NACO > Yale Policies for NACO Name Authority Records

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This document sets forth Yale University Library policies for creating, updating, and importing NACO name, uniform title, and name-title authority records (NARs). It is intended to supplement, not replace, standard documentation issued by the Library of Congress (LC) and the Program for Cooperative Cataloging (PCC). 

Creating New NARs

  • Where to create new NARs
  • When to create new NARs
  • Mandatory Variant Forms in RDA Appendix F
  • Authority Records for Works and Expressions
  • Conference Names
  • Optional fields in new NARs
  • When to run ExportQ

Importing NARs

  • When to import NARs
  • How to import NARs

Updating Existing NARs

Reviewing non-RDA NARs with (and without) 667​

See also: Yale Policies for NACO Series Authority Records


Creating New NARs

Where to create new NARs

  • Create all new NARs in the OCLC authority file according to Yale's NACO workflow
  • Do not create new NARs in ORBIS. 

When to create new NARs

  • As a general rule, create new NARs whenever one or more of the following criteria apply:
    • if you determine the name requires cross reference(s) (Cataloger judgment)*
    • the name needs to be distinguished from a similar entity
    • the name is needed as an authorized access point (AAP) in a BIBCO record
    • the name is represented by a local NAR**

*Note: cross references for variant forms are not mandatory under RDA, or under NACO policy. But see the Appendix F discussion below.

**Note: Local NARs lack an 010 field. These records were created in ORBIS, rather than contributed to NACO, in accordance with former Yale policy. The local NAR should be deleted from ORBIS after the NACO record is created. 

Use judgment in deciding whether or not to establish an AAP. You may opt not to create a NAR if the name is particularly problematic. Keep in mind that you will not be able to code the bibliographic record as pcc if the access point does not have an authority record in the national authority file. Since all of our original records now follow RDA instructions, the access point must be consistent with RDA (and the LC-PCC policy statements) even if no authority record is made. At the same time, if the name is unproblematic, you are encouraged to create a NAR even if it does not fall into any of the criteria listed above. Any relevant information turned up in the course of establishing the name that would support identification is worth recording permanently in an authority record; in RDA one records information both to differentiate and to identify.

RDA Appendix F. Although RDA does not generally require variant form references, there are  mandated references for some of the categories of names in Appendix F for Southeast Asian (Indonesian, Malay, Thai) and Icelandic names. Under our AACR2 workflow, Southeast Asian names were exempted from the requirement to make a NAR for the first time use of a name in our catalogs. The policy continues under RDA and extends to any mandated variant form in Appendix F. Note that the instructions for most variant forms in F usually say to "Record as a variant name a form using a different part of the name as the first element if the name might reasonably be searched by that part."

Preferred titles and Creator/Preferred title combinations for Works and Expressions. Until PCC standards are clarified, our local policy will be as follows:

  • Use preferred titles, including conventional collective titles in bibliographic records (240 and 7xx) following RDA and LC practice; generally do not go beyond LC practice even though it may be allowed for PCC libraries
  • Do not create NARs for preferred titles or creator/preferred titles, including conventional collective titles, for works and expressions 
  • If a NAR for a translation has been established with 2 languages or with Polyglot, do not attempt to update it; for your bibliographic record, follow RDA and the policy statements and make at least 2 AAPs for the individual languages in your bibliographic record
  • If a NAR for a preferred title or a creator/preferred title exists for a work or expression that is inconsistent with RDA and does not fall into the translation category in the previous bullet, report the situation to NCC for review

Conference Names

  • If there is no NAR for your conference name, do not make one
  • If a NAR has been created for the name of an ongoing conference, and the AAP is consistent with RDA, use it in your bibliographic record but do not attempt to update the NAR even if it is coded as AACR2 or pre-AACR2
  • If a NAR has been created for the name of an ongoing conference, and the AAP is NOT consistent with RDA, update the NAR following NACO guidelines and make also a NAR for the individual conference used as the AAP for your bibliographic record

When to ExportQ

Do not flag your bibliographic record for export to MARS until your NAR has been produced. Otherwise MARS will not send us the NAR.

Importing NARs

When to import NARs

As a general rule, do not import NARs into ORBIS from LCDB or the utilities. MARS will send us the NARs as a result of weekly bib record processing. However, you may import a NAR if you need to update it in ORBIS with local information.

How to import NARs

Authority records are imported from LCDB and the utilities in the same way that bib records are imported


 

Document issued by the NACO Coordinating Committee 
Last revised: 19 Dec. 2013

Optional Fields in New NARs

General

In addition to previously enabled 043, 053, and 781, a number of new fields were added to MARC Authorities as a result of the transition to RDA. As of now, NACO policy defines all of these fields as optional. The new fields help to define what RDA considers information in support of identification. Even if they are not used, keep them in mind when deciding on what information to record in 670; another cataloger should be able to use the information in 670 to create the appropriate 3xx field without the book in hand.

043 Fields: Geographic Area Codes

Optional practice: In a NAR for a geographic name heading (coded 151), you may include an 043 field giving the geographic area code. Both indicators should be blank. No justification is needed in a 670 field.

043     $an-us-wa
151     $aSeattle (Wash.)

For more information, see the MARC Code List for Geographic Areas, the LC Descriptive Cataloging Manual (DCM Z1 043 field), and the NACO Participants' Manual (NPM p. 21: section I, 043 field).

