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Recommendations for LIB HAS Summary Holdings Statement Standards

From the OhioLINK Policy Handbook


check for revised version on the OhioLINK web site

August 23, 1993

TO: OhioLINK Library Advisory Council
FROM: Database Management and Standards Committee
RE: Recommendation for LIB HAS Holdings Statement standards

Early in the development of OhioLINK, the Policy Advisory Committee decided that that holdings information must be included in both local and OhioLINK Central catalogs. How this holdings information was to be recorded, i.e. with item record for each piece, or checkin records with LIB HAS summary holdings statements, was not specified. To date, thousands of item records and checkin records with LIB HAS statements have already been created and loaded into local catalogs and into OhioLINK Central. These LIB HAS fields are displayed to the public in three parts of the OhioLINK network of catalogs:

1.the local site catalogs
2.the OhioLINK Central catalog
3.the OhioLINK UMI databases

At both the local site and at OhioLINK Central, users have the option to view detailed holdings as well as the summary holdings shown in the LIB HAS field. In the UMI databases, only the LIB HAS summary holdings information is displayed.

The Database Management and Standards Committee is now recommending a standard format for reporting summary holdings of serials in the LIB HAS field of the INNOPAC checkin record. Many of the LIB HAS statements already in local catalogs and at OhioLINK Central are fully or partially compliant with these proposed standards, and the Committee is not recommending a requirement that these existing LIB HAS statements be changed to conform to the proposed standard. However, we feel that it is imperative that standards for new LIB HAS statements be adopted by OhioLINK so that, as far as possible, users will be presented with a clear, easily understood, statement of each library's holdings. Consistency of reporting will facilitate traditional interlibrary loan procedures and will be critical to the success of patron-initiated requests for citations in the OhioLINK external databases.

The Committee has worked with the User Services Committee and with staff at the OhioLINK libraries to develop standards which meet the needs of both the public and library staff. These proposed standards are consistent with the currently accepted national standards for reporting summary holdings: ANSI Z39.44-1986, and the earlier ANSI Z39.42-1980. The Committee recommends that Level 3 summary holdings statement conventions be followed, and further recommends that Option A -- volume and year information recorded together, along with captions -- be the preferred format. Libraries opting to report holdings at a more detailed level, i.e. Level 4, should follow the ANSI Z39.44-1986 guidelines.

OhioLINK Database Management and Standards Committee - 12/13/95

Standards for Summary Holdings -- LIB HAS: statements for OhioLINK
Version 3.0

The LIB HAS statement in an INNOPAC checkin record is a summary holdings statement.

The Committee has tried to adhere to existing standards for summary serials holdings statements, i.e., Level 3 of the American National Standards for Information Sciences -- Serial Holdings Statements [ANSI Z39.44-1986].

However, the Committee realizes that LIB HAS: statements in the OhioLINK Central catalog will be inconsistent. This is unavoidable, given the evolution of holdings statement standards at the national level and the different practices followed by OhioLINK libraries over the years. Indeed, versions 2.0 and 3.0 of these OhioLINK standards have some fundamental diferences with the original STANDARDS FOR SUMMARY HOLDINGS. This is because at the time the DMSC Committee wrote the original STANDARDS FOR SUMMARY HOLDINGS in 1993, the OCLC union List guidelines conformed to Z39.42. As of Version 2.0 of the STANDARDS, the OCLC PRISM Union List guidelines conform to Z39.44. Since many OhioLINK libraries participate in the OCLC Union List and have derived LIB HAS: summary holdings statements from OCLC Union List data, there will be variations in OhioLINK LIB HAS: statements. Moreover, some OhioLINK libraries have holdings statements at the more detailed Level 4. These libraries may elect to maintain their holdings statements at this more detailed level. However, the Committee STRONGLY SUPPORTS Level 3 summary holdings statements as the appropriate display for the OhioLINK Central catalog and for the research databases.

In the following standards, the numbers in brackets, e.g. [1.3.3], refer to the section of ANSI Z39.44-1986 from which the standard was drawn.

GENERAL PRINCIPLES:

"summary holdings statement. A Level 3 holdings statement that consists of the least specific level of holdings data. The level of information represents data at the primary or most inclusive level of the scheme of enumeration or chronology, or both. [2.]

Summary holdings may be "reported in one of two ways -- either as a composite statement for the reporting institution of location ... or as a separate holdings statement for each copy of a serial held by an institution. [1.3.4]

There are two options defined for Level 3 holdings statements. [4.6]

Option A requires the recording of enumeration and chronology together (for example, v.1(1950)-v.10(1959). Captions are mandatory if they are present on the published serial. [4.6.1.3]

*** NOTE: OhioLINK libraries using the binding module of INNOPAC cannot use the caption before the second enumeration. The format for those libraries would be v.1(1950)-10(1959) in the example above and in all the following examples.

