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CONVENTIONS FOR RECORDING PERIODICAL RECEIPTS

This document sets forth conventions for recording periodical receipts, with emphasis an current issues in the Order/Pay/Receipt record. Retrospective holdings in the Volume Holdings Record are addressed in a separate section. The appendix contains numerous examples to illustrate the proper application of these principles.

BIBLIOGRAPHIC RECORD

In order for the OPAC note "CURRENT ISSUES/VOLUMES" to display, the fixed field S/T must be a "p" or an "n". If it is blank, no current receipts will display from the O/P/R, but holdings in VHLD will display as "LIBRARY HAS."

COPY HOLDINGS RECORD

For titles-with current issues shelved in a current periodicals/ newpapers areas make a copy level note "ci:pr" or, based on the unit's designation for such an area, the appropriate alternate code, for example ci:dp, ci:jl, ci:re. This code will expand in the OPAC to display as "Current issues in Periodicals" (or "Current issues on display" (Music), "Current issues in current journals" (HSL), or current issues on reserve" (Law)). Items recorded in "r" statements in the Order/Pay/Receipt record will display below this note. Otherwise they will appear below the "CURRENT ISSUES/VOLUMES" note when S/T="p" or "n".

ORDER/PAY/RECEIPT RECORDS (O/P/R)

All "r" statements for the first division order display in OPAC when the fixed field S/T is set to "p" or "n". The addition of the copy level-note "ci:pr"(or other similar code) generates the message "Current'issues in Periodicals," etc.

GENERAL GUIDELINES

Follow ANSI standard Z39.44-1986, Level 4 for construction of "r" statements. Captions will be recorded in the language of the piece. If no caption exists, do not supply one. Abbreviate captions according to AACR2 Appendix B9 and those additions agreed upon by the University Libraries Technical Services units. Months in all languages will be romanized according to LC practice and abbreviated according to AACR2 Appendix B15.

DOCUMENTS

It is recognized that special circumstances are present in the receipt of Federal, New York State and Canadian documents. Documents Processing will follow these guidelines in principles but will develop procedures tailored for their particular situation.

COMPRESSION

Generally do not compress current receipts unless title is a daily or weekly. Units may decide to compress issues received an the same day into one statement.

CAPITALIZATION

In general capitalize the first letter of the chronology (month, seasons etc.). Captions are generally NOT capitalized, except for a few German phrases: Teil (T.), neue Folge (n.F.), Jahrgang (Jahrg.).

CURRENT ISSUES

Current issues are defined as unbound issues kept in a current periodical, newspaper, journal or reference collection. Periodicals received already publisher bound are generally sent to the stacks upon receipt (For example, British Medical Bulletin, Clinical Obstetrics and Gynecolocy). If a unit wishes to use the O/P/R to record receipts of this type, they should not use the copy level note "ci:pr" and should change the fixed field S/T to blank. These items may also be recorded in the VHLD record according to the conventions in the VHLD document.
See Conventions for Recording Periodical Holdings.

LEVEL 4 HOLDINGS STATEMENTS

Level 4 holdings statements require data to be recorded at the most specific level including first-order and all subsequent order designators.

Enumeration

The highest most inclusive value of the enumeration scheme used by the publisher on the serial is used to identify the basic bibliographic unit (most often "volume"). All subsequent levels (number, part, etc.) must also be included. Convert numeric information to Arabic numerals.


v.VII       record as v.7    Second edition  record as 2nd ed.
Troisieme   record as 3e     Third           record as 3rd
First       record as 1st    Fourth quarter  record as 4th quarter
For alphabetic data, uppercase and lowercase characters are recorded as they appear on the piece (romanized, if necessary).
    pt.A. no.36B, 23a
Record enumeration data from highest hierarchichal level to lowest, using a colon to separate each level. For example:
    v.l:no.1
    v.l:no.,1:pt.A

For unnumbered series, the series caption (e.g. "n.s." or "new series") is treated as a caption for the most inclusive level of enumeration. For example:
    n.s.v.1 not n.s.:v.1

For numbered series, the series numbering and caption is treated as the most inclusive level of enumeration. For example:

    ser.1:v.1:no.1 not ser.1v.1:no.1

When a publication carries an alternative numbering scheme, such as continuously incrementing issue numbers of other numbering schemes, in addition to a regular scheme of enumeration, the alternative scheme or schemes should also be recorded, following the regular scheme of enumeration and separated by an equals sign. For example:

    v.3:no.1=no.50

If a serial does not carry any enumeration or chronology, it is not supplied.

Chronology

Level 4 holdings statements incorporate all hierarchichal levels of chronology data (year, seasons month, day, etc.) appearing on the publication. When more than one type of date is present in the source item, select from the following list, in the order indicated.

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

Use all four digits to express a year. If the exact year cannot be precisely determined, use a question mark to fill in the appropriate space. For example:

    198? not 1989?

Record months, days, seasons, etc. in the language they appear in the piece. Day notations are not treated as a separate hierarchichal level.

Formulating the Holdings Statement

The enumeration for each specific piece is recorded together with the chronology for each specific piece, with the enumeration recorded first. The corresponding chronology is enclosed in parentheses. For example:

    v.l:no.l (1990:Jan.) v.l:no.2 (1990:Feb.)

