on piece: “Vol 18 (June 1, 1918) supplement 1”) 

866:41:|80|a v.18(1918)-v.24(1924)  
867:41:|80|a v.14:suppl.  
(on pieces:”Vol. 18 1918”, “Vol. 24 1924”, “Volume 14, supplement”; no gaps) 

Independent numbering 

866:41:|80|a v.1:no.1-v.10:no.2 
867:41:|80|a 2004-2013 (on pieces: “Volume 1 no.1”, Volume 10, no. 2”, “2004”, “2013”; annual supplement without a distinctive title) 

Unnumbered supplements to serials  

866:41:|80|a v.1-v.6  
867:41:|80|a v.2:pt.1:suppl.  

Supplements to non-serials 

Single-part supplements 

867:41:|80|a "Supplementary pamphlet to Title 42"  

866:41:|80|a 2 sound discs 
867:41:|80|a “Extra program for Windows PCs”  
(2 sound discs (129 min., 33 sec.) :digital, stereo. ;4 3/4 in.; "This CD includes a multimedia CD-ROM Extra program for Windows PCs."--Container insert.) 

Multipart supplements 

867:41:|80|a v.1-v.4  

867:41:|80|a v.1-v.27 <in 26 v.> v.28:pt.1-28:2,v.29:pt.1-29:3 

Unnumbered multipart supplements 

867:41:|80|a 4 v. 
867:41:|80|a 1 v. (Binder) + “Cumulative supplement” 

Supplement label inadequate 

867:41:|80|a "Supplement to Statistical Abstract" v.1-v.4  

Indexes

Indexes to serials 

Dependent numbering 

868:41:|80|a v.1:pt.1-v.10:pt.2 
(pt. 4 of each volume is a cumulative index; carries the numbering of the main serial)  

Independent numbering 

866:41:|80|a v.1:no.1(1979:July)-v.12:no.12(1990:June) 
868:41:|80|a 1979/1983-1984/1988  

Indexes to non-serials 

Single-part indexes 

866:41:|80|a 1v. (primary bibliographic unit) 
868:41:|80|a "Index to place names" 

Multipart indexes 

868:41:|80|a v.1-v.4  

Unnumbered index: 

868:41:|80|a 4v.  

866:41:|80|a 1v. + 30 maps 
868:41:|80|a "Topographical index" 2 v. 

Index label inadequate 

866:41:|80|a v.1-v.10 
868:41:|80|a "Subject Index" v.1-v.4 (on pieces: “Index v. 1”, “Index v. 4”, 4 volumes) 

Guidelines for Updating Legacy Holdings Statements

When a holdings record is being changed for any reason (added issues, added volumes, etc.), the summary statement should be reviewed for potential format updating. 

• Where ever a “//” or “>>>” note appears, these notes will be reviewed for accuracy and moved to a |x or |z subfield.  

  • Further revision of the summary statement (removing “Library has:” and updating indicator values”) may happen separately from these changes. 

  • Inaccurate notes should be updated or deleted. 

  • If an item-specific “//” note is repeated in an 863 (for example: Vol. 2 missing no. 2): 
    • Remove from 866 

  • • Verify note exists in Item Record 

    • Do not edit the 863 (if it is accurate) 

• If the summary statement can be updated without recalling issues, it should be changed to either Level 3 or Level 4.   

• After review, “Library has:” and “to date” should be deleted to indicate that the summary statement(s) have been reviewed and someone has determined that it is the most accurate possible without recalling volumes. 

• Some compromises will have to be made. 

Local and past practice had been to add public notes in both the 866 subfield $a and subfield $z to describe indexes, supplements, and general treatment of routed materials. Formatting of notes has changed over time, so inconsistency has resulted.  It is OK to copy/paste old notes into the subfields |x and |z as long as the notes are still accurate.  It is not necessary to retype them or change the case.  Neither is it necessary to capitalize all new notes. 

Notes intended for the public and public services staff, should be in |z subfields associated with the appropriate line of holdings data (866, 867, 868, 863). 

Notes intended only for Collections services staff should be made in |x subfields associated with the appropriate line of holdings data (866, 867, 868, 863). 

Following are some examples of how to update summary statements to current practices.  Notes that are no longer accurate should be deleted.  Any notes where it is unclear to you whether it is still valid please confer with a serials cataloger.  If you are unsure how to update a holdings statement, or have any questions on when and how to do so, please ask a serials cataloger. 

DRA and other superseded holdings documentation

Saved in the shared drive at F:\Data\DOCUMENT\HOLDINGS are listed previous holdings manuals. Most of these files were last updated in 2000. Thus, they may not describe current Duke practices or be compliant with current standards, such as RDA and ANSI/NISO Z39.71. However, this documentation is useful for understanding past local practices.