Maxwell's Guide to Authority Work (Ala Editions)

M s axwell’ GUIDE TO Authority Work M s axwell’ GUIDE TO Authority Work RO B E RT L . M A X W E L L AMERICAN LIB...

Author: Robert L. Maxwell

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M

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axwell’ GUIDE TO

Authority Work

M s axwell’ GUIDE TO

Authority Work

RO B E RT L . M A X W E L L

AMERICAN LIBRARY ASSOCIATION Chicago and London 2002

While extensive effort has gone into ensuring the reliability of information appearing in this book, the publisher makes no warranty, express or implied, on the accuracy or reliability of the information, and does not assume and hereby disclaims any liability to any person for any loss or damage caused by errors or omissions in this publication. Cover by Dianne M. Rooney Project editor, Eloise L. Kinney Composition in Optima and Sabon using QuarkXPress 4.1 on a PC platform Printed on 50-pound white offset, a pH-neutral stock, and bound in 10-point coated cover stock by McNaughton & Gunn The paper used in this publication meets the minimum requirements of American National Standard for Information Sciences—Permanence of Paper for Printed Library Materials, ANSI Z39.48-1992. ⬁ Library of Congress Cataloging-in-Publication Data Maxwell, Robert L., 1957Maxwell’s guide to authority work / Robert L. Maxwell. p. cm. Includes bibliographical references and index. ISBN 0-8389-0822-5 (alk. paper) 1. Authority files (Information retrieval) I. Title: Guide to authority work. II. Title. Z693.3.A88 M39 2002 025.3⬘222—dc21 2002001326 Copyright © 2002 by the American Library Association. All rights reserved except those which may be granted by Sections 107 and 108 of the Copyright Revision Act of 1976. Printed in the United States of America. 06

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CONTENTS

ACKNOWLEDGMENTS

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GLOSSARY OF ACRONYMS

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1 Introduction 1 Headings 1 Authority Files 3 Why Do Authority Work?

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2 Standards Governing Authority Control 10 Standards for the Formulation of Headings 10 Names and Uniform Titles 10 Terms 11 Encoding Standards (MARC 21) 11 Variable Fields 12 Fixed Fields 18 The leader 18 The 008 field 20 RLIN and OCLC fixed field displays 29

3 Basic Authority Control Procedures 33 Work Flow When Establishing a Heading Changes to Established Headings 35 Creation of the Authority Record 37 The Heading 38 Sources 38 The 670 field 38 The 675 field 44

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CONTENTS

References 46 General principles 46 4XX fields 48 5XX fields 52 The 663 field 59 Other Parts of the Record The 010 field 61 The 040 field 64 The 053 field 64 The 083 field 66 The 667 field 66 Fixed-Length Data 69

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4 Authority Control of Names 71 Choice of Name 71 Personal Names 71 Corporate Names 74 Geographic Names 76 Name or Subject? 80 Names 81 Subjects 82 Names (events) 84 Subjects (events) 85 Form of Name 85 Personal Names 85 Undifferentiated names 87 Corporate Names 89 Omissions 89 Additions 90 Subordinate bodies 92 Geographic Names 93 Omissions 93 Additions 94 Changes to the form as found

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5 Uniform Titles: General Information 97 What Are Uniform Titles and What Are They Used For? 97 When Should a Uniform Title and a Corresponding Authority Record Be Made? 100 Choosing the Uniform Title 102 Creating the Authority Record 108 Authorized Heading 108 References 108

CONTENTS

Notes 111 Fixed Fields 111

6 Uniform Titles: Particular Problems 113 Collocation Techniques 113 Translations 113 Collective Titles 116 Laws and Treaties 119 Differentiation Techniques 122 Monographs 123 Standardized Qualifiers 125 Serials 126 Works Created before 1501 136 Manuscript Headings 138

7 Series: General Information 144 Definitions 144 Series 144 Analyzable Serials 146 Multipart Items 147 Relationship of the Bibliographic Record to the Series Authority Record 148 Identification of the Series 151 Choice of Entry 151 Sources of Information 152 Formulation of the Heading 153 Series Numbering 156 Change of Title 161 Series 162 Multipart items 166 Parallel Titles 166 Subseries 168 Subseries or not? 168 Establishment of subseries 169 Bibliographic record: main series unnumbered 171 Bibliographic record: main series numbered 171 Very generic terms as subseries 172 Supplements and special numbers to serials 173 Works of Personal Authorship in Series 174 Series-Like Phrases 179 Republications 184

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CONTENTS

8 Series Authority Records 188 Overview of the Series Authority Record 188 Detailed Treatment of MARC Authority Format Fields 190 The Heading: 1XX field 190 References: 4XX fields 191 Series entered under author: references from the title 192 Series entered under title: name-title references 193 Reference from other names 193 Title variants 194 Qualification of references 196 References: 5XX Fields 197 Numbering: 640-642 198 Identification of the Publisher: 643 200 The Library’s Treatment of the Series 201 Analysis (644) 201 Tracing (645) 202 Classification (646) 203 Notes 204 670 fields 204 675 fields 205 667 fields 205 Fixed Fields 206

9 Authority Control of Terms: Thesaurus Building 207 Equivalence Relationships 208 Hierarchical Relationships 210 Generic Relationships 210 Whole-Part Relationships 211 Instance Relationships 212 Interhierarchical Relationships 213 Associative Relationships 214 Descriptors within the Same Hierarchy 215 Descriptors Belonging to Different Hierarchies Choice of Descriptors 216

10 Authority Control of Terms: Subjects 219 Subject Thesauri 219 Library of Congress Subject Headings 220 Choice of Term 221 Geographic Names Established as Subjects Latest Entry 225 Hierarchy in LCSH 226

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CONTENTS

Subdivision Practice 227 Independent establishment of headings containing subdivisions 229 Free-floating subdivisions 230 Pattern headings 232 Geographic subdivision 234 Order of subdivisions 236 MARC Subject Authority Records 237 Fixed Fields 237 Heading 238 References 239 Library of Congress Control Number 239 Library of Congress Classification Number 239 Cataloging Source 240 Citation of Sources 240 Scope Notes 240 Form of Geographic Subdivision 240

11 Authority Control of Terms: Genre/Form 242 Use of Approved Thesauri 242 Prominent Thesauri Containing Genre/Form Terms 243 Multiple Thesauri in a Single Database 245 MARC Coding of Genre/Form Term Authority Records 249 Variable Fields 249 Fixed Fields 251 Creation of Records Based on Existing Records 251 Subfield ‡2 253

12 The Library and Beyond 255 Sources of Authority Records 255 The Utilities 255 The Library of Congress 256 Outsourcing 257 Cooperative Cataloging Programs 258 The Program for Cooperative Cataloging (PCC) 258 NACO (Name Authority Cooperative Program) 259 SACO (Subject Authority Cooperative Program) 259 BIBCO (Bibliographic Record Cooperative Program)/ CONSER (Cooperative Online Serials Program) 260 Maintenance of the Library’s System 261 Conclusion 263 INDEX

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ACKNOWLEDGMENTS

Many individuals helped me to write Maxwell’s Guide to Authority Work. Thanks go to Carla Kupitz, head of the Catalog Department at Brigham Young University’s Harold B. Lee Library, for constant encouragement and prodding to “get that book done!” Other members of the department also helped, either by reading sections or giving advice, including Shannon Hoffman, Rachel Wadham, and John Wright. I am particularly grateful to Margaret F. Maxwell, who read the penultimate draft of the manuscript and offered much helpful criticism. Finally, I give thanks to my wife, Mary Ann Maxwell, and children, Carrie, Rachel, William, and David, for constant support and understanding during the Saturdays and evenings I was at the office writing about authority work instead of home. This book is dedicated to them. ROBERT L. MAXWELL Harold B. Lee Library Brigham Young University Provo, Utah

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AACR2 Anglo-American Cataloguing Rules, 2nd ed., 1998 revision (Chicago: American Library Association, 1998). AAT Art and Architecture Thesaurus, 2nd ed. (New York: Oxford University Press, for the Getty Art History Information Program, 1994), also available at . ALA

The American Library Association.

ANSI

American National Standards Institute.

BIBCO

The Bibliographic Record Cooperative Program. See chapter 12.

CONSER

The Cooperative Online Serials Program. See chapter 12.

DCM Descriptive Cataloging Manual: Z1, Name and Series Authority Records, available outside the Library of Congress only on Cataloger’s Desktop. GSAFD Guidelines on Subject Access to Individual Works of Fiction, Drama, Etc., 2nd ed. (Chicago: American Library Association, 2000). IFLA International Federation of Library Associations. LC

The Library of Congress.

LCCN

Library of Congress Control Number.

LCRI, LCRIs Library of Congress Rule Interpretations, 2nd ed. (Washington, D.C.: Library of Congress, Cataloging Distribution Service, 1990, with periodic loose-leaf updates). LCSH Library of Congress Subject Headings (LCSH), 24th ed. (Washington, D.C.: Library of Congress, Cataloging Distribution Service, 2001). MARC, MARC 21 Machine-Readable Cataloging. The system of encoding catalog records in electronic form.

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MeSH Medical Subject Headings (Bethesda, Md.: National Library of Medicine, 1960- [annual edition]). NACO

The Name Authority Cooperative Program. See chapter 12.

NAF The Name Authority File, also known as the National Authority File or Anglo-American Authority File (AAAF). NISO

National Information Standards Organization.

OCLC The OCLC Online Computer Library Center, one of the two main bibliographic utilities (see also RLIN). See chapter 12. OPAC PCC

Online Public Access Catalog. The Program for Cooperative Cataloging. See chapter 12.

RLIN The Research Libraries Information Network, one of the two main bibliographic utilities (see also OCLC). RLIN is operated by the Research Libraries Group (RLG). See chapter 12. SACO SAF

The Subject Authority Cooperative Program. See chapter 12. The Subject Authority File.

SCM Subject Cataloging Manual: Subject Headings, 5th ed. (Washington, D.C.: Library of Congress, Cataloging Distribution Service, 1996, with periodic loose-leaf updates). URL Uniform Resource Locator. The “address” of a page on the Internet. WLN

The Western Library Network.

Z39.19 Guidelines for the Construction, Format, and Management of Monolingual Thesauri (Bethesda, Md.: NISO Press, 1994), an ANSI/NISO document numbered Z39.19. See chapter 9.

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Authority work is so called because it deals with the formulation and recording of authorized heading forms in catalog records. As an aid to the user, names and other headings that are access points to records are given one and only one conventional form. Thus, in English-language cataloging, Mark Twain will always be identified as “Twain, Mark, 18351910” on access points to records for that author’s fiction, no matter how his name appears on the item.1 Pop star Madonna is identified as “Madonna, 1958- ,” not “Ciccone, Madonna Louise Veronica, 1958- .” The Roman author Livy will always be “Livy” in access points, even though a French translation of his work might identify him as “Tite-Live.” Books about UFOs will always be given the subject heading “Unidentified Flying Objects” under the Library of Congress scheme, never “UFOs” or “Flying saucers.” In cataloging using Guidelines on Subject Access to Individual Works of Fiction, Drama, Etc. (GSAFD), a murder mystery in prose form will be given the genre/form term “Mystery fiction,” not “Murder mysteries.” This is known as “controlled vocabulary,” and its purpose is to ensure consistency in the catalog so that the catalog user has to search under one and only one heading to find records associated with names, subjects, and other access points.

HEADINGS Headings must not only be consistent, they must also be unique. Madonna’s name is distinguished from that of the Madonna, the mother of Jesus, by adding a date of birth; the mother of Jesus’ name is also given in a different form, “Mary, Blessed Virgin, Saint” (with a reference from “Madonna, The”). The terms “Blessed Virgin, Saint” in Mary’s authorized name form are not part of Mary’s name—Mary certainly never

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INTRODUCTION

called herself by those titles—rather, they distinguish this Mary from other Marys with no surname—for example, Mark’s mother, whose form is “Mary (Mother of John Mark)” or Mary of Magdala, “Mary Magdalene, Saint.” Further, these various Marys must be distinguished from ships called Mary (for ships are also given access points, as subject headings and as authors in certain cases). These ships are distinguished from the women and each other by parenthetical qualifiers: “Mary (Ship : 1799-1800),” or “Mary (Ship : 1860-1865),” or “Mary (Schooner),” or “Mary (Sloop).” Ships are considered corporate bodies and are distinguished from each other under the rules for such bodies. Corporate bodies, like persons, sometimes give their names in different forms; and like persons, there are sometimes more than one with the same name. Thus, like other access points, corporate names must also be both consistent and unique. There are numerous entities calling themselves simply “The Historical Society.” To distinguish between them, catalog records dealing with the one in Schenectady, New York, will use the heading “Historical Society (Schenectady, N.Y.)” while those that record an item produced by a similar society located in Ohio will use the heading “Historical Society (Vinton County, Ohio),” even though neither of these bodies uses the location in its name. On the other hand, an organization in Thailand sometimes calling itself “Historical Society” usually uses the Thai form of its name, and so it will be known in catalog records as “Samakhom Prawattisat ¯ ¯ (Thailand),” not “Historical Society (Thailand).” The Historical Society in Japan also sometimes calls itself “The Society of Historical Research,” but again its Japanese name will be used under catalog rules for corporate bodies. Yet even here a choice must be made between several forms, and only one is chosen for use in catalog entries. In this case, the form is “Shigaku Kenky¯ukai (Japan),” even though it also sometimes calls itself “Shigaku Kenkyu-kwai.”2 In addition to names, subjects, and form terms, titles may also be controlled using the same process and for the same reasons. Copies of the Bible will be found under “Bible,” not “Holy Bible” or “Sacra Biblia.” Although an individual copy of Twain’s Tom Sawyer might have any of a number of wordings on its title page, if the title is placed under authority control, it will take the form “Twain, Mark, 1835-1910. Adventures of Tom Sawyer,” gathering all manifestations of the work under a single heading. Translations are similarly gathered by the addition of the name of the language of translation. The Hungarian translation of Tom Sawyer titled Tom Sawyer kalandjai will be gathered with other manifestations of the book under the heading “Twain, Mark, 1835-1910. Adventures of Tom Sawyer. Hungarian.”3 The form of a title that has been placed under authority control is called its “uniform title.” A uniform title can consist of a title alone (“Bible”), or can be an author-title combination (“Twain,

INTRODUCTION

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Mark, 1835-1910. Adventures of Tom Sawyer”); it might thus better be called something like “uniform work heading.” The conventional phrase “uniform title” will be used in this book to refer to both types of headings. We are dealing here with access points, not description. The rules for forming name and uniform-title headings are found in AACR2 (AngloAmerican Cataloguing Rules, 2nd ed.), part II; subject and genre heading schemes follow the rules of their own lists or thesauri. These rules will be discussed in the following chapters. Forms found in descriptive portions of the record, particularly the transcribed fields (title/statement of responsibility, publication information, edition, and quoted notes), are not changed to match authorized forms. The title page of a 1958 edition of Tom Sawyer reads THE ADVENTURES OF TOM SAWYER BY SAMUEL L. CLEMENS With biographical illustrations and drawings from the early editions of the book together with an introduction by Louis B. Salomon NEW YORK • DODD, MEAD & COMPANY

This will be transcribed, in the title portion of the record, The adventures of Tom Sawyer / by Samuel L. Clemens ; with biographical illustrations and drawings from the early editions of the book together with an introduction by Louis B. Salomon.

not The adventures of Tom Sawyer / by Mark Twain . . .

even though the access point for the author is “Twain, Mark, 18351910.” Transcribed portions are copied exactly with only a few prescribed changes to the text found in the item. Access points, however, are made to conform to a single and unique form. This book deals only with procedures for forming and recording access points, not with descriptive portions of the record.4

AUTHORITY FILES Authority work consists of more than formation of uniform access points. It also comprises a record-keeping function. There is usually room for cataloger judgment in the choice of form for a given name or subject, so different catalogers might arrive at differing headings for the same name. A simple case is the addition of dates to a name heading. AACR2 22.17