Option B requires the recording of enumeration and chronology separately (for example, v.1-10 1950-1959). Captions are required if available from existing holdings statements. [4.6.1.3 and App.D]

*** NOTE: The Committee recommends Option A.

"If different physical media are not separately described or identified, a single holdings statement may be used to cover the multiple physical formats..." [1.3.3]

PART I - STANDARDS

*** NOTE: The Option A examples below all contain captions. The Option B examples do not contain captions. If captions are used in the Option B format, follow the same standards as indicated for Option A. The Level 4 examples below follow the Option A format.

1. Record volumes and years in logical sequence, i.e. begin with the first volume and year owned. [7.2.3]

2. End with one of the two following options:

a. "-" IF holdings are open. [4.6.2.2 (1)]

NOTE: Level 4 holdings cannot end with a hyphen. [8.3.4] Therefore, every piece must be reflected in a compressed statement, or the Level 4 holdings look like a Level 3 statement but show that ALL bibliographic units from the opening holdings are held. [8.3.2]

b. [last year owned] IF holdings are closed. [4.6.2.2 (4)]

3. Use the highest, most inclusive value of the enumeration scheme, e.g. whole volumes, unless required to prevent ambiguity. [4.6.1]

4. Use only the highest, most inclusive value of the chronology data, e.g. the year, unless required to prevent ambiguity. [4.6.2]

NOTE: Libraries following Level 4 standards will record all hierarchical levels of chronology data.

5. Captions should be in the language appearing on the piece, romanized if necessary. Use the shortest form of the abbreviations found in Appendix B, Anglo-American Cataloguing Rules, 2nd ed., rev. 1988. [4.6.1.3]

*** NOTE: III supports only English captions in checkin cards and the "Latest received:... " statement displayed to the public.)

6. Convert all enumeration to Arabic numerals when there is an Arabic numeral equivalent. [4.6.1.1]

7. If the enumeration contains both letters and numerals, use upper or lower case letters as they appear on the piece, romanized if necessary. [4.6.1.2]

*** NOTE: III supports only upper case letters in the checkin card and in the "Latest received..." statement displayed to the public.)

8. Convert non-Gregorian dates to Gregorian era equivalents in arabic numerals. [4.6.2.4]

9. Include all digits in a range of volumes and all four digits in a range of years. [4.6.2.2]

10. Indicate double-numbered volumes with a diagonal (/). [4.6.1.4]

11. Indicate multiple dates of coverage of one physical unit with a diagonal (/). [4.6.2.2 (3)]

12. Do NOT supply enumeration or chronology if it is not on the piece. [4.6.1.7 and 4.6.2.5]

13. Omit the date if the century or decade is not known. [4.6.2.2 (5)]

14. Use a question mark if the fourth digit of the date is not known. [4.6.2.2 (5)]

15. If there are multiple dates to chose from, the preferred order is

16. If the piece is a reproduction, use the original date of the publication, not the date of reprinting. [4.6.2.1]

17. A gap may be indicated with a comma (,). Chronology may be reported more broadly that enumeration, i.e., if a gap in enumeration is indicated, a gap in years need not be indicated. [4.6.3.1]

*** NOTE: Gaps may be reported for volumes for which no issues are held. If gaps are not indicated specifically, information about missing issues may be given in a local note. [7.2.4]

18. Indicate nongap breaks or changes in enumeration with a semicolon (;). [4.6.3.2]

(Published information for the example below: v.5 not published.)

(Published information for the example below: enumeration changed from volumes (4 numbers per volume) to numbers with no. 9.)

19. A phrase may be used to indicate limited retention of holdings.[4.7]

PART 2 - PUNCTUATION

- hyphenIndicates an unbroken range of holdings.

LIB HAS: v.1(1961)-v.10(1970) or LIB HAS: v.1(1961)-
/ diagonalCombines double-numbered volumes or multiple dates.

LIB HAS: v.1/2(1950)- or LIB HAS: v.3(1970/1971)-
: colonServes as a delimiter between multiple levels of data, e.g. between series and volume, or volume and issue.

LIB HAS: ser.1:v.1(1887)-ser.1:v.10(1896)
; semicolonIndicates nongap break in enumeration or chronology.

LIB HAS: v.1(1950)-v.2(1951);no.9(1952)-
, commaIndicates a gap in a range of holdings.

LIB HAS: v.1(1971)-v.3(1973),v.7(1977)-
() parenthesesSeparates dates from volume designation when this information is recorded together.

LIB HAS: v.3(1963)-

Separates notes from enumeration and chronology.

LIB HAS: v.9(1960)- (Incomplete holdings)
? question markIndicates an unknown fourth digit in a date.

LIB HAS: v.1(197?)-
= equals signSeparates alternative numbering schemes.

LIB HAS: v.2:no.5=no.11(1981)-
[] square bracketsEncloses supplied information, e.g. a translated non-Gregorian date.

LIB HAS: v.1(Showa 56-nendo [1981/1982])-


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