1、ANSI / NISO Z39.71-2006 ISSN: 1041-5653 Holdings Statements for Bibliographic Items Abstract: Specifies display requirements for holdings statements for bibliographic items to promote consistency in the communication and exchange of holdings information. The standard applies to holdings statements f
2、or bibliographic items in any physical or electronic medium. It may be applied to electronic resources available to an institution, either under its control, or available under other arrangements. It applies to both manual and automated means of recording holdings. An American National Standard Deve
3、loped by the National Information Standards Organization Approved October 6, 2006 by the American National Standards Institute Published by the National Information Standards Organization Bethesda, Maryland NISO Press, Bethesda, Maryland, U.S.A. About NISO Standards NISO standards are developed by t
4、he Standards Committees of the National Information Standards Organization. The development process is a strenuous one that includes a rigorous peer review of proposed standards open to each NISO Voting Member and any other interested party. Final approval of the standard involves verification by th
5、e American National Standards Institute that its requirements for due process, consensus, and other approval criteria have been met by NISO. Once verified and approved, NISO Standards also become American National Standards. This standard may be revised or withdrawn at any time. For current informat
6、ion on the status of this standard contact the NISO office or visit the NISO website at: http:/www.niso.orgPublished by NISO Press 4733 Bethesda Avenue, Suite 300 Bethesda, MD 20814 www.niso.org Copyright 2006 by the National Information Standards Organization All rights reserved under International
7、 and Pan-American Copyright Conventions. For noncommercial purposes only, this publication may be reproduced or transmitted in any form or by any means without prior permission in writing from the publisher, provided it is reproduced accurately, the source of the material is identified, and the NISO
8、 copyright status is acknowledged. All inquires regarding translations into other languages or commercial reproduction or distribution should be addressed to: NISO Press, 4733 Bethesda Avenue, Suite 300, Bethesda, MD 20814. Telephone: 301-654-2512. Email: nisohqniso.orgISSN: 1041-5653 National Infor
9、mation Standard Series ISBN-10: 1-880-124-69-6 ISBN-13: 978-1-880-124-69-7 ANSI / NISO Z39.71-2006 Contents Foreword iii 1 Introduction 1 1.1 Scope. 1 1.1.1 Display Requirements 1 1.1.2 Data Elements 1 1.1.3 Holdings Statement Linkage 1 1.2 Principles . 1 1.2.1 Levels of Specificity . 1 1.2.2 Identi
10、fication of Data Elements 2 1.2.3 Optional Data Area or Element 2 1.2.4 Pieces Held 2 1.2.5 Number of Locations and Copies. 2 1.2.6 Form. 2 1.2.7 Cataloging System. 2 1.2.8 Relationship of Holdings Statement to Bibliographic Item. 2 1.2.9 Formats 3 1.3 References 3 2 Definitions 3 3 Tables 11 3.1 Pu
11、nctuation Used in the Extent of Holdings Area . 11 3.2 Content of Holdings Statements 12 3.3 Physical Form Designators 13 4 Holdings Statement Structure 16 4.1 Data Areas. 16 4.2 Data Elements . 16 4.3 Levels 17 4.4 Punctuation and Separators 17 4.5 Holdings Statement Composition 18 4.6 Different Ph
12、ysical and Electronic Media 18 4.7 Multiple Locations and Copies. 18 5 Data Areas and Data Elements 18 5.1 Item Identification Area 18 5.2 Location Data Area 19 5.2.1 Institution Identifier. 19 5.2.2 Sublocation Identifier . 19 5.2.3 Copy Identifier 19 2006 NISO i ANSI / NISO Z39.71-2006 Contents (c
13、ontinued) 5.2.4 Call Number20 5.3 Date of Report Area .20 5.4 General Holdings Area.21 5.4.1 Type of Unit Designator21 5.4.2 Physical Form Designator 21 5.4.3 Completeness Designator 22 5.4.4 Acquisition Status Designator 22 5.4.5 Retention Designator23 5.5 Extent of Holdings Area .24 5.5.1 Guidelin
14、es on Extent of Holdings Area.24 5.5.1.1 Choice of Data Element 24 5.5.1.2 Itemized and Compressed Holdings Statements 24 5.5.1.3 Secondary Bibliographic Units 25 5.5.1.4 Enumeration and Chronology 26 5.5.1.5 Gaps and Non-Gap Breaks 27 5.5.1.6 Supplements and Indexes 28 5.5.2 Name of Unit.29 5.5.3 E
15、xtent of Unit 29 5.5.4 Enumeration .30 5.5.4.1 Levels of Enumeration 30 5.5.4.2 Captions 31 5.5.4.3 Sequential Designators 32 5.5.4.4 Multiple Enumerations 34 5.5.4.5 Unnumbered Issues 34 5.5.5 Chronology .35 5.5.5.1 Levels of Chronology 35 5.5.5.2 Dates 35 5.5.6 Specific Extent Note .37 5.6 Holding
16、s Note Area37 Appendix A Examples of Holdings Statements 39 Index 51 i i 2006 NISO ANSI / NISO Z39.71-2006 Foreword (This Foreword is not part of ANSI / NISO Z39.71-2006, Holdings Statements for Bibliographic Items. It is included for information only.) The Role of a Standard In developing this stan
17、dard, NISO Standards Committee AL grappled with the philosophical question of the role of a standard. Should the standard set goals, or should the standard provide pragmatic rules (some of which may already be in practice)? Standards Committee AL (SC AL) based its decisions broadly, considering the