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instructs the cataloger to add dates if one name heading is otherwise identical to another, giving the option of adding dates when they are known even if there is no need to distinguish between headings. The Library of Congress, followed by most North American libraries, follows this option. Obviously, however, dates will only be added if the cataloger knows them. Cataloger A might get a copy of Orson Scott Card’s Ender’s Game, and, seeing the form of the name on the title page “Orson Scott Card,” formulate the heading “Card, Orson Scott.” Cataloger B might catalog the same book but have the information that the author was born in 1951, forming the heading “Card, Orson Scott, 1951- .” Which is correct? In fact, either form is correct under current cataloging rules. Which form, then, should the cataloger choose? If no record has been kept of earlier decisions, the only way to choose will be to look at a library’s bibliographic records and see what might have been used in the past.5 This may work in most cases, but a more efficient method is to keep a separate record of decisions made, so that catalogers don’t need to redo the work each time a heading is needed. These records make up a database or file usually referred to as an “authority file.” Most individual libraries that do authority work keep their own authority files. However, something more than local authority files is needed if libraries are to contribute to national and international union databases such as RLIN (Research Libraries Information Network) and the OCLC Online Computer Library Center. Cooperative authority programs, particularly the Program for Cooperative Cataloging (PCC), will be discussed in chapter 12. These authority record-producing programs contribute to an international database of authority records normally called the Name Authority File (NAF) but also referred to as the National Authority File (NAF) or the Anglo-American Authority File (AAAF). Because libraries like to record local decisions in their own authority records and prefer not always to be bound by decisions made by other libraries, most will maintain their own authority file, which will differ more or less from the NAF. One library, the Library of Congress, uses the NAF as their “local” authority file. In our age of cooperative cataloging, it is foreseeable that other libraries will also choose to use the NAF as their local file, particularly libraries participating in the PCC/BIBCO (Bibliographic Record Cooperative Program) program, which requires records produced under its auspices to conform to NAF forms. This is made possible because individual libraries participating in the PCC/NACO (Name Authority Cooperative Program) program (which includes all PCC/BIBCO libraries) contribute to and correct existing records in the NAF. Libraries that depend heavily on outsourcing of authority work are another group that will likely move toward using the NAF as their local file (see chapter 12). In addition to formulation of headings in accordance with mutually accepted rules, authority work involves the recording of decisions so made

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in an authority file. The authority record contains the chosen heading and also cross-references that lead the user of the catalog (and the user of the authority file) to the authorized form. Thus, in a library catalog containing an authority record for Mary the mother of Jesus, a user who instead entered the query “Virgin Mary” would probably see a display something like the following:6 Virgin Mary search under Mary, Blessed Virgin, Saint

The user then does the search again to find items related to Mary. Some systems might instead simply take the user to the proper point in the catalog without requiring a new search under “Mary, Blessed Virgin, Saint.” In either case—whether the search is redone by the user or the machine automatically redirects the search—getting to the authorized form is only made possible by the presence in the catalog of an authority record containing a cross-reference for the attempted but unauthorized form. In addition to its function of recording authorized forms and crossreferences, authority records contain much other information of use both to the library patron and the librarian. It is the authority record, for example, that records treatment decisions for series: Does the library keep all items in a series in a single call number or does it scatter the series according to the subject of the individual item? For that matter, does a library make headings for the series at all in bibliographic records? This sort of information is recorded in the authority record. Authority records also contain messages that might display added information to the patron. For example, in the Brigham Young University Library’s catalog, if a patron enters the subject search “Manuscripts, Renaissance—Specimens,” he or she is given the message “For Renaissance manuscripts held by the Harold B. Lee Library, search the genre/ form index under Manuscripts, Renaissance.” When this same user reexecutes this search in the genre/form index, he or she will find entries for the manuscripts themselves but may also view the message “The genre/ form term Manuscripts, Renaissance is used for all early manuscripts determined to have been created after 1350 which are collected in the Harold B. Lee Library.” Such messages that display to the catalog user are contained in and produced by authority records. These records also contain information inappropriate for display to the public but necessary to the cataloger. For example, a full authority record contains notes justifying the choice and form of the heading. Just as a good article or book will cite its sources of information, so a cataloger will cite the source of information both for the form of the name (which may come from the title page of a book) and for other information, such

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INTRODUCTION

as dates of birth and death (which might come from a reference source), as well as information that might not contribute to the heading itself, such as the person’s occupation or the location of a corporate body. All this information may prove valuable later, particularly to catalogers, who must determine among many persons or bodies of the same name which heading applies to the item being cataloged.

WHY DO AUTHORITY WORK? A persistent charge leveled against the consistent performance of authority work by a library’s catalogers is that it is too expensive; that the extra, and costly, effort does not warrant the benefits derived; and that it slows down the cataloging process in an era where instant results are expected. There is no question that it costs more to have catalogers check headings against authorized forms and formulate authority records if no authorized form is found than it would simply to have them skip these steps. It certainly costs a library more to hire librarians whose primary function is authority control and database maintenance than it would not to hire them. There is also no question that an individual item likely would be processed more quickly if no thought were given to authority control. So these concerns are legitimate. But consider the cost of not placing a bibliographic file under authority control. What would a catalog be like if no attempt at authority control were made? Speaking only of the headings (the access points), catalogers would use whatever forms they thought sensible when cataloging an item. A video of a Madonna performance might have as its access point “Madonna” if that name was found on the box. On the other hand, her biography might be given the heading “Ciccone, Madonna” if the cataloger discovered by skimming the book that that was Madonna’s birth name. A study of Jesus’ mother might also be given the heading “Madonna.” More probably “Mary” would be chosen, but the same heading might also be chosen for a study of the schooner Mary or Mary Magdalene. The cataloger of the first Mary might realize the need to distinguish between these three Marys and so might choose to give the record the heading “Saint Mary” or “Mary, mother of Jesus” or “Blessed Virgin Mary,” depending on how her name was given in the item, but without authority work, the next time a book about this same Mary arrived in the library, the name would very likely be given a different form. Books by Mark Twain might be entered under “Twain, Mark” or “Clemens, Samuel” depending on the wording of the title page. The result would be chaos. Less expensive? Yes, at least to the library’s catalog department. On the other hand, consider the expense to the user of the catalog.

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Without authority control the burden is placed on the user to think of all the possible forms a cataloger might have used to give access in the catalog to a given author or subject. This might not be so difficult in the case of Mark Twain—if the user is reasonably well educated—but what about Mary? Each user will have to expend a considerable amount of effort each time a given name or subject is sought thinking up possible forms; this complex search will have to be reinvented each time it is performed, instead of the relatively simple expectation that the user discover the single authorized form and then use it in his or her search.7 Many users would quickly give up in disgust, with resultant ill will toward the library because of the state of its catalog. Over time this reiterated effort by different users to find a given name or subject will more than offset the initial gain realized by the catalog department; if time is money, the users will have spent a great deal more of it than they should have finding materials not under authority control than the catalog department ever saved by ignoring this step in the process. The library is simply passing an expense on to its users that it should have covered itself in the first place. The result of users realizing this has happened is even more ill will toward the library. And consider the cost to the library itself. Without authority control, the same difficulties imposed on library patrons will also be imposed on the library’s acquisitions department. One of the normal functions of such a department is to ensure that the library not buy unwanted duplicates of items already owned. But if acquisitions personnel cannot find records for items owned by the library because the library has not used good authority practices, more than likely needless duplicates will be ordered, an added expense to the library that could have been avoided.8 Worse, subject selectors trying to build up collections in certain areas will have great difficulty determining the scope of their collections without authority control. For example, should the library have decided to collect Madonna items comprehensively, and the catalog contains inconsistent access points to the singer, subject selectors are going to waste a great deal of time figuring out all the possible entry points needed to search—and even then will never be quite sure they have found them all. For more than a century the fundamental objects of the catalog have been twofold: to assist the user to find a known item and to give an intellectual overview of a library’s holdings. This last object is accomplished through the collocation function of the catalog. That is, everything by a certain author or on a given subject (to name a few collocation points) should be gathered in the catalog under a single heading or access point of some sort.9 Finding a known item in a library’s catalog is usually quite easy using current keyword or title browsing strategies and does not necessarily require authority control. But the gathering function of the catalog does require that the gathering points be consistent and unique—that is, they must consist of a controlled vocabulary. Thus, another cost to the

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library of not performing authority control is the abandonment of this important feature of its catalog. Although there is a cost involved in setting up and maintaining an authority control system, there are also savings in terms of database maintenance. Most systems these days allow global change of headings by which large blocks of identical headings can be changed all at once in all affected records, rather than one at a time. Global change, however, usually requires a functioning authority structure underlying the database, so that when authorized forms are changed in authority records the corresponding forms in bibliographic records automatically change. NOTES 1. All authority forms used in this book are given as found in the Name Authority File (NAF) at the time of publication. Quotation marks in the examples and final punctuation (e.g., commas or periods) are not part of the authorized form. 2. Only romanized forms, such as “Shigaku Kenkyu-kwai,” are currently being used in MARC (Machine-Readable Cataloging) authority records. Vernacular capabilities are being developed but have not yet been implemented. 3. The book will also be accessible in the catalog under its Hungarian title. However, if the library chooses to place the title under authority control, the heading will be formed as shown. 4. Rules for description are found in part I of AACR2 (chapters 1-13). For an explanation of these rules, see Robert L. Maxwell with Margaret F. Maxwell, Maxwell’s Handbook for AACR2R: Explaining and Illustrating the AngloAmerican Cataloguing Rules and the 1993 Amendments (Chicago and London: American Library Association, 1997). 5. A “bibliographic record” is a catalog record for a “bibliographic item” that a library might own or have access to, such as a book, sound recording, video, or database. The term “bibliographic record” is used in this book in contrast to the term “authority record,” which records forms of headings, not of bibliographic items. 6. Displays are controlled locally and depend on a library’s own policies and the library system it uses. Displays shown in this book follow the most commonly used formats. 7. A recent article notes that “the present authority control mechanism is expensive to set up, expensive to maintain and expensive to use,” and then advocates the notion that the user should be able to enter any form of any name and then be sent to the proper records in the catalog without being redirected to a “correct” form (“the cataloguer must not dictate the preferred heading”). This is certainly a noble ideal, but it seems likely that implementation would cause the “present authority control mechanism” to become even more expensive, requiring that authority records (which would certainly be required to accomplish such a task) contain links from every possible permutation of a heading, something they do not now contain. See F. H. Ayres, “Time for Change: A New Approach to Cataloguing Concepts,” Cataloging & Classification Quarterly 28, no. 2 (1999): 9.

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8. For a recent study of one aspect of this problem, see Tschera Harkness Connell, “Effects of Series Authority Control for Acquisitions,” Library Acquisitions: Practice & Theory 22 (1998): 393-407. 9. These objects were set out by Charles A. Cutter in his Rules for a Dictionary Catalog: the objects of the catalog include “1. To enable a person to find a book of which either (A) the author, (B) the title, [or] (C) the subject is known. 2. To show what the library has (D) by a given author, (E) on a given subject, (F) in a given kind of literature.” They were reiterated in the Statement of Principles formulated at the 1961 International Conference on Cataloguing Principles. See Cutter’s Rules for a Dictionary Catalog, 4th ed. (Washington, D.C.: Government Printing Office, 1904), reprinted in Foundations of Cataloging: A Sourcebook, ed. Michael Carpenter and Elaine Svenonius (Littleton, Colo.: Libraries Unlimited, 1985), p. 67; and International Conference on Cataloguing Principles, Paris, 1961, Statement of Principles, ed. Eva Verona (London: IFLA Committee on Cataloguing, 1971), reprinted in Foundations of Cataloging, p. 179. See also section 7 (Basic Requirements for National Bibliographic Records) in IFLA Study Group on the Functional Requirements for Bibliographic Records, Functional Requirements for Bibliographic Records (Munich: Saur, 1998), p. 97-98.

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STANDARDS GOVERNING AUTHORITY CONTROL

STANDARDS FOR THE FORMULATION OF HEADINGS Names and Uniform Titles The fundamental document for cataloging in the English-speaking world is the Anglo-American Cataloguing Rules, 2nd ed. (AACR2).1 It therefore seems odd that authority work and authority control are not specifically referred to anywhere in the code.2 However, authority work is unquestionably implicit in AACR2. Most of part II concerns the rules for the form of name and uniform-title headings. These rules are formulated as though the heading needed for a given item is always being formed for the first time, not acknowledging the universe of headings already in use, but certain requirements of part II mandate authority work without saying so, particularly the requirements to make references. Rules for references are liberally sprinkled throughout part II, and chapter 26 is devoted entirely to them. When we are told, for example, to “make a see reference from a form of the name . . . that might reasonably be sought to the form that has been chosen” (26.1B1), we are being instructed to impose an authority structure on the catalog. See references are not a part of the bibliographic record for an individual item, but they are a part of the authority record for the heading. If AACR2 is not explicit, the Library of Congress Rule Interpretations of AACR2 (LCRIs) are.3 Indeed, the four-paragraph introduction to the LCRIs mentions authority records and the authority file seven times, and throughout the LCRIs to AACR2 part II the cataloger is frequently instructed to “establish” heading forms by constructing authority records. Although the LCRIs originated as the Library of Congress’s policy manual recording its own cataloging practice, they have with the advent of cooperative cataloging programs become a standard of national practice and indeed are now taking on an international dimension. In its own

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words, “It is incumbent upon the Library of Congress to make decisions to provide common practice in order to share bibliographic and authority records for the common good” (LCRIs introduction). An additional document governing authority work in the United States is the NACO Participant’s Manual.4 This manual outlines the policies and procedures followed by contributors to the Name Authority File (NAF). Finally, the Library of Congress’s Descriptive Cataloging Manual gives details beyond those contained in the LCRIs for the creation and updating of authority records.5 These four documents form the basis for authority work for names and uniform titles in North America and will be discussed in detail in chapters 4 to 8.

Terms The basic standard for the formation and use of descriptive terms (e.g., subjects or genre/form terms) is ANSI/NISO Z39.19, Guidelines for the Construction, Format, and Management of Monolingual Thesauri (Bethesda, Md.: NISO Press, 1994).6 Additionally, individual thesauri or word lists have their own rules and standards. Particularly important for North American authority work for descriptive terms is Library of Congress Subject Headings and the Library of Congress’s Subject Cataloging Manual.7 These will be discussed in detail in chapters 9 and 10.

ENCODING STANDARDS (MARC 21) All examples in this handbook are given in MARC 21 authorities format. The acronym MARC stands for Machine-Readable Cataloging, and “MARC 21” is the name of the current publication of those standards.8 MARC was originally developed in the 1960s for the recording of bibliographic records in machine-readable form, but several other formats developed, including an authorities format. The storage of authority data in machine-readable form has obvious advantages over card files, including ease of manipulation of the data, flexibility of displays, and enhanced abilities to search, but it also opens the possibility of sharing of authority data between libraries, thus lowering the expense of this important task. The large international databases of library catalog records, including RLIN (Research Libraries Information Network) and the OCLC Online Computer Library Center (OCLC), also contain two common databases of authority records called the Name Authority File (NAF), as noted in chapter 1, and the Library of Congress’s Subject Authority File (SAF). These common databases were only made possible with the advent of the MARC format for authority records.

12


Currently, there is more than one MARC format for authority records. In addition to MARC 21, which itself represents the convergence of the earlier USMARC and CAN/MARC formats, there also exists a UNIMARC format.9 There also exist other national versions.10 The lack of a single internationally agreed-upon format poses obvious difficulties for largescale exchange of data. Although mechanisms exist for the conversion from one version to another, these represent an intermediate step that sometimes results in loss or corruption of data. International efforts are under way to move toward a single standard, and indeed the production of MARC 21 represents the result of one of those efforts. In the meantime, MARC 21 is the standard being used in the largest of authority databases, the NAF, and is the standard described here. In this book, MARC 21 will simply be referred to as MARC.