For more information, see the MARC Code List for Geographic Areas, the LC Descriptive Cataloging Manual (DCM Z1 043 field), and the NACO Participants' Manual (NPM p. 21: section I, 043 field).

046 Fields. Special Coded Dates

Generally consider it best practice to create a 046 field even if the information is already recorded in 670 for subfields $f, $g, $s, and $t where appropriate. For additional examples and guidelines see:

046 for NARs, with Examples

046 EDTF, Personal Name, & Active Date Examples

046 Corporate Names

053 Fields: LC Classification Numbers for Literary Authors

Optional practice: You may record an LC classification number for a literary author in an 053 field in a NAR only in one of the two following situations: you find the number in the 050 of a bibliographic record created and input by LC (040 $a DLC $c DLC) or you have requested an 053 from LC using their online request form. If adding an 053 field, only the $a portion of the full call number is to be recorded. The second indicator should be 0. No justification is needed in a 670 field.

053 fields should never be used on undifferentiated name records or to record PZ numbers.

Multiple 053 fields may be used for literary authors who write in more than one language. Qualify the 053 with the language in $c (without using parentheses) in such cases.

053   0 $aPS3527.A15$cEnglish
053   0 $aPG3476.N3$cRussian

For more information, see the LC Classification Manual (SCM F 632), the LC Descriptive Cataloging Manual (DCM Z1 053 field), and the NACO Participants' Manual (NPM p. 22: section I, 053 field).

If you want to record an LC classification number in a NAR and you cannot do it using an 053 field, update the record in ORBIS using an 090 field (see below). 

336 Field. Content Type

Under current LC/PCC practice, do not enter field 336 in NARs

368 Field. Other Attributes of Person or Corporate Body.

Subfields & Examples (BL Guide, MARC 21 Encoding)

370 Field. Associated Place.

Subfields & Examples (LC RDA Training, BL Guide, Z1)

371 Field. Address.

Examples (RDA in NACO Training, BL Guide, Z1 PDF)

372 Field. Field of Activity.

Examples (LC RDA Training, NACO RDA Training, BL Guide)

373 Field. Associated Group

Examples (LC RDA Training, NACO RDA Training, BL Guide)

374 Field. Occupation

Examples (LC RDA Training, BL Guide)

Examples: 374/100 Relationships (BL Guide) 

375 Field. Gender

Use if the gender is not evident from the name, or if the name is misleading for the gender.

Examples (LC RDA Training, BL Guide, NACO RDA Training)

377 Field. Associated Language.

Examples (LC RDA Training, BL Guide)

378 Field. Fuller Form.

Examples (LC Training Module 3, NACO RDA Training, BL Guide)

381 Field. Other Distinguishing Characteristics of Work or Expression.

Examples (NACO RDA Training, MARC 21 Authorities, RDA in NACO Bridge Training)

781 Fields: Geographic Subdivision

Optional practice: In a NAR for a geographic name heading (coded 151), you may include a 781 field giving the form of the heading to be used in a geographic subdivision. The second indicator in the 781 field should be 0. No justification is needed in a 670 field.

151     $aSydney (N.S.W.)
781   0 $zAustralia$zSydney (N.S.W.)

Do not add a 781 field to a record for a geographic name heading that is not appropriate for use as a subject added entry (008/15 value "b"), such as the earlier name of a jurisdiction that has undergone a linear name change, for example, Ceylon.

Please use caution when exercising this option! Make sure you are constructing the geographic subdivision correctly. For more information, see the LC Subject Cataloging Manual (SCM H 690 through SCM H 1055), the LC Descriptive Cataloging Manual (DCM Z1 781 field), and the NACO Participants' Manual (NPM p. 67: section I, 781 field).

046 Corporate Names

Corporate Names (11.4) [BL]

Record as appropriate a date of founding and/or a date of termination.
 
Note that “active” dates for periods of activity are not recorded for corporate names. For corporate names, ‡s and ‡t indicate definite dates.
 
Record as specific a date as is known, even if a less specific date, or no date, has been used as an addition to the preferred name in the authorised access point:

    046 __ ‡s 20010606
    110 2_ Wetherby Shoe Company

If only the year is known, record only the year:

    046 __ ‡s 1931 ‡t 1970
    110 2_ Walton Automobile Club

046 Jurisdictions [BL]

 
It will be unusual to record start and finish dates for a place name, unless a place has a definite date of founding, or termination, or name change:

    046 __ ‡s 19670123
    151 __ Milton Keynes (England)

Milton Keynes is a “new town” which was formally designated on 23rd January 1967.

    046 __ ‡s 1972
    151 __ Sri Lanka

Sri Lanka is a jurisdiction which came into being with that name in 1972.

    046 __ ‡s 19740401 ‡t 19960401
    151 __ Humberside (England)

Humberside was an English county from 1 April 1974 until 1 April 1996

    046 __ ‡s 1996
    151 __ Mumbai (India)

(The name of Bombay was officially changed to Mumbai in 1996)
 
 

046 Conferences [BL] 

 
Record as appropriate a date or range of dates on which a conference was held.
 