Indexes

In general, "r" statements will not be used to record receipt of indexes for single periodical volumes which are not described in separate bibliographic records. ANSI states that indexes contained in a volume or issue of a basic bibliographic unit are not recorded in a holdings statement. Also, it is general libraries practice to retain loose indexes in a non-public area until the volume is sent to the bindery. Units may choose to use the note statement, or some other method to indicate receipt of indexes. Cumulative indexes will be recorded in VHLD with the label "INDEXES".

Supplements

For supplements that are described in separate bibliographic records, record the holdings for these supplements in holdings statements on the separate bibliographic record. Linking notes in the bibliographic record note the relationship of the supplement to the parent record.

Record supplements that are not described in separate bibliographic records in holdings statements attached to the basic bibliographic record:

    When the supplement has its own independent numbering scheme, use that numbering in a separate "r" statement and precede the numbering with the label "SUPPLEMENTS".

    When a supplement has numbering relating to a particular volume or issue of the parent serial, use all hierarchichal levels of enumeration and chronology data appearing on the piece to construct the holdings statement. For examples:

    1. supplement 1 to volume 16 dated June 1, 1989
      record as: v.16:suppl.1 (1989:June 1)

    2. supplement to volume 31.
      record as: v.31:suppl.

    3. supplement to 1989
      record as 1989:suppl.

APPENDIX

APPLICATIONS

  1. Issue shows volumes number and year.
    Record as: v.10:no,2 (1989)

  2. Issue shows volumes number, month and year.
    Record as: v.10:no.2 (1989:Feb.)

  3. Issue shows volume, number, month, day and year.
    Record as: v.10:no.2 (1989:Jan.12)

  4. Double issue
    Record as: v.10:no.2/3 (1989:Feb./Mar.)

  5. Issue shows only chronology
    Record as: 1990:Jan.

  6. Issue shows no., part, month and year.
    Record as: no.12:pt.A (1989:Dec.)

  7. Issue uses whole numbering, month and year.
    Record as:
      no.58 (1990:Jan.)
      no.59 (1990:Feb.)

  8. Issue date spans more than one year.
    Record as: v.15:no.4 (igeg/1990:Winter)

  9. Issue carries a dual numbering system, for example, whole numbers, volume, numbers and chronology.
    Record as: v.165:no.3 (1990:Mar.)=no.3588 (1990:Mar.)

  10. Enumeration only
    Record as:
      v.117
      no. 55

  11. Issue has volume numbering, month and year, volume number continuous throughout year.
    Record as:
      v.156 (1989:Jan.)
      v.156 (1989:Feb.)

  12. Issue also has caption new series in addition to volume, issue, month and year.
    Record as: n.s.v.18:issue 6 (1989:June)

  13. Issue covers a range of dates.
    Record as: v.221:no.55 (1989:Dec.15/Dec.22)
    Record as: 1910:Jan./Feb.

GLOSSARY OF SELECTED TERMS

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, numbers or tome).

Chronology
The different types of dates used by the publisher on the work to identify the individual bibliographic unit of a serial (for examples: date of coverage, date of publication, or date of reprinting).

Compress
For Level 4 detailed holdings statements, to condense one or more data elements through consolidation within one or more levels of data to express the same information with fewer characters. It can only be done when there is no gap in the level or levels to be compressed.

Enumeration
The nonchronological 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. Numbered series are considered to be at the first-order designator level. NOTE: If two or more designators are present (for example, volume numbers part number, and issue number), that which applies to more than one item (that is, the first logical subunit) is defined as first order. All other designators are defined as subsequent-order. (see also its definition)

Gap
A break or discontinuity in the sequence of enumeration or chronology, or both, of a serial. This term does not refer to a break or discontinuity in the serial's publication pattern. See also nongap break.

Noncalendar year
A period of given months of publication that does not correspond to the Gregorian'calendar year of January to December (such as fiscal year or academic year).

Nongap break
A gap between the recorded enumeration and/or the chronology units caused by unpublished units or discontinuity in the publisher's enumeration or chronology. Identified through use of the semicolon. (v.1-4;v.6-10 to indicate v.5 not published.)

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.

PUNCTUATION FOR SERIAL HOLDINGS STATEMENTS


Symbol/Name                    Purpose                        Examples


-   Hyphen       In enumeration and chronology data, to       1960-1989
                 indicate an unbroken range of holdings.       v.1-v.15
                 It shall be used ONLY between enumeration
                 or chronology data of like kind (only
                 between volume designators or issue
                 designators for example, not a mixture of
                 these).

,  Comma         In enumeration and chronology datag to        v.1-2,v.6-8
                 show a break or a gap in a range of           1982,1985
                 holdings.

/ Diagonal       A connector between notations that form       1989/1990
                 a single entity, as two different years
                 that form A single period of coverage or
                 a double volume number.

? Question       To show an unknown quantity in a date.        1950-197?
    Mark         To be used ONLY as the last digit in a
                 date.  It may,not be added to a date to
                 qualify it.

:  Colon         In enumeration and chronology data, to        v.1:no.1
                 serve as a delimiter between multiple         1989:June
                 orders or levels of data, specifically
                 a first-order designator and its related
                 subsequent-order designators.

; Semicolon      To indicate a nongap break when an item       v.1-v.4;v.6
                 is not published.

() Parentheses   To separate enumeration and chronology        v.1 (1989)
                 data when this information is recorded
                 together.

= Equals sign    In enumeration data, to separate              v.2:no.5=
                 alternative numbering schemes.                no.11
Created 3/15/96