Variable Fields MARC authority records consist of two parts: variable-length data and fixed-length data. The variable portion of a MARC authority record is divided into “fields,” themselves divided into “subfields.” MARC authority fields are labeled by three-digit numbers, potentially ranging from 001 to 999, though not all possible numbers have been used. This number is called a “tag.” Following the tag, the field contains two numeric digits called “indicators.” Each indicator may either be blank or contain a number from 0 to 9. Indicators tell something about the contents of the field and often control the data in some way. For example, in some fields certain indicator combinations cause the system to skip characters in the data for filing purposes, in order not to index on articles. The remainder of the field contains the data, which are divided into subfields. Subfields contain data elements that may be subject to separate manipulation and are marked by minuscule letters or numbers, giving a potential of thirty-six possible subfields, although again, no field actually uses all thirty-six possibilities.11 Each subfield is preceded by a delimiter mark (shown in this book by a double dagger, “‡”) and its corresponding letter or number, which tells how the subfield is being used in the field. This system has possibilities for becoming extremely complex, but it has been organized in such a way that it incorporates a number of mnemonic devices to help the cataloger remember the field tags, indicators, and subfields. Furthermore, the authorities format is much simpler than the bibliographic format, because there are generally fewer types of data stored in authority records than in bibliographic records. In the following discussion, the letter X in a field tag represents any number from 0 to 9. For example, 1XX could represent 100, 111, 130, etc.; X11 could represent 111, 411, 511, etc. The use of X in this way is made possible by the fact that certain digits have common characteristics.


13

The 999 possible MARC authority tags are divided into groups of 100. Fields 001–008 are control fields and contain fixed-length character strings (described below). Other 0XX fields contain numbers and codes. The most commonly found fields of this type in authority records are 010 (the Library of Congress control number), 035 (System control number, typically giving a control number for the record in another database), 040 (Cataloging source, containing the MARC symbol of the library or libraries that created or contributed to the record),12 050 (Library of Congress call number used on series classed together), and 053 (Library of Congress classification number, commonly found on headings for literary authors and subjects to give the cataloger a base on which to build the call number for an individual work). For an authority record containing an 040 and an 053 field, see figure 2-1.13 In this figure, DLC is the Library of Congress’s symbol. The 053 field shows that books about unicorns are generally classified at GR830.U6 using the Library of Congress’s classification scheme. 1XX fields record the authorized form of the heading.14 Because there can only be one authorized form, there will never be more than one 1XX field in a record.15 See figure 2-1. 2XX and 3XX fields are used for complex subject references that cannot be given using 4XX or 5XX fields and typically give catalogers information about how to use or subdivide the subject heading or direct them to another heading if appropriate. See figure 2-2. 4XX fields are called “See from tracing fields.” They contain forms of the heading that were not chosen as the authorized form but that might be sought by a catalog user. They typically generate messages to the user such as “For X search under Y” or in some systems seamlessly redirect the user to records containing the authorized heading. In figure 2-3, users searching under the terms given in the 400 fields will be directed to the form in the 100 field. FIGURE 2-1

040 053 150

‡a DLC ‡c DLC ‡a GR830.U6 ‡a Unicorns

FIGURE 2-2 150 360

Cataloging source, LC classification number, and authorized heading (topical term)

Complex subject reference describing subdivision practice

‡a Firearms ‡i subdivision ‡a Firearms ‡i under armies, navies, etc., e.g. ‡a United States. Army-Firearms; United States. Navy--Firearms

14


FIGURE 2-3 100 0 400 0 400 0 400 0

See from tracing fields

‡a Mary, ‡c Blessed Virgin, Saint ‡a Maria, ‡c Blessed Virgin, Saint ‡a Virgin Mary, ‡c Saint ‡a Madonna, The

5XX fields, “See also from tracing fields,” contain headings related to the authorized heading. Typical examples include various pseudonyms used by a single author, earlier and later forms of a corporate body’s name, or broader and narrower subject terms. Headings found in 5XX fields are always authorized headings themselves, having their own authority record. They typically generate user messages such as “For information related to C, search also under D.” In figure 2-4, the author uses a pseudonym in addition to her real name; either is used for headings in catalog records, as appropriate. Users searching under one form will be directed to search as well under the other form for all of the author’s works. 6XX fields contain notes of various types. 64X fields contain information about a series: Who is the publisher? Does the library catalog each item in the series individually or are all items collected on a single record? Is the series name to be indexed (e.g., in the system’s title index)? Are all items in the series classified in a single number, or are individual items classified separately according to their subject? How should it be numbered in the record (e.g., if one item in a map series gives the numbering “Chart 1” and the next abbreviates “Cht. 2,” which should be used on the record)? See figure 2-5. The record illustrated in this figure shows that the series is published by Brepols (643 field); that it is FIGURE 2-4 100 1 500 1

See also from tracing fields

‡a Eberhardt, Anna ‡a White, Tiffany

FIGURE 2-5

Series treatment

050 0 ‡a BR60 ‡b .C49 130 0 ‡a Corpus Christianorum. ‡p Series Latina 642 ‡a 62 643 ‡a Turnholti ‡b Brepols 644 ‡a f 645 ‡a t 646 ‡a c


15

numbered without a preceding abbreviation such as vol. (642 field); that each item in the series is cataloged separately (code “f” in 644, for “fully analyzed”); that the series is indexed (code “t” in 645, for “traced”—the series is to be entered in the bibliographic record in one of the indexed fields, 440 or 830); and that it is classified together (code “c” in 646) at LC call number BR60.C49 (050 field). For further information, see chapters 7 and 8. 663-666 fields contain references for names that are too complicated to be taken care of with 4XX or 5XX fields. For example, the record for Charles Dodgson contains a 663 field, which displays to the user: “For literary works of this author, search also under Carroll, Lewis, 1832-1898,” and the 663 field in the record for his alter ego Lewis Carroll displays: “For mathematical works of this author, search also under Dodgson, Charles Lutwidge, 1832-1898.” See figure 2-6. 667-68X fields contain various other kinds of notes. For example, the record for Charles Dodgson also contains the following 667 field (“nonpublic general note”) instructing the cataloger not to use the heading in a subject field (see figure 2-6). The most common note in this category is 670 (“source data found”), where the cataloger justifies the choice and form of heading or reference in the authority record by citing the source of his or her information. See figure 2-7. The 670 field in this record indicates that the cataloger found the form of the name on the label of the 1997 sound recording We Sing of Christ. 7XX fields contain “linking entries,” which provide a machine link between “equivalent headings.” For example, the library may have headings from two different thesauri that may conflict at some points,16 or a bilingual library might have different forms depending on the language of the work.17 These fields connect the equivalent headings between the various FIGURE 2-6 100 1 500 1 663 667

‡a Dodgson, Charles Lutwidge, ‡d 1832-1898 ‡w nnnc ‡a Carroll, Lewis, ‡d 1832-1898 ‡a For literary works of this author, search also under ‡b Carroll, Lewis, 1832-1898. ‡a SUBJECT USAGE: This heading not valid for use as a subject. Works about this person are entered under Carroll, Lewis, 1832-1898.

FIGURE 2-7 110 2 410 2 670

Complex name reference fields

Source of data note

‡a Brigham Young University Singers ‡a Brigham Young University. ‡b Brigham Young University Singers ‡a We sing of Christ [SR], p1997: ‡b label (Brigham Young University Singers; Ronald Staheli, conductor)

16


thesauri, or in complex systems they may link separate authority files. Linking entry fields will not be treated in this handbook because they are not commonly used yet. 8XX fields are a kind of “catchall” for anything that doesn’t fit in the other categories. There are currently two 8XX fields: 856, which contains the Uniform Resource Locator (URL) and other information about access to information in electronic form that may be connected with or related to the authority record, and 880, which contains alternate graphic representations of other fields in the record. For example, an 880 field might contain a non-Roman (e.g., Hebrew or Japanese) representation of the 1XX field, allowing systems to display using non-Roman character sets. This capability is not yet being used in national-level authority records. Not all of these fields are commonly used. The most common variable fields in authority records are 040 (source of cataloging), 1XX (heading), 4XX (see from references), 5XX (see also from references), and 670 (note for source data). In addition to the division of the 999 numbers into blocks of related fields, certain mnemonic devices cross the blocks. In the 1XX, 4XX, 5XX, and 7XX fields, the second and third digits of the tag have parallel meanings. The most common of these follow: X00 signifies a personal name. For example, a 100 field contains the authorized form of a personal name (see figures 2-3, 2-4, and 2-6). An X00 field may also contain an author-title combination for uniform titles associated with a personal author (see figure 2-8). X10 signifies a corporate name. A 410 field contains an unauthorized form of a corporate body’s name (see figure 2-7). X11 signifies a meeting or conference name. A 511 field contains a related authorized form of a meeting or conference name (see figure 2-9). X30 signifies a uniform title not linked to an author. A 130 field contains the authorized form of a uniform title (see figure 2-10). Because

FIGURE 2-8 100 1 400 1

‡a Twain, Mark, ‡d 1835-1910. ‡t Adventures of Tom Sawyer ‡a Twain, Mark, ‡d 1835-1910. ‡t Tom Sawyer

FIGURE 2-9 111 2 511 2

Author-title uniform title

Conference name

‡a International Conference of the North American Fuzzy Information Processing Society ‡w a ‡a Conference of the North American Fuzzy Information Processing Society

STANDARDS GOVERNING AUTHORITY CONTROL FIGURE 2-10

17

Uniform title

130 0 ‡a Bible. ‡p O.T. ‡l Hebrew. ‡s Leningrad Codex 530 0 ‡a Leningrad Codex 667 Heading represents the textual contents of the Leningrad Codex. For the manuscript as a physical entity, including its decoration, use: Leningrad Codex.

series titles are treated as uniform titles, those unconnected with an author are also found in X30 fields in authority records (see figure 2-5). X50 signifies a topical subject term. A 450 field contains an unauthorized form of a topical subject term (see figure 2-11). X51 signifies a geographic name. A 551 field contains a related authorized form of a geographic name (see figure 2-12). Because under AACR2 the geographic name is the same as the corporate name for the country or jurisdiction encompassing the geographic area, the corporate form of a jurisdiction is recorded in an authority record in the X51 field (see figure 2-13). X55 signifies a genre/form term. A 155 field contains the authorized form for such a term (see figure 2-14). FIGURE 2-11 150 450

‡a Infants ‡a Babies

FIGURE 2-12 151 551 551

‡a ‡a ‡a ‡a

Geographic name––political entity

United States U.S.A. USA US

FIGURE 2-14 155 455

Geographic name

‡a Eurasia ‡a Asia ‡a Europe

FIGURE 2-13 151 451 451 451

Topical term

Genre/form term

‡a Large type books ‡a Large print books

18


Fixed Fields Fixed-length character strings (so called because their length is “fixed,” i.e., data must be found in certain fixed positions in the strings and the strings themselves are required to contain a fixed number of positions) are found in what is referred to as “fixed fields” normally displayed at the beginning of the record as a series of boxes or blanks to be filled in by the cataloger and that contain coded data. These boxes are a display only, and in the actual record the fixed field data are recorded in a continuous string of characters and spaces at the beginning of the MARC record. These preliminary data (some of which are invisible to the cataloger) contain information such as the total length of the record; what type of MARC record (authority or bibliographic) it is; what type of an authority record it is (e.g., an established heading or a record for an authorized subdivision); whether the record meets national-level record requirements; whether a subject heading can be subdivided geographically; whether the heading is appropriate for use as a name, subject, or series; what rules were used in creating the heading; information about series treatment; and so on. The information recorded in the fixed fields is used both by catalogers (for example, to decide whether to divide a subject heading in a bibliographic record geographically or not) and by the library system (for example, a record coded as only appropriate for use as a subject heading would not display cross-references in a names index). All cataloging systems have their own methods of labeling and arranging the fixed fields, which can cause confusion. Because there is no standard for labeling these fields, figures in this book omit the fixed fields, except the three examples given after the tables below, showing a name, series, and subject authority record in RLIN and OCLC displays (see figures 2-15 to 2-17). When particular fixed fields are referred to elsewhere in this book, it will be by their position number in the string (e.g., 008/33 = 008 field, position 33). What are usually referred to as the “fixed fields” consist principally of two fields, namely, the “leader” and the “008” field, which introduce the MARC record.18 THE LEADER

The first data in the record are the characters in the leader, a field twentyfour characters in length. All characters are referred to by their position number (numbered 00 to 23). Table 2-1 summarizes the elements of the leader, and it will be noted that most parts of it do not display in RLIN or OCLC. Furthermore, only one position, position 17, is manipulable by the cataloger. Values in all other positions are generated by the system (systemgenerated positions are indicated by an asterisk in the final column of the table). Position 17 should normally be coded “n,” meaning the record is a complete authority record, meeting national standards.

STANDARDS GOVERNING AUTHORITY CONTROL FIGURE 2-15A

Full name record, including fixed fields (RLIN)

ID:NAFL8034012 ST:p EL:n STH:a MS:n UIP:a TD:19840322000000 KRC:a NMU:a CRC:c UPN:a SBU:a SBC:a DID:n DF:05-22-80 RFE:n CSC: SRU:b SRT:n SRN:n TSS: TGA: | ROM: | MOD: LCT: VST:d 06-13-84 010 ‡a n 80034012 040 ‡a DLC ‡c DLC ‡d UPB 100 1 ‡a Rogers, Bruce, ‡d 1870-1957 670 ‡a Paragraphs on printing, 1943: ‡b t.p. (Bruce Rogers) 670 ‡a Enc. of the book, 1996: ‡b p. 419 (Rogers, Bruce, 1870-1957) FIGURE 2-15B

Full name record, including fixed fields (OCLC)

Rec stat: n Entered: 19800522 Type: z Upd status: a Enc lvl: n Source: Roman: | Ref status: n Mod rec: Name use: a Govt agn: | Auth status: a Subj: a Subj use: a Series: n Auth/ref: a Geo subd: n Ser use: b Ser num: n Name: a Subdiv tp: n Rules: c 010 ‡a n 80034012 040 ‡a DLC ‡c DLC ‡d UPB 005 ‡a 19840322000000.0 100 1 ‡a Rogers, Bruce, ‡d 1870-1957 670 ‡a Paragraphs on printing, 1943: ‡b t.p. (Bruce Rogers) 670 ‡a Enc. of the book, 1996: ‡b p. 419 (Rogers, Bruce, 1870-1957)

FIGURE 2-16A

Full series record, including fixed fields (RLIN)

ID:NAFL84715150 ST:p EL:n STH:a MS:c UIP:a TD:19970204052141 KRC:a NMU:a CRC:c UPN:n SBU:a SBC:a DID:n DF:09-17-85 RFE:a CSC: SRU:a SRT:a SRN:a TSS:| TGA:| ROM:| MOD: LCT: VST:d 02-04-97 010 ‡a n 84715150 040 ‡a DLC ‡c DLC ‡d DLC ‡d TNJ 130 0 ‡a Cambridge studies in modern optics 530 0 ‡w b ‡a Cambridge studies in modern optics (Unnumbered) 642 ‡a 2 ‡5 DLC 643 ‡a Cambridge, Cambridgeshire ‡a New York ‡b Cambridge University Press 644 ‡a f ‡5 DLC 645 ‡a t ‡5 DPCC ‡5 DLC 646 ‡a s ‡5 DLC 670 ‡a Hariharan, P. Optical holography, 1986: ‡b CIP ser. t.p. (Cambridge studies in modern optics) 675 ‡a Atom-field interactions and dressed atoms, 1995: ‡b ser. t.p. (Cambridge studies in modern optics [unnumbered])

19

20 FIGURE 2-16B

STANDARDS GOVERNING AUTHORITY CONTROL Full series record, including fixed fields (OCLC)

Rec stat: c Entered: 19850917 Type: z Upd status: a Enc lvl: n Source: Roman: | Ref status: a Mod rec: Name use: a Govt agn: | Auth status: a Subj: a Subj use: a Series: a Auth/ref: a Geo subd: n Ser use: a Ser num: a Name: n Subdiv tp: n Rules: c 010 ‡a n 84715150 040 ‡a DLC‡cDLC‡dDLC‡dTNJ 005 ‡a 19970204052141.5 130 0 ‡a Cambridge studies in modern optics 530 0 ‡wb‡a Cambridge studies in modern optics (Unnumbered) 642 ‡a 2 ‡5 DLC 643 ‡a Cambridge, Cambridgeshire ‡a New York ‡b Cambridge University Press 644 ‡a f ‡5 DLC 645 ‡a t ‡5 DPCC ‡5 DLC 646 ‡a s ‡5 DLC 670 ‡a Hariharan, P. Optical holography, 1986: ‡b CIP ser. t.p. (Cambridge studies in modern optics) 675 ‡a Atom-field interactions and dressed atoms, 1995: ‡b ser. t.p. (Cambridge studies in modern optics [unnumbered])

FIGURE 2-17A

Full subject record, including fixed fields (RLIN)

ID:SAFL8566022 ST:p EL:n STH:a MS:c UIP:a TD:19871222115209 KRC:a NMU:b CRC:n UPN:n SBU:a SBC:a DID:i DF:02-11-86 RFE:a CSC: SRU:b SRT:n SRN:n TSS:| TGA:| ROM:| MOD: LCT: VST:d 07-23-88 010 ‡a sh 85066022 040 ‡a DLC ‡c DLC ‡d DLC 053 ‡a HQ774 ‡c Social groups 150 ‡a Infants 450 ‡a Babies 450 ‡a Infancy 550 ‡w g ‡a Children 680 ‡i Here are entered works on children from birth through two years of age.