Record as specific a date as is known, even if a less specific date has been used as an addition to the preferred name in the authorized access point:

    046 __ ‡s 19990401 ‡t 19990403
    111 2_ Pocklington Beer Conference ‡d (1999 : Pocklington, England)

 
If only the year is known, record only the year:

    046 __ ‡s 2001 ‡t 2001
    111 2_ Ferret Symposium ‡d (2001 : Ulleskelf, England)

If a conference was held on one day only, record this date in both ‡s and ‡t, as it is both the start date and the end date of the conference:

    046 __ ‡s 20081102 ‡t 20081102
    111 2_ Crime in Yorkshire (Conference) ‡d (2008 : Sheffield, England)

In a collective conference name authority record, record known start and end dates of the whole ongoing conference. Record an end date only if the series has ended, or changed name. Generally, record only the year:

    046 __ ‡s 2007
    111 2_ Conference on Inequalities and Applications

(first Conference on Inequalities and Applications was held in 2007)
 
 

046 EDTF, Personal Name, & Active Dates

zISO Examples from BL Guide

Date

ISO 8601

19th April 1860

18600419

April 1860

1860-04        [note hyphen]

1860

1860

19th century

18

65 AD

0065

361 BC

-0360             [note difference of one]

EDTF Examples from BL Guide

Date

Extended Date/Time Format

1990?

1990? ‡2 edtf

approximately 1860

1860~ ‡2 edtf

1860 or 1861 

[1860,1861] ‡2 edtf

between 1930 and 1933

1930...1933 ‡2 edtf

between 1890 and 1899

189u ‡2 edtf

(or, unknown year for the same period)

189x ‡2 edtf

 

[BL]: Note the difference between u, where there is an expectation that the precise year might become known, and x, where there is not.

Personal Names (9.3.; PS 9.3.1.3) [BL] 

Record as appropriate a date of birth and/or a date of death, or a date or dates indicating a person’s period of activity.
 
Record as specific a date as is known, even if a less specific date, or no date, has been used as an addition to the preferred name in the authorised access point:

    046 __ ‡f 19600505
    1001_  Smith, John, ‡d 1960-

If only the year is known, record only the year:

    046 __ ‡f 1931
    1001_  Munro, Alice, ‡d 1931-

Active Dates [BL]

Record “active” dates in subfields ‡s and ‡t. Record a single “active” date in subfield ‡s:
 

    046 __ ‡s 1820 ‡t 1860
    1001_  Smith, John, ‡d active 1820-1860

    046 __ ‡s 1800
    1001_ Wills, Benjamin (Surgeon)

Note that the century when a person was active can be recorded in 046:

    046 __ ‡s 18
    1001_ Parish, C. H.  (person active in 19th century)

Active Date Examples [BL Guide]

[BL:] Best practice is to include an 046 for a personal name, even if dates of birth and/or death are unknown, to indicate the year, years, century or centuries in which a person was active:

Date

046 Formulation

active 18th century (1700s) 

‡s 17

active 1730

‡s 1730

active 1730-1750  

‡s 1730 ‡t 1750  

active 1900-1920   

‡s 18

active 20th century

‡s 19

active 20th-21st centuries

‡s 19 ‡t 20

046: Special Coded Dates (R)

Source: RDA in NACO, Module 3, Slides 16-22 

RDA 9.3, 10.4, 11.4, 6.4, 6.10

Core if readily available


046 Tagging

•No indicators

•Subfields:

‡f - Birth date (NR)

‡g - Death date (NR)

‡k - Beginning or single date created (NR)

‡l - Ending date created (NR)

‡s - Start period (NR)

‡t - End period (NR)

‡u - Uniform Resource Identifier (R)

‡v - Source of information (R)

‡2 - Source of date scheme (NR)

Caution: 046 does not use ‡a or ‡b. In OCLC the field must begin with a delimiter. 

Date Codes

•Special code means there is a strict format to follow:

•DEFAULT is ISO 8601: YYYYMMDD

•Use ‡2  to specify another encoding scheme for dates

•The other standard to be used is the ‡2 edtf (Extended Date/Time Format) for uncertain dates

Source list for date-time codes eligible for 046 can be found at:
 

Examples

 For a person born in June 2, 1946 and still alive

 046 _ _ ‡f 19460602

For a person born in 1840 and dead at the Battle of Bull Run on July 21, 1861

046 _ _ ‡f 1840 ‡g 18610721 

For a company founded in 1960

046 _ _ ‡s 1960

For a family whose recognized history starts with the founder’s arrival in America

046 _ _ ‡s 1765

For a musical group that started in 1960 and broke up in 1970

046 _ _ ‡s 1960 ‡t 1970

 

ISO Standard—Some Slight “Exceptions”

If you have year and month only 

046 _ _ ‡f 1946-06

BC dates are one year off, as are centuries

147 B.C. = 046 _ _ ‡s -0146

20th century  = 046 _ _ ‡s 19

 

Expressing Questionable Dates in EDTF

1902?