18、needs of the library community as a whole. As a result, the new standard generally makes allowances for past practices which are no longer recommended (“grandfathering”). One Holdings Standard or Two? Since 1989, there have been two standards for holdings statements: ANSI Z39.44 for serials, and ANS
19、I / NISO Z39.57 for non-serials. One of the first issues considered by SC AL was whether NISO should continue to support two standards or should it develop one standard for holdings statements regardless of bibliographic format. In merging the bibliographic MARC formats into one document, the United
20、 States library community has expressed support for the concept of integration. Because the principles of bibliographic and holdings data are interrelated, the committee concluded that the concept of a single document should be applied to holdings, as it has to bibliographic data. Another considerat
21、ion was that a clear-cut distinction between “serial” and “non-serial” is difficult to make in the case of such publications as conference proceedings, loose-leaf materials, and electronic publications. Not all libraries treat these materials the same way. For these reasons, the committee was persua
22、ded that one standard for holdings would be the most appropriate approach. Relationship Between the New Holdings Standard and Earlier Ones Revisions to a standard or the introduction of new concepts in a standard understandably cause consternation for those who have created holdings statements using
23、 an earlier version of a given standard. Is an institution expected to go back and revise all of its work to conform to the latest rules? When Z39.44-1986 replaced Z39.42-1980, holdings statements created under the earlier standard were accommodated in the current standard, or “grandfathered” in. Us
24、ers were given two options for formatting enumeration and chronology data in Z39.44; the second option followed the earlier standards format. Thus users of the new standard could either continue to format holdings as before, or could change to the new model. This practice of accommodating holdings s
25、tatements created under earlier standards is maintained in Z39.71-2006. Certain codes and values used in the earlier standards are not used in Z39.71-2006. Such values are called “obsolete,” a term used in MARC formats. As stated in The MARC 21 Formats: Background and Principles (MARBI, 1996), “An o
26、bsolete content designator may continue to appear in records created prior to the date it was made obsolete. Obsolete content designators are not used in new records.” In the course of revision, SC AL resolved various inconsistencies in punctuation. The committee examined punctuation in the earlier
27、U.S. standards, in ISO 10324, and in ANSI / NISO Z39.56-1996, Serial Item and Contribution Identifier (SICI). The committee determined that because the goals of SICI are quite different from the goals of a standard for holdings statements, punctuation could not always be identical. In resolving conf
28、licts between the punctuation of ISO 10324 and the U.S. standards Z39.44 and Z39.57, the committee chose to follow the punctuation of the U.S. standards. SC AL based its decisions on common sense and on what would least affect users. 2006 NISO iii ANSI / NISO Z39.71-2006 Relationship Between a NISO
29、Holdings Standard and the MARC 21 Format for Holdings Data Like all MARC formats, the MARC 21 Format for Holdings Data serves as a communications format for data, not a display format. The NISO standard specifies the content standards for holdings statements, while the MARC holdings format provides
30、the structure for holdings records. SC AL frequently checked definitions and coding in the MARC 21 Format for Holdings Data, and considered the impact of changes on that format. The committee adopted the MARC holdings format list of codes for physical form designator for use in this standard and rec
31、ommended relevant changes to the MARC holdings format. Relationship Between NISO and ISO Holdings Standards During its September 1995 meeting, SC AL members reviewed ISO 10324, the international standard for summary level holdings statements. The committee paid significant attention to ISO 10324 bec
32、ause, whenever possible, NISO supports harmonization with, or adoption of, international standards. The committee chose to take the ISO standard, rather than the 1991 draft of Z39.71, as the starting point for the 1999 revision of Z39.71, which was the basis for this 2006 maintenance revision. Multi
33、ple Versions of a Title SC AL considered the long-standing issue of how to handle multiple versions of a single title (for example, a title issued in paper and microform, as a long-playing recording and on a compact disc, and in paper and online). Should each version be cataloged on a separate bibli