THE 008 FIELD

The 008 field consists of forty characters (00 to 39). It is distinct from the leader, but in most record displays characters from the 008 field are given together with leader characters in the fixed field boxes. Table 2-2 summarizes appropriate values for this field. Most of the values vary depending on the type of authority record (e.g., name, subject, series).

21

STANDARDS GOVERNING AUTHORITY CONTROL FIGURE 2-17B

Full subject record, including fixed fields (OCLC)

Rec stat: c Entered: 19860211 Type: z Upd status: a Enc lvl: n Source: Roman: | Ref status: a Mod rec: Name use: b Govt agn: | Auth status: a Subj: a Subj use: a Series: n Auth/ref: a Geo subd: i Ser use: b Ser num: n Name: n Subdiv tp: n Rules: n 010 ‡a sh 85066022 040 ‡a DLC ‡c DLC ‡d DLC 005 ‡a 19871222115209.9 053 ‡a HQ774 ‡c Social groups 150 ‡a Infants 450 ‡a Babies 450 ‡a Infancy 550 ‡w g ‡a Children 680 ‡i Here are entered works on children from birth through two years of age.

TABLE 2-1 Position No.

00-04 05

06 07-08 09

10 11 12-16

17

18-19 20-23

Leader

Name

Record length Record status

Type of record Undefined Character coding scheme Indicator count Subfield code length Base address of data Encoding level

Valid Values

a - increase in encoding level c - corrected or revised d - deleted (other) n - new s - deleted (split) x - deleted (replaced) z - authority data

blank - MARC-8 a - UCS/Unicode 2 (number of character positions used for indicators) 2 (number of character positions used for each subfield code) [position of first variable field in record]

RLIN Mnemonic

OCLC Mnemonic

SystemGenerated

[not shown]

[not shown]

*

MS

Rec stat

*

[not shown]

Type

*

[not shown] [not shown]


* *

[not shown]

[not shown]

*

[not shown]

[not shown]

*

[not shown]

[not shown]

*

n - complete authority record EL (meets national-level requirements) o - incomplete authority record Undefined [not shown] Entry map [not shown]

Enc lvl


* *

22 TABLE 2-2 Position No.

STANDARDS GOVERNING AUTHORITY CONTROL 008 Field RLIN Mnemonic

OCLC Mnemonic

SystemGenerated

numeric string in the pattern yymmdd

DF

Entered

*

Direct/ indirect geographic subdivision

blank - heading may not subdivide geographically d - heading may subdivide geographically directly i - heading may subdivide geographically indirectly n - not applicable | - coding not attempted

DID

Geo subd

07

Romanization scheme

a - international standard b - national standard c - national library association standard d - national library / bibliographic agency standard e - local standard f - unknown standard g - conventional romanization n - not applicable | - coding not attempted

ROM

Roman

08

Language of catalog

blank - no information b - English and French e - English only f - French only | - coding not attempted

LCT

[not shown]

09

Kind of record

a - established heading (100-151) b - untraced reference (100-151) c - traced reference (100-151) d - subdivision record (18X) e - node label (150 or 155) f - established heading and subdivision (15X) g - reference and subdivision (15X) [Note: only a and f indicate an authorized heading]

KRC

Auth/ref

10

Descriptive cataloging rules used to formulate the heading/ references

a - pre-AACR1 b - AACR1 c - AACR2 d - AACR2 compatible n - not applicable z - other | - coding not attempted

CRC

Rules

Name

Valid Values

00-05

Date entered on file

06

23


Position No.

RLIN Mnemonic

OCLC Mnemonic

a - Library of Congress Subject Headings (LCSH) b - LCSH for children c - Medical subject headings (MeSH) d - National Agricultural Library subject heading k - Canadian subject headings n - not applicable r - Art and Architecture Thesaurus (ATT) s - Sears list v - Répertoire de vedettes-matière z - other | - coding not attempted

SBC

Subj

Type of series

a - monographic series b - multipart item c - series-like phrase n - not applicable z - other | - coding not attempted

SRT

Series

13

Numbered or unnumbered series

a - numbered b - unnumbered c - numbering varies n - not applicable | - coding not attempted

SRN

Ser num

14

Heading use a - appropriate –Main or b - not appropriate added entry | - coding not attempted

NMU

Name use

15

Heading use a - appropriate –Subject b - not appropriate added entry | - coding not attempted

SBU

Subj use

16

Heading use a - appropriate –Series b - not appropriate added entry | - coding not attempted

SRU

Ser use

17

Type of subject subdivision

TSS

Subdiv tp

18-27

Undefined

Name

Valid Values

11

Subject heading system/ thesaurus

12

a - topical b - form c - chronological d - geographic e - language n - not applicable | - coding not attempted

SystemGenerated

* (continued)

24 TABLE 2-2 Position No.

STANDARDS GOVERNING AUTHORITY CONTROL 008 Field (continued) RLIN Mnemonic

OCLC Mnemonic

TGA

Govt agn

Name

Valid Values

28

Type of government agency

blank - not a govt. agency a - autonomous / semiautonomous component c - multilocal f - federal / national i - international l - local m - multistate o - govt. agency, type unknown s - state, provincial, etc. u - unknown if heading is govt. agency z - other | - coding not attempted

29

Reference evaluation

a - tracings consistent with heading RFE b - tracings not necessarily consistent with heading n - not applicable | - coding not attempted

30

Undefined

31

Record update in process

a - record can be used b - record being updated | - coding not attempted

UIP

Upd status

32

Undifferentiated personal name

a - differentiated b - undifferentiated n - not applicable | - coding not attempted

UPN

Name

33

Level of establishment

a - fully established b - memorandum c - provisional d - preliminary n - not applicable | - coding not attempted

STH

Auth status

34-37

Undefined

38

Modified record

blank - not modified s - shortened x - missing characters | - coding not attempted

MOD

Mod rec

39

Cataloging source

blank - national bibliographic agency c - cooperative cataloging program d - other u - unknown | - coding not attempted

CSC

Source

SystemGenerated

Ref status

* *

*


25

008/06 Direct or indirect geographic subdivision. The code in this position shows whether or not a heading can be subdivided geographically in a subject string. Records are coded either “i” (meaning the term may subdivide geographically) or blank (meaning it may not). For further information on geographic subdivision of subject headings, see chapter 10. Because it is inappropriate to subdivide most name headings geographically, the normal value for this position in name authority records is “n,” for “not applicable.”19 One exception occasionally seen is name headings for churches that cover large geographic (typically international) areas, e.g., “Catholic Church,” “Church of England,” “Church of Jesus Christ of Latter-day Saints.” These are usually coded “i,” meaning they may subdivide geographically indirectly when used as a subject (e.g., “Catholic Church—France—Paris”). NACO (Name Authority Cooperative Program) catalogers are instructed to code this position “n” in all new records for names, even when establishing headings for international churches. Because the Library of Congress controls subject practice, it may later choose to change the value to “i.” 008/07 Romanization scheme. This position will be used to indicate that the heading in the record is a romanized form, and if so, which romanization scheme is used. The position is defined to allow for the concurrent presence of romanized and vernacular (e.g., in Hebrew, or Japanese, characters) authorized headings in the file. Because vernacular headings are not yet being created, the position is currently not being used. 008/08 Language of catalog.

This position is currently not being used.

008/09 Kind of record. Generally, this should be coded “a” (“established heading”) for names or subjects. “b” or “c” (“untraced” or “traced” reference) may also be used, but they are relatively rare. A reference record is a record that is in the file for reference purposes, perhaps containing instructions to the cataloger, and whose “heading” files in alphabetical order with the rest of the tracing fields in the authority file but does not represent an established (authorized) form. The other codes are used with subject authority records. 008/10 Descriptive cataloging rules. All new name and uniform title records (including series) should be coded “c” in this position, indicating that AACR2 was followed in creating the record. There also exist valid headings coded “d,” or “AACR2 compatible.” When AACR2 was first introduced, the Library of Congress, for reasons of economy, decided that certain headings formed under earlier rules were “compatible” with AACR2 and did not need to be updated, even though the form would have been slightly different if created under AACR2. These are coded “d.”20

26


Few new headings are being added to the file with this value.21 The NAF also contains a small number of records coded “b” (AACR1) or “a” (earlier rules). These are upgraded to AACR2 when modified for any reason. Because term (subject or genre/form) headings are not formed according to descriptive cataloging rules, their records are coded “n” in this position. 008/11 Subject heading system/thesaurus. This position is used to identify the thesaurus a subject term originated in. The most common value in subject authority records is “a” for Library of Congress Subject Headings. If a library creates subject authority records for local terms, this position should be coded “z.” Name authority records should be coded “n.” 008/12 Type of series. This position contains an alphabetic code defining what type of series heading is in the 1XX field. Most series are coded “a,” for “monographic series.” Multipart items are coded “b”; “c” is used for a series-like phrase. “z” stands for “other series” and is used to code records that do not fit into the other three categories but for which seriestype treatment is needed, e.g., a record for a partially analyzable serial. For a full discussion of monographic series, multipart items, series-like phrases, and partially analyzable serials, see chapters 7 and 8. All other authority records are coded “n” in this position. This code is used in systems that have authority verification to distinguish between authorized headings (coded “a,” “b,” or “z”) and series-like phrases (coded “c”). Records with 008/12 coded “c” or “n” would not authorize strings in bibliographic 440 or 8XX fields matching the 1XX field in the authority record, whereas those coded “a,” “b,” or “z” would. 008/13 Numbered or unnumbered series. This position is used in series authority records to show whether the series is numbered or not. If the series is numbered, the position is coded “a”; if not, the position is coded “b.” “c” is used if the series varies between numbered and unnumbered. Most series authority records coded “a” or “c” in 008/13 will also include a 642 field showing the numbering pattern. Subject authority records, and name authority records that are not also series authority records, should be coded “n” (“not applicable”) in this position. 008/14 Heading use—main or added entry This position indicates whether or not the heading in the record can be used as an added access point in a bibliographic record, e.g., in a 1XX or a 7XX field. Name authority records for authorized headings should be coded “a” (“appropriate”). Because subject and genre/form headings are not appropriate for use as main or added entries, their authority records are coded “b” in this position. In systems with authority verification, this coding is important in determining whether a heading will authorize or not. If the record is coded


27

“a,” strings matching the 1XX field in the authority record will authorize in bibliographic 1XX or 7XX fields, but if the record is coded “b,” they will not. This prevents the input of subject or genre/form terms as main or added entries in bibliographic records. The coding also affects the display of cross-references. Cross-references from records coded “b” will not display in title or author indexes. 008/15 Heading use—subject added entry. This position indicates whether or not the heading can be used as a subject in a bibliographic record, i.e., in a 6XX field. Because names can nearly always be used as subject headings, this should normally be coded “a” (“appropriate”) on name authority records. In the few cases where a name heading cannot be used as a subject, the position is coded “b” (for discussion of names that cannot be used as subjects, see chapter 10 under “Latest Entry”). All subject authority records are coded “a” in this position. This has the same effect in systems with authority verification as the coding of 008/14: only strings matching 1XX fields in authority records coded “a” in 008/15 will authorize in bibliographic 6XX fields, and cross-references will only display in subject indexes if this position is coded “a.” 008/16 Heading use—series added entry. Position 008/16 identifies the heading as appropriate (or not) for use in a series added entry (in a bibliographic 440 or 8XX field). Code “a” means “appropriate”; “b” means “not appropriate.” Subject authority records, and name authority records that are not also series, should therefore be coded “b.” The coding has the same two consequences in library systems with authority validation as coding of 008/14 and 008/15. First, strings matching headings in authority records with 008/16 coded “b” will not authorize if found in series entry fields. Second, references from records coded “a” in 008/16 will show in the indexes the library has designated for series but may not appear in other indexes. Conversely, references from records coded “b” will not appear in series indexes. 008/17 Type of subject subdivision. This position is used in subject authority records authorizing subdivisions. The coding depends on the type of subdivision. Most older LC subject authority records for subject terms (versus subdivisions) are coded with the fill character ( | ), but newer LC subject authority records use “n” (“not applicable”) in this position. It should always be coded “n” in name records. 008/28 Type of government agency. This position is not currently being used either by LC or NACO catalogers and is coded with the fill character ( | ). 008/29 Reference evaluation. If the record contains no cross-references (“tracings”), this position is coded “n” (not applicable). If it does contain

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references, it should be coded “a” (meaning the references are compatible with the heading). Although “b” (the references are not consistent with the heading) is authorized for this position, it should not be used on new or updated records. All references should be evaluated for “consistency” with the heading (e.g., they are formulated in accordance with AACR2 or the Subject Cataloging Manual). 008/32 Undifferentiated personal name. All three values, “a” (“differentiated personal name”), “b” (“undifferentiated personal name”), or “n” (“not applicable”), are possible in name authority records. All records that are not for personal names (corporate, conference, or geographic names; series titles; uniform titles not associated with personal names; subject terms; and genre/form terms) should be coded “n.” Most personal names will be coded “a.” On undifferentiated personal names, which are coded “b,” see the discussion in chapter 4. This coding is one of the distinguishing marks of such records. 008/33 Level of establishment. This position should normally be coded “a” for fully established if the record represents an authorized heading. It may temporarily be coded “c” (“provisional”) if not enough information is available to establish the heading. When this information becomes available, the position value is changed to “a.” The Library of Congress Descriptive Cataloging Manual (available on Cataloger’s Desktop) describes two situations where it might be appropriate for a cataloger to create a provisional authority record in the NAF: (1) if the library does not have the language expertise to establish the heading as a fully established authority record; or (2) if the library is unable, because of limited resources or other constraints, to complete related authority work or to determine the appropriate reference structure that is required for fully established headings. NACO policies add (3) “cases when no information about the heading is available, and the heading must therefore be established in a form other than that specified in the rules” (cf. the NACO Participant’s Manual, available on Cataloger’s Desktop). Situation (2) ought to happen only rarely. NACO catalogers are not required to create any fixed number of records, and so it would seem peculiar to create an incomplete record and then mark it provisional—the more logical step would be simply not to create the record at all. Situation (1) is more understandable; the Library of Congress Cooperative Cataloging Team has offered its expertise in helping catalogers untangle headings in languages they are unable to deal with (see the Descriptive Cataloging Manual). A fourth situation where “c” is used occurs in series authority records for “language editions.” Such series must be established based on the first issue. If this issue is unavailable, the heading must be established provi-