046 _ _ ‡s 1902? ‡2 edtf

Approximately 1902

 046 _ _ ‡s 1902~ ‡2 edtf

Either 1901 and 1902

 046 _ _ ‡s [1901,1902] ‡2 edtf

 

368 Other Attributes of Person or Corporate Body

General

RDA: 9.4, 9.6, 9.11

Source is the British Library Guide to RDA Name Authority Records, but some of the examples are YUL

YUL: record if necessary for identification (BL: record if readily available)

Z1: capitalize the first word in ‡a, ‡b, ‡c

Indicators: blank

Subfields:

‡a Type of corporate body (R)

 

‡b Type of jurisdiction (R)

 

‡c Other designation (R)

 

‡d Title of person (R)  [NACO: do not apply]

 

‡s Start period (NR) [NACO: do not apply]

 

‡t End period (NR) [NACO: do not apply]

 

‡u URI (R) [NACO: do not apply]

 

‡v Source of information [NACO: do not apply]

 

‡2 Source (NR)

 

Source: BL Guide

 
Best practice for terminology: use LCSH
 
If no LCSH, use a term that the entity uses or by which it is described (without ‡2)
 
Indicate the source in ‡2; repeat if ‡2 does not apply to all terms
 

368

   

Christian sects ‡2 lcsh

368

   

‡c Apostolic

Use an LCSH term if available, but keep in mind that the form used in LCSH may not be appropriate in that form for an AAP qualifier:

110

2  

Vanguard Consulting (Business Enterprise)

368

   

Business enterprises ‡2 lcsh

       

151

   

Rhinebeck (N.Y.)

368

   

‡b Villages ‡2 lcsh

       

100

1

 

Wills, Benjamin ‡c (Surgeon)

368

   

‡c Surgeons ‡2 lcsh

Examples: Type of corporate body (a)

 

110

2

St. Leonards Writers

368

Societies ‡2 lcsh

 

110

2

 

Catholic Church. ‡b Secretariado Nacional para os Bens Culturais da Igreja

368

   

Secretariats ‡2 lcsh

 

110

2

 

East Midland Baptist Association

368

   

Associations, institutions, etc. ‡2 lcsh

 

Examples: Jurisdictions (‡b)

 

LCSH terms currently (8/13) valid: counties, cities and towns, villages, suburbs, boroughs, republics

Not valid LCSH as of 8/13: districts, states, countries, kingdoms

 
 

151

New Haven (Conn.)

368

‡b Cities and towns ‡2 lcsh

 

151

   

Grandview-Woodland (Vancouver, B.C.)

368

   

‡b Neighborhoods ‡2 lcsh

But--      

151

   

Connecticut

368

   

‡b State   [no 368; term is not in LCSH 8/13]

 
BL: Use of subfield c. Generally record only if used as the basis for an AAP qualifier.
 
Reminder: Personal name qualifiers that are mandatory even with no conflict:
 
  • Saint (9.6.1.4)
  • Spirit (9.6.1.5)
  • Persons named in sacred scriptures or apocryphal books (9.6.1.6)
  • Fictitious and legendary persons (9.6.1.7) <further clarification from JSC in November 2013 indicates that 9.6.1.7 is not mandatory and falls into the category of "core if" needed to differentiate; however, optionally, the cataloger can add the fictitious character qualifier if it is judged useful for identification>
  • Real non-human entities (9.6.1.8)

Examples. Other Attributes (‡c)

100

1

Seabiscuit (Horse)

368

‡c Horses ‡2 lcsh

       

110

2

 

Church of God (Seventh Day Adventist)

368

   

Christian sects ‡c Seventh Day Adventists ‡2 lcsh

Reminder: subfield d (titles) is not made (PCC policy as of August 2013)
 

100

1

Catherine, ‡c Duchess of Cambridge, ‡d 1982-

368

‡d Duchess of Cambridge [do not make]

       

100

1

 

Richardson, Ralph, ‡c Sir, ‡d 1902-1983

368

   

‡d Sir  [do not make]

       

100

1

 

Teresa, ‡c Mother, ‡d 1910-1997

368

   

‡d Mother  [do not make]

But--

100

1

Damien, ‡c Saint, Father, ‡d 1840-1889

368

‡d Saint , Father  [do not make]  ‡c Saints ‡2 lcsh

 
 
 
 
 
 
 
 
 

370: Associated Place

Source: NACO Bridge Training, BL Guide

Notes: ‡2: if taken from NAF, ‡2 naf is not necessary at this time, but OK to  go ahead and enter.  If taken from LCSH, use ‡2 lcsh. If not established in either, no ‡2. BL: A non-jurisdictional name coded as 110 in the NAF is treated as a jurisdiction: Auschwitz (Concentration camp); Queen Mary (Ship). Possible application: add a 370 ‡a or ‡b to a personal name NAR if the person was born or died in a concentration camp or on a ship.
 


Source: NACO Bridge Training, BL Guide

NOTES: ‡2: if taken from NAF, no ‡2. If taken from LCSH, use ‡2 lcsh. If not established in either, no ‡2.
Sept. 2013; Z1 changes policy and says to use the punctuation applied in 151; don’t convert the parentheses to a comma.


Source: BL Guide. YUL

NOTES: YUL example: Mattison home page: residence, New Haven;  teaches at Bennington College (in Bennington, Vermont)
BL recommends always adding ‡c primarily to facilitate machine-actionable  processing “to distinguish and match people.”
 


 

Effective Date: 
January 31, 2014

371: Address

Slide 1. Tags for MARC Authority 371

Trainer note: “Multiple addresses need to end up in separate fields, even if the subfields are repeatable.

"NOTE: there is a difference between the 370 and the 371. The 370 (Associated place) is an association at the level of country, town, but not to the level of street name.

"The 371 (address) is the specific address at which someone can receive mail.”  -- Source: Module 2: Describing Persons.