34、ographic record, or should all versions be cataloged on one record? The increase in electronic publications has intensified the debate about multiple versions. The conflict today is essentially a bibliographic dilemma and therefore outside the scope of this standard. SC AL has created a holdings sta
35、ndard that can accommodate a variety of cataloging techniques. It is up to each library or group to determine the rules by which it represents bibliographic data. Holdings statements are then attached to the resulting bibliographic record or records. Two Options for the Extent of Holdings Area The E
36、xtent of Holdings Area has been made more flexible in Z39.71. First, a detailed level holdings statement (level 4) may end with a hyphen: an “open” holdings statement. This allows a detailed holdings statement that does not require updating each time a new unit is received. Second, Z39.71 allows a m
37、ixed-level holdings statement with part at the summary level and part at the detailed level. This supports institutions that cannot create fully detailed holdings statements for their earlier volumes but have full information for recent volumes. It also accommodates institutions that built holdings
38、statements starting with information from Z39.42 summary-level statements, but now maintain detailed information. Revision History This standard was originally balloted by the NISO Voting Members from October 29, 1997 to January 31, 1998 and approved by ANSI on March 26, 1999. Following its systemat
39、ic review in 2005, it was decided to issue this maintenance revision to address some comments and make minor corrections. The maintenance revision was balloted by NISO Voting Members from April 3, 2006 to July 31, 2006 and was approved by ANSI on October 6, 2006. iv 2006 NISO ANSI / NISO Z39.71-2006
40、 NISO Voting Members At the time NISO balloted this standard, the following organizations and their representatives were voting members: 3M Susan Boettcher, Roger D. Larson (Alt) American Association of Law Libraries Robert L. Oakley, Mary Alice Baish (Alt) American Chemical Society Matthew Toussant
41、 American Library Association Betty Landesman American Society for Information Science and Technology (ASIS however, the method of identifying the bibliographic item is excluded from the standard. 1.2 Principles 1.2.1 Levels of Specificity This standard defines holdings statements at four levels of
42、specificity. The determination of which level to use is a local decision. Institutions have the option of recording at each of the four levels, depending on the circumstances and the need. The levels are described below and shall contain, as a minimum, the indicated areas. Table 3.2 in section 3 sum
43、marizes this information. The four levels of specificity are as follows: Level 1: Item Identification Data Area and Location Data Area. Level 2: Level 1 information plus Date of Report Area. Optionally, a Level 2 statement may include General Holdings Area data: physical form of publication, complet
44、eness of holdings, acquisition policy, retention policy, and local notes. 2006 NISO 1 ANSI / NISO Z39.71-2006 Level 3: Required Level 2 information plus the Extent of Holdings Data Area, for basic bibliographic units, supplements, and/or indexes. Optionally, a Level 3 statement may include General H
45、oldings Area data. Level 4: Required Level 2 information plus the Extent of Holdings Data Area, recorded at the detailed level, for basic bibliographic units, supplements, and/or indexes. Optionally, a Level 4 statement may include General Holdings Area data. 1.2.2 Identification of Data Elements Th
46、is standard provides for the identification of data elements by the use of punctuation and a prescribed sequence of elements within a data area. It does not require that the significance of sequence and punctuation be consistent from area to area. 1.2.3 Optional Data Area or Element The absence of a
47、n optional data area or element does not necessarily imply the absence of those characteristics. The presence of an optional data area or element does not necessarily imply the completeness of the data recorded. For example, the absence of the Extent of Holdings Data Area does not necessarily signif
48、y the completeness of the bibliographic item held. 1.2.4 Pieces Held When the extent of holdings is explicitly recorded, this standard requires the recording of those pieces held rather than of those pieces not held. However, bibliographic items that are lacking may be recorded in the Holdings Note
49、Area or in a specific extent note. 1.2.5 Number of Locations and Copies Holdings statements may include multiple locations and multiple copies within a single holdings statement. Holdings may be recorded either as a copy-specific statement, reflecting the holdings of one copy and one location, or as a composite statement, reflecting holdings of more than one copy, or at more than one location or sublocation. 1.2.6 Form Holdings statements may be recorded in itemized or compressed form. 1.2.7 Cataloging System The provisions of this standard are independent of any particular ca