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sionally. When the first issue becomes available, the heading, references, and other parts of the record (such as numbering pattern) should be reevaluated and 008/33 changed to “a.” For further information on language editions, see chapter 7. Instructions about provisional records apply only to records created for the NACO program contributed to the NAF. Local libraries may, of course, code these fields however they want, and there may be reasons why locally created records might be coded “provisional.” One scenario would be a library with several catalogers contributing to the authority file, one of whom is designated to verify the accuracy of all records. The other catalogers might code their records “provisional” until they have been checked. Such coding, in most systems, would also allow the system to generate reports of provisional records for the verifying cataloger to use in checking. The value “d” (“preliminary”) has been used in retrospective conversion projects of manual authority files, and so will be seen on some records. If appropriate, these records should be upgraded and the value changed to “a.” The value “n” is used if the 1XX field does not contain an authorized heading (i.e., the record is a reference record, or the “heading” is for a subject subdivision [18X]). The Library of Congress codes all its subject records “n” in this position, including authorized headings, but this practice does not seem to be warranted by the standard. 008/38 Modified record. This position is currently coded blank, meaning “not modified.” This does not, of course, mean that authority records cannot be modified, only that the position is not being used to track modification. 008/39 Cataloging source. This position identifies the source of the record. If left blank it means a national bibliographic agency created the record (e.g., the Library of Congress). Participants in the Program for Cooperative Cataloging (PCC) code this position “c.” Only the values “blank” or “c” should appear in NAF records, and the value is not changed when the record is updated (e.g., if the Library of Congress revises a PCC-contributed record, it will not change the code from “c” to “blank”). Locally created records in a library’s own authority file may appropriately code this position “d.” R L I N A N D O C L C F I X E D F I E L D D I S P L AY S

Figures 2-15 to 2-17 show full authority records as they appear in RLIN and OCLC. Neither display gives the leader or 008 positions in their numerical order. Local system displays in commercial library systems tend not to display these positions in order either, and all have different mnemonic

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labels for the positions (to add to the chaos, many current systems allow the local library to rename the mnemonics). The RLIN “ID” tag takes its value from the fixed-length field 001, “Control Number.” This is a number assigned by the organization creating, using, or distributing the record. The 001 field does not display in OCLC records. The tag identified in RLIN as “TD” displays the contents of the MARC fixed field 005, “Date and time of latest transaction.” In OCLC, this field displays among the variable fields, identified as 005. The first eight positions give the date in the format yyyymmdd; e.g., 19990214 represents February 14, 1999. The remaining positions give the time of day. “ST” and “VST” are both RLIN-defined fields and are not exported when records are exchanged. NOTES 1. Anglo-American Cataloguing Rules, 2nd ed., 1998 revision (Chicago: American Library Association, 1998). 2. This was noted at the International Conference on the Principles and Future Development of AACR, held in Toronto in 1997, and several participants called for change. See, for example, Rahmatollah Fattahi, “AACR2 and Catalogue Production Technology: Relevance of Cataloguing Principles to the Online Environment,” in The Principles and Future of AACR: Proceedings of the International Conference on the Principles and Future Development of AACR, Toronto, Ontario, Canada, October 23-25, 1997, ed. Jean Weihs (Ottawa: Canadian Library Association; Chicago: American Library Association, 1998), p. 37: “AACR2 should provide guidelines for the construction of different files (e.g., bibliographic, authority, and holdings and also the links between them)”; Martha Yee, “What Is a Work?” ibid. p. 99: “[AACR2 should] clarify our concepts of work and edition . . . and tie them to clean record structures, e.g., the authority record should always stand for the work, and the bibliographic record should always stand for the edition”; and Ronald Hagler, “Access Points for Works,” ibid. p. 227: “[I recommend that the Joint Steering Committee] rephrase AACR2R in the context of separate bibliographic and authority files.” 3. Library of Congress Rule Interpretations, 2nd ed. (Washington, D.C.: Library of Congress, Cataloging Distribution Service, 1990- [loose-leaf, updated periodically]). Also available on the LC product Cataloger’s Desktop. 4. NACO Participant’s Manual, 2nd ed. (Washington, D.C.: Library of Congress, Cataloging Distribution Service, 1996). The most up-to-date version is available on Cataloger’s Desktop. 5. Descriptive Cataloging Manual: Z1, Name and Series Authority Records, available outside the Library of Congress only on Cataloger’s Desktop. 6. The text of Z39.19 is available through the NISO website . The accepted standard for multilingual thesauri (e.g., English-Spanish) is Documentation: Guidelines for the Establishment and Development of Multilingual Thesauri (Geneva: International Organization for Standardization, 1985) (ISO 5964-1985).


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7. Library of Congress Subject Headings (LCSH), 24th ed. (Washington, D.C.: Library of Congress, Cataloging Distribution Service, 2001), also available on Cataloger’s Desktop and in the LC, RLIN, and OCLC Subject Authority File; Subject Cataloging Manual: Subject Headings, 5th ed. (Washington, D.C.: Library of Congress, Cataloging Distribution Service, 1996, with periodic looseleaf updates), also available on Cataloger’s Desktop. 8. Currently published as MARC 21 Format for Authority Data, Including Guidelines for Content Designation, prepared by Network Development and MARC Standards Office, Library of Congress, in cooperation with Standards and Support, National Library of Canada, 1999 ed. (Washington, D.C.: Library of Congress, Cataloging Distribution Service; Ottawa: National Library of Canada, 1999). MARC 21 standards for authority records (in concise format) are conveniently available at the Library of Congress’s website and are also available on Cataloger’s Desktop. 9. UNIMARC/Authorities: Universal Format for Authorities, recommended by the IFLA Steering Group on a UNIMARC Format for Authorities (Munich: Saur, 1991); also available at the IFLA website (full version) and (concise version). 10. A list of these national formats has been made available at the IFLA website at . 11. In addition, certain graphic characters (e.g., ! & % ?) are allowed for use by local systems. 12. MARC symbols for individual libraries are found in MARC Code List for Organizations (Washington, D.C.: Library of Congress, Cataloging Distribution Service, 2000); also available at . 13. Except for figures 2-15 to 2-17, authority records shown in this chapter are abbreviated. 14. A small percentage of authority records contain 1XX fields that do not represent authorized headings. There are two types of these: reference records, where the 1XX field simply serves as a placeholder in the index where the cataloger can find instructions about a type of heading, and subdivision records, where the 1XX field contains an authorized form that may be used in a subject subdivision (not the main heading). These records are distinguished by the codes b, c, d, e, or g in the 008/09 fixed field position (“kind of record”). Records containing authorized headings will contain a or f in this position. 15. Discussions are under way at an international level to modify this so that there could be more than one heading for a given entity or work depending on the nationality or language of the catalog. For example, an English-language subject heading would not work in a French-language catalog, and yet there might be advantages to using the same authority record for both, “turning on” the English version or the French version of the authorized heading as appropriate. An obvious example of a situation where this would be a great advance over the current practice would be in a bilingual catalog. Such an authority record system would allow the user to choose the language he or she prefers. 16. A common example is Library of Congress Subject Headings and MeSH (Medical Subject Headings), whose headings are frequently mixed in a single catalog yet often conflict. For example, LCSH uses “Medical genetics” while MeSH uses “Genetics, Medical” for the same concept.

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STANDARDS GOVERNING AUTHORITY CONTROL 17. For a description of such a library system, see Paschalis Raptis and Athena Salaba, “Bilingual Authority Files at the Central Library of the Aristotle University of Thessaloniki, Greece,” International Information and Library Review 26 (June 1994): 67-76. This library does not, however, use 7XX fields to link the records but uses a locally developed system of 9XX fields (see examples VI and VII on p. 76 of the article). 18. There are a few other associated fields that are also fixed in length. These include the “directory” and the 001, 003, and 005 fields. They are all computer generated, requiring no input by the cataloger, and so will not be discussed here. For more information, see the MARC 21 Format for Authority Data, under “Leader and Directory” and “Control Fields.” 19. The definition of value “n” in the MARC documentation reads: “Heading is unestablished or is an established heading that is not appropriate for use as a subject added entry in bibliographic records.” Because name headings are, in fact, established and nearly always are appropriate for use as subject added entries in bibliographic records, it might appear from this that better coding for this position would be blank (#), defined simply, “The heading may not be subdivided geographically.” Nevertheless, under LC/NACO guidelines, most name records are coded “n” in this position. 20. For a discussion of “AACR2 compatible” forms, see Robert L. Maxwell with Margaret F. Maxwell, Maxwell’s Handbook for AACR2R: Explaining and Illustrating the Anglo-American Cataloguing Rules and the 1993 Amendments (Chicago and London: American Library Association, 1997), p. 365-66 and 421-22. 21. The only new headings being added to the file as AACR2-compatible headings are those that build on an already established AACR2-compatible heading. The two possible situations are the creation of a name-title uniform title, with the title appended to an AACR2-compatible personal or corporate name, or the creation of a record for a subordinate body to a corporate body already established in an AACR2-compatible form.

BASIC AUTHORITY CONTROL PROCEDURES

3

WORK FLOW WHEN ESTABLISHING A HEADING The Anglo-American Cataloguing Rules (AACR2) take the approach that every time a cataloger treats an item it is the first (and last) time any name associated with it will be encountered and does not hint that (1) works by or about some persons or bodies have been cataloged many times already, with the result that a heading for this person or body has already been used in existing records, and (2) authority files exist recording these heading decisions. Therefore, when the cataloger picks up a copy of the 1994 edition of The Lion, the Witch, and the Wardrobe and finds the author’s name on the title page in the form “C. S. Lewis,” he or she will not base a decision for the form of the name in the catalog record solely on what is found on the title page of this book, nor will he or she assume that the heading needs to be established. Instead, efficiency dictates that the cataloger check the library’s authority file, and if the library uses it, the Name Authority File (NAF), to see if the name has already been established. If it has, this will be the heading the cataloger will use, even if it seems to contradict the application of AACR2 to the particular item in hand. As a matter of fact, the heading for this author in the NAF is based on the form “C. S. Lewis,” and so it will not contradict the cataloger’s finding on the title page of this edition. However, for example, the 1982 edition of Elementary BASIC, as Chronicled by John H. Watson has on its title page the name “Henry Ledgard” as one of the authors. Examination of the NAF for this author produces “Ledgard, Henry F., 1943- .” Even though the title page of the book in hand would under AACR2 produce a form without the middle initial, catalogers will still use the form as found in the NAF in the bibliographic record for this item. Back to The Lion, the Witch, and the Wardrobe, if the cataloger discovers that C. S. Lewis has not yet been established in the library’s authority file (or the NAF if the library uses it), the next step is not to take the

33

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name as found on the item and use it as the basis for the heading in the bibliographic record. Rather, because most libraries do not have authority records for every single heading in their catalog, the next step is to search the library’s catalog to see if the heading has already been used on a bibliographic record without having been established. If so, the cataloger should evaluate the heading(s) on existing bibliographic records to see if they are (1) consistent with each other and (2) conform to AACR2. If not on either count, all headings could be corrected at this point, and the name established in the authority file. Consultation of a larger database, such as RLIN (Research Libraries Information Network) or OCLC Online Computer Library Center (OCLC), for form and usage of the name is also helpful in this process. Only after this second step has been taken, and no evidence for the name has been found in the library’s (or larger database’s) catalog, is the cataloger ready to take the item in hand and use it as the basis for applying AACR2’s rules for choice and form of heading. NACO (Name Authority Cooperative Program) participants creating PCC (Program for Cooperative Cataloging)/BIBCO (Bibliographic Record Cooperative Program) records are required with few exceptions to create authority records, or ensure that authority records already exist, for every access point on any PCC/BIBCO record they create or update (for PCC, BIBCO, and NACO, see chapter 12). Subject terms used must exist in the Subject Authority File (SAF) or be submitted to the SACO (Subject Authority Cooperative Program) program for addition to the SAF, and subject term-subdivision strings must conform to Subject Cataloging Manual (SCM) rules (for SACO, see chapter 12; for SCM, see chapter 10). If a needed name heading is not found in the NAF, NACO catalogers are to search the utility database associated with their library (e.g., OCLC or RLIN) for information about the name, both as to choice of name and form. Evidence for preferred or “commonly known” usage of the name is found in 245 fields of bibliographic records, which represent, at least in AACR2 records, a transcription of the chief source. Under AACR2 this is considered prima facie evidence of the commonly known form. Other transcribed fields (such as “at head of title” notes and quoted notes) may also be taken into account. Catalog forms found in access points may not be used as evidence of usage, but these are also examined for other information that might be used as additions to the name, such as fuller forms and dates. The important point here is that the database searcher must distinguish between parts of the catalog record that have been transcribed, and thus represent the name as it appeared on the publication, and parts of the record that have been formulated by the application of cataloging rules, and thus do not necessarily represent the name in the form it appeared on the publication. Information gleaned from the database search will be used in creating the authority record in the NAF, and the heading will be established based on the usage found in the database as well as that


35

of the item in hand. If usage is inconsistent (as it invariably is with authors who have been published more than a few times), majority rules.1 NACO catalogers are not required to go beyond this search to establish most names, unless enough information is not gathered through the database search to differentiate the name from an otherwise identical name. In such cases, the cataloger may need to consult other reference sources.2

CHANGES TO ESTABLISHED HEADINGS Each library must make its own policies regarding changes to headings. It was once the practice to add dates (or to “close” dates by adding a death date), qualifiers, and fuller forms to headings as these became known after the initial establishment of the heading. Because this involves not only changes to the authorized heading, but also changes throughout a library’s bibliographic file, very few libraries will now make such changes, unless correcting an error of fact (such as an incorrect date). The philosophy behind this general change of policy seems to be a change of attitude toward the purpose of the authority form itself. The earlier practice apparently reflected a feeling that the catalog was a reference source and that librarians had a duty to give patrons, via the catalog, information such as birth and death dates and spelled out forms, if this information was known. There is no doubt that the catalog is used in this way; evidence of this may be seen in the constant reference queries about prominent people who have died but whose dates as given in the heading do not show it. Libraries were inundated with requests to add the death date, for example, when Frank Sinatra died in 1998. Nevertheless, under most libraries’ policy, the singer’s heading will remain “Sinatra, Frank, 1915- .” The philosophy underlying the policy not to change headings, presently in force at most libraries, is that the purpose of authority work and the production of authorized forms is not to provide a source of reference information about persons and corporate bodies, but instead to provide identifiers, which need to be consistent and unique; once that goal is reached, the forms do not need to go further and give other information about the name. The benefits of providing reference information to the public such as birth and death dates of persons are outweighed, in these libraries’ view, by the sometimes overwhelming problems of database maintenance when headings are changed, particularly for names that may occur hundreds or even thousands of times in the catalog, all of which will need to be changed if the heading is changed. Such policies may become more flexible as the possibilities of global change become more readily available to libraries, but for the moment most libraries will not change a heading simply to add fuller information, particularly if such a change will mean using

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a heading that does not match the heading in the NAF. Keeping the library’s catalog consistent with the NAF is another reason a library might adopt a policy not to change authority headings once established. If a library changes headings by, for example, adding death dates when they become known, their headings will become different from those used in the NAF, the de facto standard. Although there is nothing intrinsically wrong with departing from the NAF, doing so does mean the library’s copy cataloging operation will be complicated, because incoming records containing a heading that the library has changed to a form other than the NAF form will need to be corrected to conform to the library’s local form. For these reasons most libraries try to conform to the NAF and do not change authorized heading forms without good reason. The policies governing changes in headings in the NAF itself are controlled by NACO policy, which is even more inflexible than the policies of most libraries. Generally, NACO catalogers are not to change authorized headings in the NAF unless a factual error is found in the heading or AACR2 stipulates some sort of change. New information that is learned about a person or body, including information about birth and death dates, is instead added in a note. The thinking behind this policy is that with hundreds (and now perhaps even thousands) of libraries using headings from the NAF, any change to a heading can affect headings in bibliographic records in catalogs all over the world, and there is no notification procedure in place to inform users of the NAF that changes have been made. Additionally, the problem of an individual library’s having to change headings in bibliographic records when it makes changes in its own authorized headings is multiplied exponentially when changes are made in the internationally shared NAF. There is a feeling of unwillingness to put this additional burden on already overworked cataloging operations and the feeling that this additional burden is not outweighed by the benefits additional reference-type information (such as fuller forms or additional dates) would give to patrons of the library. The two philosophies—the authority file as a reference tool versus the authority file as a record of consistent and unique forms of headings—are not necessarily completely opposed. In fact, the idea that the authority file is a reference tool is completely compatible with the desire to have consistent and unique headings. However, given the constraints detailed above, the opposite is not necessarily the case—that is, it is perfectly possible to have consistent and unique headings without paying any heed to the notion that the forms themselves might give reference information to users. But these constraints may not always be an obstacle, given the directions library system technology might take. Already in some systems it is quite easy to link bibliographic headings to authority records, so that any change in the authority heading instantly makes changes in all associated bibliographic records. In such situations the reluctance to change headings


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stemming from all the extra work involved in changing bibliographic headings evaporates. There remains, however, the problem of notification of user libraries of changes in the NAF. One could imagine a system in which all libraries using the NAF are linked to the file so that changes are automatically reflected in the libraries’ local systems. Aside from the technological challenge of inventing such a system, however, this would require a much greater degree of commitment on local libraries’ part to using the NAF as their own authority file than currently exists. Until such problems are solved, it seems unlikely that the policy discouraging altering headings will change much.