Slide 2:

If only a city or a country of residence is available for a person, that information logically would be better suited in a 370 field.

DCM Z1, 371 (Best practice): 

• Supply based on cataloger’s judgment, if the information is readily available and not already being recorded in field 370 subfield ‡e (Place of residence/headquarters).

• In cases where subfield ‡a is not recorded, include at a minimum subfield ‡m (Electronic mail address) or subfield ‡b (City).

• Do not record physical addresses for living people.

• Catalogers are not required to maintain address information when updating a record that contains an address.

Slide 3:

Slide 4:

Slide 5:

Effective Date: 
February 7, 2014

372: Field of Activity

Slide 1:

Slide 2:

Information can be taken from any source; prefer controlled vocabulary, such as LCSH or MeSH, record the source in subfield ‡2. Record as a separate element. For consistency, capitalize the first term in each subfield ‡a. 

Field of activity is not recorded as part of an access point (RDA 9.15.1.3).

Slide 3:

Slide 4:

Slide 5:

Slide 6:

Slide 7:

Effective Date: 
February 7, 2014

Updating Existing NARs

Updating NARs in OCLC

Update a NAR in OCLC if making national-level changes. National-level changes include such things as: 

  • changing fixed fields, headings, and cross references
  • adding new 4XX, 5XX, 667, 670, and 675 fields
  • adding new 043, 053, and 781 fields (optional practices) 

Do not apply the LCRI 22.17 option to add death dates to existing personal name headings with open birth dates as a matter of course. Add the death date only under these circumstances: 

  • the heading is needed in current cataloging, the death date is readily available, and you have chosen to exercise the option
  • the heading is being updated for another reason and the death date is readily available
  • the death date is needed to resolve a conflict with another heading
  • a patron has requested the addition of the death date to the heading
  • a staff member has requested the addition of the death date because the person represented by the heading has strong associations with Yale or the greater New Haven area (e.g. a well-known faculty member, community leader, or local author) or the person is the primary subject of a locally-sponsored event (e.g. a conference, exhibition, or lecture) 

Reminder: adding the death date will require the updating of any name-title authority records associated with the name and the correction of headings in Orbis bibliographic records (the "Names" index will let you find all instances of the heading, whether used as a name or a subject heading).  

Updating NARs in Orbis

Update a NAR in ORBIS if making local changes. Local changes include such things as:  

  • adding classification numbers in 090 fields (optional practice)
  • recording local notes in 690 fields (optional practice) 

It might be necessary to import the NAR from LCDB or OCLC into ORBIS before making the update. 

090 Fields: LC Classification Numbers (update in ORBIS) 

Optional practice: You may add an 090 field to the NAR in ORBIS to record an LC classification number for a literary author if the number cannot be recorded in an 053 field in OCLC (e.g. PZ numbers for juvenile literature). Example:

Before After
053   0 PS3558.A4636 053   0 PS3558.A4636
        090     PZ7.S6795 <for juvenile lit.>

090 Fields: Other Classification Numbers (update in ORBIS)

Optional practice: You may add an 090 field to a NAR in ORBIS to record a local Yale (non-LC) classification number for a person. Preface the classification number with the Yale location to which it pertains. Example:

Before After
053   0 PS3503.E4488 053   0 PS3503.E4488
  090     BEIN: Zab B4173

690 Fields: Local Notes (update in ORBIS)

Optional practice: You may add a 690 field to a NAR in ORBIS to record a local note relating to the heading. Do not add 690 fields as a matter of course!

Reviewing non-RDA NARs with (and without) 667

General:

For background and examples, see Summary of Programmatic Changes to the LC/NACO Authority File: What LC-PCC RDA Catalogers Need to Know