CREATION OF THE AUTHORITY RECORD Once the name has been chosen and the heading has been formed, the cataloger is ready to create the authority record. The following is a summary of NACO procedures for creating authority records in the NAF, but they are based on universally applicable principles of good record management and can be adapted to any library’s authority program. Although this chapter is meant to be general, the emphasis is on procedures for creating name authority records because this is the most common authority activity for most catalogers. Name authority records may be made for any type of name. They are also used for uniform titles and series. They may not be made for heading types that have been designated as subjects (see chapter 4, under “Choice of Name: Name or Subject?”). Under NACO practice neither are they made for personal names that are represented by nonalphabetic and nonnumeric devices. This follows AACR2 21.5C, which instructs the cataloger not to make added entries under such devices (with the example: Angry thoughts / by *!*!*). A full authority record contains the following elements: 1. The heading (1XX field) 2. A citation for the item being cataloged that generated the need for the heading (first 670 field) and additional citations as necessary (additional 670 fields) 3. Cross-references if needed and appropriate (4XX and 5XX fields) 4. Other fields as necessary 5. Certain fixed field values, including a. Leader/17 (Encoding Level) b. 008/10 (Descriptive Cataloging Rules) c. 008/32 (Undifferentiated Personal Name) d. 008/29 (Reference Evaluation) e. 008/33 (Level of Establishment)

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At a minimum, therefore, the authority record will contain the required fixed field codes, a 1XX field for the heading, and one 670 field for the item being cataloged.

The Heading The most important aspect of the authority record is the heading itself, recording the authorized form. In the MARC (Machine-Readable Cataloging) authority record, the heading is recorded in the 1XX field; for names, this means the 100, 110, 111, or 151 field. Authorized forms of subject terms are recorded in the 150 field; those of genre/form terms are recorded in the 155 field. The heading recorded in the 1XX field should match the heading in the bibliographic record in every respect except final punctuation. Unlike the corresponding field in the bibliographic record, there is no punctuation (such as a period) at the end of the 1XX field in the authority record unless it is a part of the heading itself (as an abbreviation ending with a period, or a qualifier ending with a parenthesis). This punctuation practice is also followed for 4XX and 5XX fields and most other fields in the authority record. For examples of 1XX headings in authority records, see figures 3-1 and 3-2.

Sources THE 670 FIELD

Just as the author of a scholarly paper justifies his or her assertions by citing sources (usually in footnotes), so the creator of an authority record FIGURE 3-1 053 100 1 400 1 670 670 670

‡a PR4870 ‡b PR4874 ‡a Landor, Walter Savage, ‡d 1775-1864 ‡a Landor, Savagius, ‡d 1775-1864 ‡a The complete Latin poetry of Walter Savage Landor, 1999 ‡a RLIN, June 12, 2000 ‡b (hdg.: Landor, Walter Savage, 1775-1864; usage: Walter Savage Landor, Savagius Landor) ‡a British authors of the 19th cent., 1936: ‡b p. 362 (Landor, Walter Savage; British poet and essayist, b. Jan. 30, 1775, d. Jan. 30, 1775)

FIGURE 3-2 151 670 670

Authorized heading (personal name)

Authorized heading (geographic name)

‡a Fayette (Iowa) ‡a Pictorial souvenir album of the City of Fayette, Iowa, U.S.A., 1898 ‡a BGN, June 16, 2000 ‡b (Fayette, Iowa, 425031N 0914807W)


39

must justify headings and cross-references by citing where the information came from. In MARC authority work, this is done using the 670 field. There is no prescribed format for style or punctuation within the field, but there has arisen a customary practice among NACO catalogers that is described here; there is usually no reason to depart from this practice. Subfield ‡a contains the title proper of the work cited. If the title proper is very general (such as “Complete works”), it may be preceded by an abbreviated form of the main entry.3 If the title is very long, it may be shortened either by abbreviating or by omitting words after the first four or five. The title is followed by the publication or copyright date, exactly as found in the 260 field of the bibliographic record for the cited source. A colon customarily closes this subfield if a specific location within the source is cited in subfield ‡b. Subfield ‡b begins with this location and then contains the information found in the source. This information is contained within parentheses. Although ‡b is not repeated, several sets of parentheses may be found in this section if information from more than one place in the work is cited. To summarize, the customary format for the 670 field is as follows: 670

‡a Title proper, publication/copyright date: ‡b location of data (data) location of other data (data)

For example: 670

‡a Child of the dark, c1962: ‡b t.p. (Carolina Maria de Jesus) p. 9 (b. 1913, Sacramento, Minas Gerais, Brazil)

The first 670 field in the record must cite the work being cataloged that generated the need for the heading. If no other sources give additional information about the heading, this may be the only 670 field in the record. Subfield ‡b of the 670 field contains the name exactly as given in the work. See figure 3-3. If the name is not found in the source, subfield ‡b contains “(name not given).” If the name is given in a language that uses case (e.g., Latin, Greek, German), cite it exactly as given. Do not convert it (in subfield ‡b of the 670 field) to the nominative case, although the heading itself and all references should be formed in the nominative case. In figure 3-4, for example, the source contained the form “Monasterii Sancti Petri in Castello.” This is transcribed in the 670 field exactly as it appeared in the item, in the genitive case (“monasterii”); however, when it is used as a reference in a 410 field, it is converted to the nominative case (“monasterium”), and no reference is given from the genitive form. FIGURE 3-3 100 1 670

670 field citing work being cataloged

‡a Z u bieta, Alberto ‡a Carmen, mi barrio, 1997: ‡b t.p. (Alberto u Zbieta)

40


FIGURE 3-4 110 2 410 2 410 2 410 2 410 2 410 2 410 2 410 2 670 670

Name in language using case

‡a Kastl (Abbey : Kastl, Oberpfalz, Germany) ‡a Abbey of Kastl (Kastl, Oberpfalz, Germany) ‡a Kloster Kastl (Kastl, Oberpfalz, Germany) ‡a Kloster Kastl in der Oberpfalz (Kastl, Oberpfalz, Germany) ‡a Monasterium Sancti Petri in Castello (Kastl, Oberpfalz, Germany) ‡a Castl (Abbey : Kastl, Oberpfalz, Germany) ‡a Castellum (Abbey : Kastl, Oberpfalz, Germany) ‡a Castelbergensis (Abbey : Kastl, Oberpfalz, Germany) ‡a Consuetudines Castellenses, 1996- : ‡b v. 1, p. x (Kloster Kastl in der Oberpfalz; Kloster Kastl) p. xlv (Monasterii Sancti Petri in Castello) ‡a New Cath. enc. ‡b (Kastl, Abbey of; Kastl, Castl, Castellum, Castelbergensis; Benedictine foundation in diocese of Eichstädt, Upper Palatinate, between Amberg and Neumarkt; founded in 1098, finally suppressed in 1808)

Additional 670 fields may be necessary if more information is needed than that found in the work being cataloged to form the heading. This happens, for instance, when it is necessary to distinguish the name from an identical heading for a different person or entity already in the authority file. Additional 670 fields show where the information was found. Figure 3-5, for example, shows where the cataloger learned that this Samuel Johnson was born in 1649 and died in 1703. Figure 3-5 also shows several other customary citation practices: 1. The first 670 field has no subfield ‡b. Subfield ‡b is unnecessary in this instance because the form of the name used to create the heading was found in the title proper itself. 2. A title, particularly one citing additional research, may be abbreviated, sometimes severely as seen in the second 670 field of this example. “DNB” here stands for The Dictionary of National Biography, a much-used source of information about British persons. For an example of a less severely abbreviated citation, see the authority record for Walter Savage Landor, figure 3-1. The work abbreviated in the third 670 field as “British authors of the 19th cent.” is actually titled British Authors of the Nineteenth Century. This citation could have been truncated even further, to “Brit. authors 19th cent.” There are no particular rules for this. The citation must, in the cataloger’s judgment, be clear enough that a later user of the record will be able to tell what is cited in case the work needs to be consulted again. 3. If the 670 field cites a reference source that lists names in alphabetical order, no location need be given in ‡b, and in such cases it is customary not to follow the title proper with a colon. In other

BASIC AUTHORITY CONTROL PROCEDURES FIGURE 3-5 100 1 670 670

41

670 field citing additional research

‡a Johnson, Samuel, ‡d 1649-1703 ‡a An account of the proceedings against Samuel Johnson, 1686 ‡a DNB ‡b (Johnson, Samuel, 1649-1703; political divine)

cases, the location in the source must be cited. Normally this is by page number or a customary term or abbreviation. Some examples of these follow: “t.p.,” “t.p. verso,” “jkt.,” “colophon.” Citations to the cover use the following wordings: “cover” means the front cover; “p. 2 of cover” means the inside of the front cover; “p. 3 of cover” means the inside of the back cover; and “p. 4 of cover” means the back cover. In recording data in subfield ‡b of 670, it is probably better to err on the side of too much rather than too little. Names are recorded exactly as found in the source, as are birth and death dates. Include, and do not abbreviate or translate, titles or other terms associated with the name. Even though these may not be needed to form the heading, they may come in handy later on if an otherwise identical name needs to be added to the authority file and something is needed to break the conflict. Likewise, when recording information about subordinate corporate bodies, record the entire hierarchy as found in the source, including all intermediate elements, even though they might not be used in the heading at this time. For continuing meeting names, record information about location and date of the meeting, even though it may not be used in the authority heading. NACO catalogers are required to search their utility, e.g., RLIN or OCLC, for information about the heading. If information is found, and if it adds to the information already cited in the 670 citation for the work being cataloged, it should be recorded in an additional 670 field. The format is as follows: 670

‡a RLIN, [date consulted] ‡b (hdg.: [data]; usage: [data])

670

‡a OCLC, [date consulted] ‡b (hdg.: [data]; usage: [data])

or For example, cataloging the book Nascita di Cristo: poema, by Pellegrino Gaudenzi, the cataloger must establish the heading for the author. The 670 field for the work cataloged will be as follows: 670

‡a Nascita di Cristo, 1797: ‡b t.p. (Pellegrino Gaudenzi)

Searching RLIN, the cataloger discovers three records for this author, two with the heading “Pellegrino, Gaudenzi” and one with the heading “Pellegrino, Gaudenzi, 1749-1784.” Only one of the records shows usage

42


of the name in a 245 field: “Gaudenzi Pellegrino.” The 670 citation for the RLIN information will appear: 670

‡a RLIN, June 23, 2000 ‡b (hdg.: Gaudenzi, Pellegrino, 17491784; usage: Pellegrino Gaudenzi)

If the cataloger is employed by an OCLC library, he or she will search OCLC instead and will find three records, all of which have the heading “Gaudenzi, Pellegrino, 1749-1784.” No record in OCLC shows usage. The 670 citation for the OCLC information will appear: 670

‡a OCLC, June 23, 2000 ‡b (hdg.: Gaudenzi, Pellegrino, 1749-1784; no usage)

NACO catalogers are not required to go beyond searching their database to find information in most cases, unless it is necessary to break a conflict. In the case of Pellegrino Gaudenzi, an OCLC NACO cataloger would have arrived at the same heading as an RLIN NACO cataloger. However, because different databases are involved, containing different records and thus different information, a NACO cataloger at an OCLC library might in certain cases arrive at a different heading than a NACO cataloger at an RLIN library. This is to be expected and is permissible under the current policies of the NAF. Libraries in general and catalog departments in particular tend to keep in-house files of information about local persons and entities that is recorded nowhere else. This information may be cited in authority records in the following format: 670

‡a [MARC symbol for the library] files ‡b (data)

Catalogers often get information directly from the author or someone close to the author, such as a publisher. This information is cited in a 670 field with the wording “Letter from …, [date],” “Phone call to …, [date],” “E-mail correspondence with …, [date of the exchange],” etc. The recent rise of online sources of data has brought about a revolution in ways of finding information about names. Catalogers now have at their fingertips the ability to find out birth and death dates and a host of other useful information. One example of this is the Internet sources that are required citation in creating geographic names. In the United States, the form of name established by the Geographic Names Information System must be cited, from . The citation should appear as follows: 670

‡a BGN, [date consulted] ‡b (data)

BGN stands for Board of Geographic Names. For an example, see figure 3-2. Records for geographic names outside the United States, Canada, and Great Britain must cite the GEOnet Names Server (GNS) ; the citation appears as follows:

BASIC AUTHORITY CONTROL PROCEDURES 670

43

‡a GEOnet, [date consulted] ‡b (data)

It will be noticed that in neither of these cases is the Uniform Resource Locator (URL) (the Internet address) cited in the 670 field. This is the case in citing all Internet resources. Though the URL is without a doubt useful information, because URLs change so frequently it is thought to be counterproductive to include them in 670 citations. Any Internet page can be cited, however, if information is found about the heading from one. The suggested form is: 670

‡a Name of the page (etc.), via WWW, [date consulted] ‡b [location within the page if appropriate] (data)

Because the URL is not cited it is good practice to give enough information here that the site can easily be found again using an Internet search engine. For example, see figure 3-6. The 670 field(s) will contain all the information found when the cataloger was doing the authority work, including information that may go beyond that needed to form the heading. This is often important, because later users of the authority record will use this information to decide if the heading in the authority record is the same as that needed for the new bibliographic record. For example, the cataloger who receives a work on plants in New Zealand by Ann Phillips will find in the NAF three persons by this exact name, with the forms “Phillips, Ann,” “Phillips, Ann, 1930- ,” and “Phillips, Ann, 1941- ” (see figure 3-7). The fact that the person represented by the first authority record is a former research scientist and member of the New Zealand Tree Crops Association, or that the person on the second record was born and raised in England, is completely irrelevant to the formation of the heading itself. Strictly speaking, all that was necessary to create the authority record was the citation of the usage in the work, “Ann Phillips,” and citations justifying the addition of date of birth to the second and third headings. However, the creators of the first two records included supplemental information, perhaps sensing that this was a common name likely to cause problems of identification later. Because of this foresight, the cataloger of the book on plants in New Zealand knows that the correct heading is “Phillips, Ann,” and not one of the others. FIGURE 3-6 100 1 400 1 670 670

Citing an Internet page

‡a Schialvino, G. ‡q (Gianfranco) ‡a Schialvino, Gianfranco ‡a Luca Pacioli da'l Borgo San Sepolcro, 1999: ‡b p. [102] (G. Schialvino) ‡a Quotazioni delle opere degli incisori italiani, via WWW, July 25, 2000 ‡b (Gianfranco Schialvino)

44


FIGURE 3-7 100 1 670

Authority records containing supplemental information

675

‡a Phillips, Ann ‡a Make money from woodturning, 1994: ‡b t.p. (Ann Phillips) p. 155 (former research scientist; member New eZaland Tree Crops Assoc.) ‡a NZnat. bibl., 1981-82; ‡a NZBIP, 1986-94; ‡a WW in NZ , 1978

100 1 670 670 670

‡a Phillips, Ann, ‡d 1930‡a The multiplying glass, 1981: ‡b t.p. (Ann Phillips) ‡a A haunted year, c1994: ‡b t.p. (Ann Phillips) jkt. (b. and raised in England) ‡a Brit. nat. bibl., 1992 ‡b (Phillips, Ann, 1930- [entry for A haunted year])

100 1 670 670

‡a Phillips, Ann, ‡d 1941‡a Literature on the move, 1993: ‡b t.p. (Ann Phillips) ‡a Phone call to pub. 10-08-92 ‡b (b. 12-29-1941)

Supplemental information about the person or entity used for identification rather than formulation of the heading should be given as briefly as possible in English, even if the original source gives the information in another language. See, for example, figure 3-8. The entry for Lanskoy in the Dictionnaire de biographie française reads “LANSKOY (ANDRÉ), peintre [Moscou 31 mars 1902–Paris 22 août 1976] . . .” In the 670 citation in the authority record, the name is copied exactly as given, but all other information is translated into English. THE 675 FIELD

In addition to citing information found in various sources that contributed to the heading in 670 fields, it is sometimes useful to cite works that were checked in which information was not found. The obvious reason for this is to save the next cataloger the trouble of checking those sources again in the future in the case of needing to break a conflict. Figure 3-7, the Ann Phillips case, is a good example. Of the three headings, a check of the FIGURE 3-8 100 1 670 670

Supplemental information given in English

‡a Lanskoy, André, ‡d 1902-1976 ‡a André Lanskoy, 1960 ‡a Dict. de biog. française, 1933- : ‡b fasc. 122, p. 803 (Lanskoy, André; painter, b. Moscow March 31, d. Paris Aug. 22, 1976)


45

dates the records were created in the NAF reveals that the heading without dates was the last created. Because the same name, “Phillips, Ann,” was already in use by at least two persons other than the author of Make Money from Woodturning, the cataloger clearly wanted to find more information about this Ann Phillips and so checked a number of sources to try to find qualifiers or birth/death dates. This being a fairly common name, it seems likely that a fourth Ann will appear at some time, bringing the necessity of distinguishing her from the other three. But because the cataloger who established the heading for the New Zealander, Ann Phillips number 3, was unable to find any qualifying data for the name, this heading, “Phillips, Ann,” will be the heading that Ann Phillips number 4 (and others!) will have to be distinguished from. Further research is likely to concentrate on getting more information about Ann Phillips number 3 if no dates or other qualifying information can be found for Ann Phillips number 4. Therefore, the creator of the NAF for Ann Phillips number 3 included a 675 field citing every reference source he or she checked in trying to find more information about the author so that the future cataloger who must distinguish number 3 from number 4 won’t waste time looking in the same sources. The 675 field is used to record such information. The cataloger should use judgment in adding 675 fields to authority records; it is not necessary to include one for every source consulted. The format of this nonrepeatable field is as follows: 675

‡a Source, date; ‡a Source, date; ‡a Source, date [etc.]

The sources are often severely abbreviated, as in the Ann Phillips example. The 675 field is also used in a series of successive corporate headings to justify cross-references to earlier and later headings, as figure 3-9 illustrates. In this case, the format is 675

‡a Source, date: location in source (data); ‡a Source, date: location in source (data); ‡a Source, date: location in source (data); [etc.]

The “data” cited in these 675 fields are data that do not pertain to the 1XX heading in the record but rather to that in the 5XX reference. In this example, Burroughs Adding Machine Company changed its name to Burroughs Corporation, necessitating separate entries (cf. AACR2 24.1C). The 510 fields in the records refer the library user to the earlier or later heading. Sometimes the cataloger is able to find documentation detailing the change, e.g., an annual report for the year of the change. If so, the information would be included in a 670 field. This is the case with the record for the later heading, Burroughs Corporation. The source documenting its later merger with Sperry does in fact give a form

46


FIGURE 3-9 110 2 510 2 670 675

110 2 410 2 510 2 510 2 670 670 675

Use of 675 in successive entries

‡a Burroughs Adding Machine Company ‡w b ‡a Burroughs Corporation ‡a Handbook of instruction for operators of Burroughs adding and listing machines, 1911: ‡b t.p. (Burroughs Adding Machine Company) ‡a Annual report, 1965: cover (Burroughs Corporation)

‡a Burroughs Corporation ‡a Burroughs (Firm) ‡w a ‡a Burroughs Adding Machine Company ‡w b ‡a Unisys Corporation ‡a Annual report, 1965: ‡b cover (Burroughs Corporation) ‡a Unisys Corporation, c1988: ‡b t.p. (Unisys Corporation) p. i (Burroughs-Sperry merger) p. iii (1986 merger) ‡a Handbook of instruction for operators of Burroughs adding and listing machines, 1911: t.p. (Burroughs Adding Machine Company)

of the corporate name, and so this is recorded in a 670 field. It is unusual for the cataloger to have such explicit information, however, and in these cases the 510 fields are justified by 675 fields. Though this is somewhat confusing, there is a certain logic behind it. In the record for Burroughs Adding Machine Company, the 1965 annual report for the Burroughs Corporation does not mention the name “Burroughs Adding Machine Company,” and thus the 675 field, “Source data not found,” is used to record the information. As in the case with this pair of records, there is frequently a mirror imaging: the 670 field in the first record becomes the 675 field in the second, and vice versa. The “mirrored” 675 is formed exactly like its corresponding 670, except it lacks subfield ‡b (this subfield is not authorized for the 675 field).

References GENERAL PRINCIPLES

One of the fundamental justifications for authority work is the fact that by nature names and terms change or appear in different forms. Catalog librarians follow standard rules to choose the heading that will be used in a bibliographic record. However, the average library user does not know these rules and so is likely to attempt catalog searches using forms that were not chosen or forms related to the person, body, or term (e.g., different pseudonyms, later or earlier headings for a corporate body, or broader and narrower subject terms). The mechanism that exists to guide users to the correct heading is the reference structure of the authority record.


47

There are basically two types of references: (1) those from unused forms and (2) those from other related forms, which themselves are authorized. The first type is recorded in 4XX fields; the second, in 5XX fields. The first type results in “See . . .” or “Search under . . .” displays to the catalog user; the second type usually displays “See also . . .” or “Search also under . . .” Before adding any of these fields, the authority file must be searched for all possible forms to avoid conflict with existing established (1XX) headings.4 A 4XX cross-reference cannot conflict with an existing 1XX heading. If a proposed 4XX form would conflict with an existing heading, it must be qualified in some way. For example, one of the editors of Beyond ANOVA is commonly known as Byron Wm. Brown, but is also called Bill Brown, as we learn from p. vii. Therefore, a reference is needed for “Brown, Bill.” However, there is already an established heading “Brown, Bill” in the NAF. Therefore, the 400 field in the new authority record must be qualified. In this case, the reference form will be qualified by the forenames from the established form, because no other useful information is known about the name. If a 4XX reference is needed and no qualifier is possible, a 5XX reference must be used instead (see below in the discussion of 5XX fields, with figure 3-16). 4XX references may, on the other hand, “conflict” with other 4XX fields. If this happens, the user will be referred to more than one heading, and he or she will have to decide which one is wanted. See figure 3-10 for an example of conflicting 4XX references. In this example, all three corporate bodies use the acronym IBM (the form of the Polish firm is normalized to a form without periods under LCRI 26.3B-C). The user who searches using “IBM” will be presented with a display similar to the following: IBM search under Instituto de Biologia Marítima (Portugal) Instytut Budownictwa Mieszkaniowego (Poland) International Business Machines Corporation

This display is generated from the 410 fields in the three authority records of figure 3-10. All proposed 5XX “see also” forms must also be searched against the authority file. The purpose of this search is twofold: first, it verifies that a record with a corresponding 1XX field exists; and second, it verifies that the form about to be added to the 5XX field in the record being created matches the heading in the other record. If no record exists for the proposed 5XX heading, it should be created at the same time as the record containing the 5XX field. For examples of “paired” records connected by 5XX fields, see figure 3-9.

48


FIGURE 3-10

Headings producing conflicting cross-references

110 2 410 2 670 670

‡a International Business Machines Corporation ‡a IBM ‡a Moody's, 1983 ‡b (International Business Machines Corporation) ‡a IBM, via WWW, July 14, 2000

110 2 410 2 670

‡a Instituto de Biologia Marítima (Portugal) ‡a IBM ‡a Notas e estudos do Instituto de Biologia Marítima, abril 1952: ‡b t.p. (Instituto de Biologia Marâitima; Lisboa; IBM)

110 2 410 2 410 2 670

‡a Instytut Budownictwa Mieszkaniowego (Poland) ‡a I.B.M. ‡a IBM ‡a Informacje techniczno-ekonomiczne, Nr. 6-7 (1957): ‡b p. 100 (I.B.M.); Nr 29 (1969): t.p. (Instytut Gospodarki Mieszkaniowej, dawniej Instytut Budownictwa Mieszkaniowego)

If the user searches in the catalog for “Cross, Amanda,” he or she will be given a list of items owned by the library cataloged under that heading. The following message will also appear: Cross, Amanda, 1926search also under Heilbrun, Carolyn G., 1926-

This message is generated from the 500 field in the authority record for Heilbrun. The following message will appear to the user who performs the search “Heilbrun, Carolyn,” in addition to a list of items accessible through the library by Heilbrun: Heilbrun, Carolyn G., 1926search also under Cross, Amanda, 1926-

This message is generated from the 500 field in the authority record for Cross. 4XX FIELDS

When working with personal names, add a reference for every variant that affects the “primary elements” of the name. The primary elements are all elements to the left of the first comma and the first element to the right.


49

In figure 3-11, the primary elements are Pierson and Chesley. Because the variant form “Pierson, Chesley Nels” does not affect the primary elements of the name, no cross-reference will be made for that form. The purpose of this rule is clear. In the case of figure 3-11, if the reference were made, a catalog display such as the following would appear when the library user did an index search on Pierson, Chesley: 1. 2. 3. 4. 5. 6.

Pierson, Abraham, 1608-1678 Pierson, Alan, 1974Pierson, Caleb, 1738-1801 Pierson, Charles F., 1920Pierson, Chesley N. (Chesley Nels), 1928Pierson, Chesley Nels, 1928search under Pierson, Chesley N. (Chesley Nels), 19287. Pierson, Chris 8. Pierson College (Yale University)

Because the reference in number 6 of the display refers to the heading in number 5, immediately above it, it is not thought to be an extremely useful reference and in fact may be confusing to the average user.5 The primary elements rule, however, is actually more of a guideline than a strict rule. If in the cataloger’s judgment access to the catalog would be improved by making the reference, it should be made. Such a decision might be made, for example, in the case of extremely common names where the heading and cross-reference would file far from each other, as in figure 3-12. In this case, the heading “Johnson, Charles Alfred” will likely file several headings after the heading “Johnson, Charles A.,” and the user searching the Charles Alfred form will probably miss the correct form unless the cross-reference is given.

FIGURE 3-11 100 1 670

‡a Pierson, Chesley N. ‡q (Chesley Nels), ‡d 1928‡a Chesley N. Pierson oral history, 1975-1976: ‡b t.p. (Chesley N. Pierson) preface ("Chesley Nels Pierson was born 22 January 1928 in Lethbridge, Alberta")

FIGURE 3-12 100 1 400 1 670 670

Primary elements of the name

Primary elements rule disregarded

‡a Johnson, Charles A. ‡q (Charles Alfred), ‡d 1922‡a Johnson, Charles Alfred, ‡d 1922‡a Denver's Mayor Speer, 1970: ‡b t.p. (Charles A. Johnson) ‡a RLIN, Feb. 25, 1998 ‡b (hdg.: Johnson, Charles A. (Charles Alfred), 1922- ; Johnson, Charles Alfred, 1922- ; usage: Charles A. Johnson)

50


Aside from the primary elements rule, however, make a reference in a 4XX field for each variant of the name established in the 1XX field.6 Variants are found in many places. The item being cataloged is the first source of variants and should be examined carefully. Frequently, the form of the name found in the chief source (e.g., the title page, for books) will be different from that found in other parts of the item. Sometimes the cataloger will find spelled out forms, for example, in a preface. Reference sources frequently list different forms of names. The cataloger may have personal knowledge of forms of personal or corporate names gained through telephone or e-mail contacts. The large collective databases (e.g., RLIN or OCLC) are rich mines for variants, both from data transcribed in records and from cataloged forms of the names. All these sources should be tapped, and variants that do not run counter to the primary elements rule or AACR2 should be added to the authority record as references. Each variant should be formulated according to AACR2 practices as though it had been chosen for the heading. Under AACR2 24.10B, for example, we are instructed to qualify the name of a local church with the name of the place in which it is located. In figure 3-13, the form “Church of the Good Shepherd” was chosen as the authorized heading, and it is qualified by place name as instructed. The variant found in the work cataloged “Good Shepherd Church” is also qualified because it would have been qualified by place name if it had been chosen as the heading. The record for Dorothy Wellesley is an example of this practice for a personal name. Wellesley became a British noblewoman, but she usually did not use her title in her writing, although the form “Dorothy Wellesley Wellington” was used occasionally. Hence, under cataloging theory she was not “commonly known” by her title and she is entered under her surname, Wellesley (cf. AACR2 22.6). However, her title is a variant form of her name and must be recorded as a reference in the authority record. The variant form will be formulated exactly as instructed in AACR2 22.6: title, proper name in direct order, term of rank. All possible entry points of the heading itself should be given as references. For example, a name with a separately written prefix will always have a reference for the portion(s) of the name not chosen as the heading (see figure 3-14); similarly, compound surnames will always have a reference for the unused portion. FIGURE 3-13 110 2 410 2 670

Variant formulated according to AACR2 practice (Church)

‡a Church of the Good Shepherd (Punta Gorda, Fla.) ‡a Good Shepherd Church (Punta Gorda, Fla.) ‡a Church of the Good Shepherd, Punta Gorda, Florida, c1996: ‡b p. 5, etc. (Good Shepherd Church; founded 1896)

BASIC AUTHORITY CONTROL PROCEDURES FIGURE 3-14 100 1 400 1 400 1 670

‡a ‡a ‡a ‡a

51

Surname with separately written prefix

La Chapelle, Ariane de De La Chapelle, Ariane Chapelle, Ariane de La Les relevés de filigranes, c1996: ‡b t.p. (Ariane de La Chapelle)

In addition to references for unused entry points in the heading, the authority record may contain as many other variants as found. However, the cataloger should not generally make references for “variants of variants”; in other words, normally make only one reference for each variant form of the name, which would be the form chosen according to AACR2 if the variant had been chosen as the heading, as explained above. For example, the first name of Gustave Le Bon, an author who has been translated many times, varies according to the language. The authorized form of his name is “Le Bon, Gustave, 1841-1931.” As a name with a separately written prefix, its authority record will contain a reference from “Bon, Gustave Le, 1841-1931,” an unused entry point from the heading itself. It will also contain references for the variant forms of the first name, all of which will begin with the prefix “Le” because the author is French (cf. AACR2 22.5D1, French). For example, for the Spanish version, the record will contain a reference from the form “Le Bon, Gustavo, 18411931.” It will not, however, contain a reference from “Bon, Gustavo Le, 1841-1931,” as this would be a variant of a variant. Qualifiers should be used as appropriate in 4XX cross-references. This has already been seen with records for corporate bodies (see figures 3-9 and 3-13). Qualifiers in references for personal names should “match” the form chosen in the heading. For example, the heading established by the Library of Congress (LC) for the author of this book is “Maxwell, Robert L., 1957- .” Suppose a future cataloger receives an item by “R. L. Maxwell,” whose book jacket states that R. L. Maxwell is Robert LeGrand Maxwell, and he was born in 1957. The cataloger would be justified in concluding that this is the same person as “Maxwell, Robert L., 1957- .” However, because a new form has now appeared, a cross-reference is needed. The crossreference will be qualified, but the qualifier will, under current NACO policies, match the form chosen for the heading: “Maxwell, R. L. (Robert L.), 1957- , ” not “Maxwell, R. L. (Robert LeGrand), 1957- .” A parallel situation arises in corporate names with respect to the presence or absence in cross-references of terms of incorporation. If they are present in the heading, they should be used in cross-references; if not, they are not used in cross-references. For example, in figure 3-15, the heading for Clarian Health does not contain the term of incorporation; therefore, the cross-reference from the variant form does not contain it either, even though it is used with the form in the company’s literature.