  1. Keep in mind that computer processing of Phase one could not catch all non-RDA elements in the AACR2 AAP [authorized access point]; some NARs [Name Authority Records] invalid as RDA AAPs may lack 667. See, in the next section, Personal names, item 1., an example where the NAR would lack a 667 because it would require human intervention to identify the problem.
  2. IMPORTANT: Did you remember to change Desc  from a to z? Did you remember to insert $e rda into the 040?
  3. Did you remember to delete the 667 Do not use until reviewed note? Keep in mind that the presence of a 667 does not mean that the AAP requires updating automatically. The preferred name can be reinvestigated for conflict, but reinvestigation is not required (PCC-at-large 2013 Annual).
  4. Local policy. If an AACR2 AAP had to be updated to a different RDA form upon review, make the update and report it to Rick to notify LC for BFM [bibliographic file maintenance].  For local maintenance, notify Eva Bolkovac if there are too many headings to update manually in Orbis.
  5. Updating AAPs. General principle: as long as the preferred name/qualifier combination is consistent with RDA, leave the AAP as is, even if the qualifier would be unnecessary when establishing a new AAP. For example, if the AAP has a fuller form qualifier but the unqualified name has no conflict, leave the AAP form as is and re-code the NAR as rda.
  6. Be sure to review 4xxs.
    1. The reference may need to be qualified or revised to RDA form.
    2. A new reference added at the time of updating might conflict with an established AAP. It’s possible the OCLC software will catch the conflict, but you will still need to update the 4xx to break it.
    3. Don’t remove 4xxs already in the record, even though most 4xxs are no longer mandatory. But keep in mind that you will still need to evaluate existing references for consistency with RDA.
    4. If there are non-latin script 4xxs, be sure the ref code is “b” and there is a 667 Non-Latin script reference(s) not evaluated. Just to be clear: use the plural form if there is more than one non-Latin script reference; if there is only one, don’t include (s).
  7. Phase 2 computer updates made to AACR2 records. Do not assume a record updated under Phase 2 is valid RDA. Do not assume the Phase 2 program fixed all of the elements that conflict with RDA. Correct any oversights. The Phase 2 updates that were made are:
    1. Addition of 3xx fields: 046, 378. Also, for music: 382, 383, 384
    2. Deletion of 7xx  fields for what testers considered to be the “pure” RDA form (which now conflicts with some of the LC PCC Policy Statement guidelines)
    3. Abbreviations spelled out and/or substituted by English language equivalents: Dept., cent., fl. [RDA: active], ca. [RDA: approximately], Jan., Feb., etc.  For music: acc., arr., unacc., violoncello.
    4. b. and d. replaced by hyphens (this was probably also applied to pcc RDA NARs created prior to Day One)
    5. Occupation qualifiers capitalized with parentheses added: Oyster, $c poet becomes Oyster $c (Poet)
    6. Old Testament, New Testament spelled out; O.T./N.T. removed from AAPs for individual books; Koran replaced by Qu’ran.
    7. Selections converted to Works. Selections. Subfield $f for date of Work or Selections was removed if there.
  8. Local policy. New MARC Authority Fields. When updating a previously established AACR2 NAR, add 046 information for birth/death or founding/ending  if readily available. The other new fields are not mandatory as long as the core information has been recorded somewhere in the NAR. Include any information that could be used to identify or differentiate the person or other entity. Follow current Z1 and PCC guidelines for entry conventions.  See also the Short Checklist site for examples and current instructions.
  9. Local policy. Get a second opinion:
    1. Music AAPs
    2. Treaty AAPs

Corporate, Conference & Place Names

Corporate and Conference Names

  1. If you are reviewing a subordinate body, has the larger body been updated to RDA? The primary body must be updated and re-coded as RDA.  See also 3.
  2. If the AAP has both a parent body and an intermediate subordinate body, make sure the NARs for both the parent and intermediate subordinate body are consistent with RDA. (Also check the intermediate body if used in a 4xx). See also 3.
  3.  If an update to the primary or intermediate body would affect other NARs for other subordinate bodies under them, the cataloger is not expected to fix them, per PCC-at-large 2013 meeting. (Probably LC will do a batch update; but this might fall under the BFM umbrella, so notify Rick)
  4. Local policy. Ongoing conferences. Follow the RDA AAP guidelines for formulating conference names for the bibliographic record’s access point. Do not code the bibliographic record as pcc unless Exception a. following applies (and all the other elements of the bib record follow pcc guidelines).
    1. Exception. If the NAF has an authority record for the ongoing conference with an AAP that is inconsistent with RDA, update the NAR for the ongoing conference and make a new, additional NAR for the individual conference. Make sure the “parent” conference without qualifiers has the standard note added to it: 667 See also related access points for individual instances of this conference which include specific information about the number, date, or place of the individual conference. See example in LC PCC PS 11.13.1.8. See also slide 20 of the LC special topics Conferences ppt.
  5. Does the name of the conference include the frequency?  [RDA 11. 2.2.11.] If not, is the frequency part of the name on your resource on either your item or in a previously assigned 670? RDA conference name AAPs must include the frequency; AACR2/LCRI AAPs omitted the frequency.
    1. Local policy. If the name of the previously established conference is incorrect because it lacks the frequency part of the name, update the record for the ongoing conference, delete the 667 if there, and make a reference for the former now invalid heading ($w nnea). In addition, make an authority record for the individual conference with the appropriate qualifiers.
  6. Was the year included in the AACR2 name of a conference? Example: AMS 2013
    1. RDA does not include the year as part of the preferred name; move the year to the date qualifier in the bibliographic record.
    2. If removal of the date from the preferred name results in an acronym or initialism, add a qualifier (Conference); (Symposium) – based on the terminology of your resource; the qualifier does not get a subfield.  Example: ASM 2013 becomes ASM (Conference) $d (2013 : $c <Place>).
    3. Update the AACR2 NAR to RDA form as an individual conference. Presumably an AACR2 conference name that includes the year does not represent an ongoing conference, so do not make a separate NAR for an ongoing conference.
  7. Acronyms and initialisms. Per 11.7.1.4. & PCC-at-Large ALA 2013. See also Paul Frank’s posting on the PCC-list dated 6/12/2013.  Acronyms and initialisms in all CAPs require a qualifier; the instructions applie to both established and variant forms. When reviewing a previously established NAR, a qualifier is not added retroactively unless there is a conflict. However, when creating a new NAR with an acronym/initialism, the new acronym/initialism must be qualified; if a conflict is determined, the acronym/initialism (AAP or variant) for the previously established NAR (AAP or 4xx) must be qualified as well. Report BFM to Rick if the established AAP was modified. Local policy: Correct any affected Orbis AAPs if necessary; notify Eva if you decide there are too many to do individually.
  8. Make sure the 675 only lists sources consulted unsuccessfully; using 675 to give a citation for the form of the earlier/later name when not on the item being cataloged is no longer permitted (the situation applies mainly to corporate names). As far as we can tell, the 510 for earlier/later does not have to be justified in 670.
  9. In the July 2013 RDA update, the rules for non-governmental and governmental subordinate bodies have been merged. No changes to the rules themselves, as far as we know, but references to the rules in some of the training materials may no longer be current.
  10. Although not stated explicitly, 046 is defined as mandatory if known in the NACO RDA Training (Module 4, Slide 61) for corporate bodies.  If the date of founding is given in 670, it should be recorded in 046. If not in 670 but on the item being cataloged, or turned up in the course of research for other reasons, add 046.  Use $s <founding date> $t <ending date>. Delimiter t would apply to either the dissolution of the corporate body or a name change requiring a new NAR.

Place Names

  1. American Indian and Canadian First Nation tribes are now tagged as place names (151). Formerly they were tagged as corporate bodies (110). Records using the obsolete tag are likely not to have a 667 field. The tags (1xx and 4xx) must be recoded as jurisdictions (151). Field 151 should have no indicators. Do not create a new NAR; just re-tag.
  2. City sections are established in the NAF; formerly they were established via SACO, but the practice ceased in 1996. If the 010 for the obsolete usage has the “sh” prefix, you need to create a new record in NAF because you need an “n” ID number in 010. Notify the liaison to have the “sh” record deleted. City section ARs generally have a 667 SUBJECT USAGE: this name is not valid for use as a geographic subdivision, but no 667 RDA review warning. Retain the subject usage 667 when you create the NAR.
  3. Malaysian place names. Formerly Malaysian place names were qualified by the Malaysian state’s name rather than the country name. Although RDA says to qualify by (Malaysia), LC (and NACO members) should follow the alternative and qualify by (state name, Malaysia).

Personal Names

  1. Does Jr., Sr., filho, II, etc. need to be added to the preferred name?  Note that “Jr.” and “Sr.” are not spelled out under RDA, so an AACR2 NAR with the abbreviated form would still be RDA-compliant. The information may be on your item or noted in the 670 already in the NAR. Although terms of filiation are now defined in RDA as integral to the name, the filiation term continues to be entered in MARC $c – without parentheses:
    • Davis, Sammy, ‡c Jr., ‡d 1925-1990
    • Wainwright, Loudon, ‡c III, ‡d 1946-
       
  2. A number of significant updates to RDA introduced to the RDA Toolkit July 2013 are now in effect that have an impact on the AAPs for personal names.  See the guidelines and list of examples in the BL Guide to RDA Name Authorities in the Global Updates section of the RDA Toolkit. For an overview of all the changes, click on the hot link at the beginning of the document: 2013 Changes to RDA. For detailed coverage and numerous helpful examples for personal name qualifiers, use the hot link to Qualifiers in Access Points Requiring RDA.
     
  3. With the July 2013 update, terms of rank, honor, or office are now acceptable as qualifiers if the person does not have dates, a fuller form of name, or a title [9.19.1.6]. You are now allowed to use terms such as Sir or Dame in $c to break a conflict. Note punctuation and capitalization in the BL examples. Prior to July 2013, a NAR coded as AACR2 with a qualifier using a term of rank, honor, or office was not consistent with RDA and the AACR2 AAP had to be revised with a different qualifier to break the conflict.  Some of the AACR2 NARs may have a 667 note because of the superseded rule. Under current (post July 2013) guidelines, the formerly obsolete qualifier should be retained.   Qualifiers of this type are entered in $c without parentheses.
     
  4. Also with the July 2013 RDA update, if there is a conflict and none of the differentiating qualifiers listed in order of priority (including terms of rank, honor, and office) is known, virtually anything becomes acceptable as a qualifier as long as the punctuation and capitalization rules are followed [9.19.1.7].  If an AACR2 NAR is reviewed, and an “other designation” qualifier has been used, you are not expected to go through the qualifier priorities checklist to verify that the other designation was used as the last resort—but do check the punctuation and capitalization of the qualifier. Note that unlike terms of rank, honor, etc., qualifiers for profession, occupation, or  “other designations,” including educational degrees, should be in parentheses and are not preceded by a comma:
    • 100 1_ Sanderson, Maureen $c (Ph. D.)

      CAUTION: when creating new NARs, remember that the new RDA 9.6 and 9.19.1.2 instructions require that you only use the “other designation” as a last resort.
       

    • 100 1_ Yi, Chŏng-sun $c (Professor of theology)
    • Note that the BL Guide has a lengthy table of examples of Other Terms of Rank, Honour, or Office, and another lengthy table of Other Designations.
    • Under 9.19.1.2. (July 2013 update), 3 categories have been added as mandatory if applicable qualifiers:
      • e. term indicating person is named in scripture
      • f. fictitious character
      • g. type, species, breed

The major impact is on new headings since names in e.-g. were not established in NAF prior to RDA, but it could also apply in situations where a name in one of those categories was established as rda without the qualifier, e.g. Sherlock HolmesLocal policy: no clear guidelines on whether one updates a fictitious character heading without the qualifier retroactively; notify Rick if you run into this situation; will need to run it by our LC liaison. 

5. Is the pseudonym a name that conveys the idea of a person? If not, the name needs a qualifier. Also applies if the pseudonym is the only AAP.  Example: Oyster, $d 1945- should be Oyster $c (Poet), $d 1945- [in this example Oyster is a 400]. Keep in mind that for personal names, the date subfield $d is the last subfield in 100/400/700 with the exception of $c (Spirit) and $t in any expression (author/title/language) NARs. But do not make work or expression NARs at this time. See the Works/Expressions section.

6. Undifferentiated names. If your author is on an undifferentiated name authority record,

  • remove 667 [Author of ...] and the corresponding 670 that apply to your author
  • create a new authority record with an appropriate qualifier to differentiate your author
  • transfer any relevant information provided in the NAR for  the undifferentiated name to the new NAR
  • if this leaves more than one entity on the NAR for the undifferentiated name, leave the coding as AACR2; generally do not attempt to create new NARs for the remaining entities

If removal of the citation for your author results in an undifferentiated name authority record for a unique identity, double-check to make sure the NAR only has information pertaining to the remaining identity. Add a 667 with note: Last identity on undifferentiated record; reported for deletion. Notify Rick, who will report it to LC; LC will create a replacement NAR and delete the old record.

For full documentation refer to the revised Z1 page 008/32 Undifferentiated Personal Name on the PCC RDA site. 

7. See also General section (item 5.). Do not make unnecessary updates to the AAP when re-coding to RDA:

  • If an AAP for a personal name has been established without dates, record date information in 046 and 670 if readily available, but do not add the date or dates retroactively to the AAP. However, it is OK to add a death date if the AAP has already been established with a birth date. Or, if the AAP has been established with a death date but no birth date, it is OK to add the birth date. BFM is not necessary when “closing” an open date.
  • If a previously established NAR has a fuller form qualifier assigned even if there was no conflict at the time, leave it as is; add it to 378 (Phase 2 program probably did it anyway). In any case, you are not expected to recheck an AAP with a fuller form qualifier to verify that there is a conflict.
  • Some qualifiers in AACR2 are still mandatory in RDA, so they should not be removed (see 9.19.1.1; the “core if’ qualifiers are in 9.19.1.2. Note that 9.19.1.2 has exceptions where the “core if” qualifiers are not added, but these are generally OK to retain since re-examination of the sources would be needed. Adding “Saint” to an AAP for a pope, emperor, king, or queen is an error, so it would need to be corrected if used on a previously established NAR, but since this was already the rule in AACR2, you are unlikely to run into the situation.
  • Exception: a name established based on the form found on the thesis t.p. may be reviewed for predominant form in the author’s published works. However, updating is not mandatory. (PCC-at-large 2013)

Works and Expressions (Including Series)

  1. Local policy: in general, do not make or update NARs for translations and other types of expressions. If your bib record is not supported by an existing NAR coded as rda for your expression, code the bib record as rda but do not code it as pcc.
  2. Local policy. Does the AACR2 NAR’s AAP have 2 languages or Polyglot in $l? RDA bib records should never have dual language or Polyglot $l’s. The bib record should follow RDA/LCPS practice with separate entries for the original language expression and at least one other language expression; code the bib record as rda, but do not code it as pcc. But with regard to the NAF (local YUL policy):
    1. Leave the AACR2 NAR as is
    2. Do not make new RDA NARs for the individual language expressions
    3. Do not make a new RDA NAR for the work
    4. If a NAR has been made for any of the individual language expressions, and it has not been coded as rda, leave it as is (i.e., as AACR2)
  3. Local policy. If a NAR for the translation has already been established, but your translation has a different title, YUL policy does not recommended that you add a 4xx for the translation title to the NAR for the expression; Orbis should have no trouble retrieving via the manifestation title. If there is no NAR for the single language, do not create one and do not code the bib record as pcc.
  4. Local policy. If the AACR2 AAP uses $l Polyglot, make AAPs for your bib record for at least two languages (one of the AAPs should be for the original language if it is one of the resource’s languages). Leave the AACR2 NAR with Polyglot as is. Do not make NARs for the individual languages. Code the bib record as rda but do not code as pcc.
  5. Local policy. Consult with NCC if multiple SARs need to be made or updated for a bilingual series or the same series in different language editions. It is not clear whether the same practice is applied to a bilingual monographic series as opposed to two separate monographic series with the same content but different languages.
  6. Local policy. Adding a reference for issuing body in the SAR is not mandatory. Enter the information in 381 if it is not evident from the 670 (but then you need a $v for 381). If a name is entered in 381, follow RDA to the extent possible but if there is no NAR for the issuing body, don’t make one.
  7. For multipart series using creator/title AAPs and 4xxs, does the creator NAR need to be updated to RDA form? BFM may be necessary.
  8. Local policy. For bib records, assign expression AAPs using conventional collective titles as needed, following LC practice, but do not code the bib records as pcc. Do not make or revise expression level NARs for conventional collective titles at this time.
  9. Local policy. Until there is an authoritative decision on the part of PCC, follow LC practice and do not add qualifiers beyond language to AAPs for preferred titles on bib records, whether or not the preferred title is a conventional collective title. For example, do not add dates to conventional collective titles; do not add a translator or other version name to specific preferred title expression AAPs.  Also, again following LC practice, if another PCC library has created a NAF and has gone beyond the language with additional qualifiers, accept it.
  10. Note that these guidelines do not apply to expression-level AAPs for music resources and sacred scriptures; follow the specific RDA guidelines for these categories and create ARs as needed. [Music 6.28.3; Sacred Scriptures, 6.30.3]