52


FIGURE 3-15

Term of incorporation not given in cross-reference

110 2 410 2 670 670

‡a Clarian Health (Firm) ‡a Clarian Health Partners ‡a The Clarian, Mar. 6, 2000: ‡b t.p. (Clarian Health) ‡a Clarian Health WWW Home page, June 26, 2000 ‡b (Clarian Health; Clarian Health Partners Inc.)

5XX FIELDS

Pseudonyms. 4XX fields lead the user of the catalog from an unauthorized heading to an authorized heading. In contrast, 5XX fields lead the user from one authorized heading to another related authorized heading. There are a variety of reasons why the cataloger might want to create such references. A contemporary author may use more than one pseudonym, for example. If so, under AACR2 practice, each pseudonym is a legitimate heading (cf. AACR2 22.2B3) and as such will have its own authority record. Persons studying such an author, however, would want to know all the headings the author’s work might be found under. Therefore, the cataloger will make reciprocal 5XX references. For further discussion of pseudonyms in authority records, see below on the 663 field. References that conflict with established headings. It was noted above that 4XX fields must never conflict with 1XX fields, and if a potential conflict arises, one or the other must be qualified to avoid it. Because of extreme reluctance to change already-established 1XX headings, this will almost always mean that the 4XX field will be qualified. However, in some cases no qualifier (e.g., fuller forms of names or birth and death dates) is available. In these cases, a 5XX “search also under” reference is made instead of a 4XX reference. For example, A. R. Jones, author of God in Prison, was established with the heading “Jones, A. R. ‡q (Albert R.).” The record included the required cross-reference “Jones, Albert R.” in a 400 field. A catalog user searching for this form would be given the message: Jones, Albert R. search under Jones, A. R. (Albert R.)

Later, another author using the name “Albert R. Jones” was established: “Jones, Albert R.” Unfortunately, this heading conflicted with the 400 field in the earlier record. If this had been allowed to stand, the catalog user doing the same search would now be given a confusing search result similar to the following:


53

Jones, Albert R. search under Jones, A. R. (Albert R.) [list of works by Albert R. Jones]

Because nothing more was known about either name to further qualify, the 400 field in the earlier record was changed to a 500 field to avoid a conflict (see figure 3-16). Now the search result will appear as follows: Jones, Albert R. search also under Jones, A. R. (Albert R.) [list of works by Albert R. Jones]

Related corporate names and subfield ‡w. Perhaps the most frequent use of 5XX fields in name authority records is to link related, usually successive, corporate names. Under cataloging theory, when a corporate body changes its name, the earlier body ceases to exist and a new entity is born. Cataloging theory may be logical, but it is probably not intuitive for most library users. A name change may or may not signal a major change in emphasis to a corporate body, but generally speaking the body continues to occupy the same premises, employ the same workers, and perform more or less the same functions. Therefore, the average library user needs to be guided between the headings through the use of 5XX fields. Because the relationship between the entities is generally a chronological one, the headings are linked successively. For an example, see figure 3-9. There are four corporate bodies involved in that figure. The body began its life as the Burroughs Adding Machine Company, then became Burroughs Corporation, and finally, merging with Sperry Corporation, became Unisys Corporation. In contrast to the practice with pseudonyms, where all the

FIGURE 3-16

5XX field used instead of 4XX to avoid conflict

100 1 500 1 670 670

‡a ‡a ‡a ‡a

Jones, A. R. ‡q (Albert R.) Jones, Albert R. [Note: this was originally a 400 field] God in prison, 1977: ‡b t.p. (A.R. Jones) Data from Nat. Lib. of Australia ‡b (Jones, Albert R.)

100 1 500 1 670

‡a Jones, Albert R. ‡a Jones, A. R ‡q (Albert R.) ‡a Inventory and classification of streams in the Kentucky River Drainage, 1973: ‡b t.p. (Albert R. Jones; biologist with the Kentucky Dept. of Fish and Wildlife Resources)

54


headings are listed on the basic record, generally corporate headings only link to the immediately preceding or succeeding entity. Thus, the record for Burroughs Adding Machine Company has only one 510 field, for its immediate successor, Burroughs Corporation. Burroughs Corporation has two 510 fields, one for its predecessor Burroughs Adding Machine Company, and one for its successor, Unisys Corporation. The exact relationship between the headings is made clear by the control subfield ‡w in the 510 fields. Subfield ‡w, always the first element in the field, contains up to four characters, each with a specific meaning that may control the public display of the record. Subfield ‡w can become very complex, but for purposes of the subfield in 510 fields, generally only the first position, which indicates the relationship between the 1XX heading and the 5XX field, is needed. For corporate name relationships, the two most common values are “a,” for the earlier heading, and “b,” for the later heading. Thus, the 510 field referring to Burroughs Corporation in the record for Burroughs Adding Machine Company begins “‡w b,” meaning that Burroughs Corporation is the later heading. Conversely, the record for Burroughs Corporation contains a 510 field for Burroughs Adding Machine Company beginning “‡w a,” indicating that it is the earlier name, and a 510 field for Unisys Corporation beginning “‡w b,” indicating that it is the immediate successor to Burroughs Corporation. The authority record for Unisys Corporation will also contain a 510 field “‡w a ‡a Burroughs Corporation,” indicating that this heading is Unisys’s immediate predecessor. With these records in the library’s catalog, the user will be presented (in addition to a list of the library’s holdings under each heading) with the following (or similar) displays when searching (1) under Burroughs Adding Machine Company: Burroughs Adding Machine Company search also under the later heading Burroughs Corporation

(2) under Burroughs Corporation: Burroughs Corporation search also under the earlier heading Burroughs Adding Machine Company search also under the later heading Unisys Corporation

(3) under Unisys Corporation: Unisys Corporation search also under the earlier heading Burroughs Corporation search also under the earlier heading Sperry Corporation

These displays, somewhat more complex than simple “search also under” displays, are all generated by the coding of ‡w in the various 510 fields.


55

When the relationship between corporate bodies is not known, is not sequential, or is too complex, the cataloger may make a simple 5XX reference without ‡w. See figure 3-17. A similar technique using subfield ‡w is used to link broader and narrower subject and genre/form terms. For details, see chapter 9 under “Hierarchical Relationships.” Performing groups. In most cases, name authority records containing 5XX fields are “paired,” i.e., if authority record A refers to the heading in authority record B, authority record B will have a corresponding reference back to authority record A, as in the American Indian College Fund/ American Indian Higher Education Consortium example (see figure 3-17). In a few cases, however, the cataloger will not do this. One example of this is the treatment of performing groups containing the names of the persons in the group. The LC policy in this situation is to make a 500 reference from the name of the person(s) to the group but not from the group to the person (LCRI 26.2C). The group “Donny & Marie” is an example (see figure 3-18). The record for the corporate name contains 500 fields for the two principal singers; however, the authority records for their personal

FIGURE 3-17 110 2 410 2 410 2 510 2 670

670

110 2 510 2 670 670

Bodies not sequentially related

‡a American Indian Higher Education Consortium ‡a AIHE Consortium ‡a AIHEC ‡a American Indian College Fund ‡a AIHE Consortium research project to strengthen local economic and human resource development through Indian community colleges in the Old West region, 1979 ‡b verso t.p. (American Indian Higher Education Consortium, Inc., Denver, Colo.) t.p. (AIHE Consortium) p. v (American Indian Higher Education Consortium (AIHEC)) ‡a The American Indian College Fund, 1987-1990, 1991?: ‡b p. 1 (est. 1987 to raise funds to assist the American Indian Higher Education Consortium)

‡a American Indian College Fund ‡a American Indian Higher Education Consortium ‡a Annual report, 1993: ‡b t.p. (American Indian College Fund) t.p. verso (non-profit est. 1989, located in New York, N.Y.) ‡a The American Indian College Fund, 1987-1990, 1991?: ‡b p. 1 (located in New York, N.Y., non-profit est. 1987 to raise funds to assist the American Indian Higher Education Consortium)

56


FIGURE 3-18

Performing group containing the names of performers

110 2 410 2 500 1 500 1 670

‡a Donny & Marie ‡a Donny and Marie ‡a Osmond, Donny ‡a Osmond, Marie, ‡d 1959‡a The all-time greatest hits of the Osmond family, p2000: ‡b label (Donny & Marie) booklet (Donny Osmond, Marie Osmond)

100 1 400 1 670 670

‡a Osmond, Donny ‡a Osmond, Donald Clark ‡a Life is just what you make it, c1999: ‡b t.p. (Donny Osmond) ‡a New Rolling Stone enc. of rock & roll: ‡b p. 735 (Donny Osmond; b. Donald Clark Osmond, 9 Dec. 1957, Ogden, Utah)

100 1 400 1 670 670

‡a Osmond, Marie, ‡d 1959‡a Osmond, Olive Marie, ‡d 1959‡a Marie Osmond's Guide to beauty, health, and style, c1980 ‡a The insider's country music handbook, c1993: ‡b p. 249 (Marie Osmond; b. Olive Marie Osmond, 13 Oct. 1959, Ogden, Utah)

names do not contain a reciprocal 510 field referring back to the group. The result is that when the library user looks up, e.g., “Osmond, Donny,” he or she will be presented the following display: Osmond, Donny search also under Donny & Marie [list of works containing the heading Osmond, Donny]

This same user, however, will not be given a display referring back to “Osmond, Donny” or “Osmond, Marie, 1959- ” when the search “Donny & Marie” is entered. This LC policy is exactly the opposite of that for heads of state, explained next, and seems counterproductive: under most music cataloging policies, the catalog record for a CD of the group Donny & Marie would contain both the heading “Donny & Marie” and headings for the individual performers, including “Osmond, Donny.” Therefore, the user searching “Osmond, Donny” would find all the records of the group under that heading, and a reference to “Donny & Marie,” implying that there is more there, is misleading and a waste of the user’s time. On the other hand, a reference from the group to the individual would be useful, because the library user searching under “Donny & Marie” very likely is also interested in other recordings by the performers.7


57

Heads of state, etc. Another case where 5XX fields are not paired is that of heads of state and religious bodies. In this case (unlike the case with musical groups) AACR2 gives explicit instructions. Rule 21.4D1a-b tells us to enter certain “official communications” of heads of state, other high government officials, popes, and other high ecclesiastical officials under the corporate heading for the official. The rule also instructs us to make an added entry (in the bibliographic record) for the personal heading for the person. Conversely, rule 21.4D2 makes entry for any other work by such a person under his or her personal heading; the cataloger is instructed to “make an explanatory reference from the corporate heading to the personal heading.” In other words, works entered under this person’s corporate heading will always contain, in addition to the corporate main entry, an added entry for the personal heading; but works entered under this person’s personal heading will not contain an added entry for the corporate heading. This means that the authority treatment for the two headings will be slightly different. Take the case of Thomas Jefferson. Because (assuming the rules were followed correctly) every type of work authored by Jefferson, whether official or not, will contain either a main or added entry for his personal heading (Jefferson, Thomas, 1743-1826), there is no need for the user who issues the search “Jefferson, Thomas” also to be directed to the corporate heading for the president (United States. President (1801-1809 : Jefferson)) or to the heading for Jefferson as governor of Virginia (Virginia. Governor (1779-1781 : Jefferson)), because all works will be gathered under the heading “Jefferson, Thomas, 17431826.” On the other hand, the library user who begins with one of the corporate headings will not find all the works of Jefferson gathered under that heading, but only the official communications emanating from the office of the president or governor. Therefore, the user needs also to be referred to the personal heading. Thus, Jefferson will have three authority records: one as a personal name, one as president of the United States, and one as governor of Virginia. The authority record for the personal name will contain 510 fields for the corporate forms. See figure 3-19. The authority record for Jefferson’s personal name contains a 510 field for each of his official (corporate) positions; the authority records for those corporate entities do not, however, contain a reciprocal 500 field for the personal name. The result of this for the user is as follows: 1. For the search “Jefferson, Thomas, 1743-1826,” no cross-references display: they are not needed. 2. For “United States. President (1801-1809 : Jefferson),” the following (or similar) display appears: United States. President (1801-1809 : Jefferson) search also under Jefferson, Thomas, 1743-1826

58


FIGURE 3-19

Government official

100 1 510 1 510 1 670 670 670

110 1 670 670

110 1 670 670

‡a Jefferson, Thomas, ‡d 1743-1826 ‡a United States. ‡b President (1801-1809 : Jefferson) ‡a Virginia. ‡b Governor (1779-1781 : Jefferson) ‡a Speech of Thomas Jefferson, president of the United States, delivered at his instalment, March 4, 1801, at the city of Washington, 1801? ‡a By His Excellency Thomas Jefferson, Esq., governour of the Commonwealth of Virginia : a proclamation, 1781 ‡a Enc. of world biog., 1998: ‡b 8:238-241 (Thomas Jefferson; b. Shadwell, Va., 17 Apr. 1743; d. Monticello, Va., 4 July 1826; Va. gov. June 1779-1781; U.S. pres. 4 March 1801, reelected 1804)

‡a United States. ‡b President (1801-1809 : Jefferson) ‡a Speech of Thomas Jefferson, president of the United States, delivered at his instalment, March 4, 1801, at the city of Washington, 1801? ‡a Enc. of world biog., 1998: ‡b 8:238-241 (Thomas Jefferson; U.S. pres. 4 March 1801, reelected 1804)

‡a Virginia. ‡b Governor (1779-1781 : Jefferson) ‡a By His Excellency Thomas Jefferson, Esq., governour of the Commonwealth of Virginia : a proclamation, 1781 ‡a Enc. of world biog., 1998: ‡b 8:238-241 (Thomas Jefferson; Va. gov. June 17791781)

3. For “Virginia. Governor (1779-1781 : Jefferson),” the following (or similar) display appears: Virginia. Governor (1779-1781 : Jefferson) search also under Jefferson, Thomas, 1743-1826

Many systems on the market today contain a “feature” that checks for reciprocal 5XX fields in authority records and “corrects” them if a supposed mistake is found. This may be a good feature in many cases, but when the system overrides the deliberate construction of the authority file in this particular case it is contravening a feature of the cataloging rules. In such systems if a search is made under “Jefferson, Thomas, 17431846,” the user will also be referred back to the two corporate forms of the name, even though no new records will be found if the user performs a new search using the corporate names. This seems at best a waste of the user’s time.


59

THE 663 FIELD

Heads of state, etc. In the case of heads of state, etc., AACR2 21.4D2 and 26.3C1a call for a somewhat different authority record than that described immediately above, requiring instead of a simple cross-reference an “explanatory reference” from the corporate heading to the personal heading, meaning an explanatory reference in the authority record for the corporate heading, giving as an example of a user display: Iran. Shah (1941-1979 : Mohammed Reza Pahlavi) Here are entered works of the Shah acting in his official capacity. For other works, see Mohammed Reza Pahlavi, Shah of Iran

“For reasons of economy” LC will not make these explanatory references and in fact actively removes them from the NAF when its catalogers find them (LCRI 26.3B-C). Therefore, NACO catalogers should not make these references either, instead connecting the headings with a simple “see also” reference in a 510 field, as shown in figure 3-19. However, if an individual library wished to have this rather useful reference display to its users, the authority records for the shah’s corporate and personal headings would be formed as in figure 3-20.8 The differences from standard practice are (1) a 663 field is added to the record for the corporate name, which triggers the message; and (2) the 510 field in the record for the personal name is coded “‡w nnnc” at the beginning of the string, which suppresses the display of the reference (if the display were not suppressed, the user would see both the message generated by the 663 field in the corporate name record and the “see also” message generated by the 510 field in the personal name record).

FIGURE 3-20

Explanatory reference for head of state (non-LC practice)

110 1 663

‡a Iran. ‡b Shah (1941-1979 : Mohammed Reza Pahlavi) ‡a Here are entered works of the Shah acting in his official capacity. For other works, see ‡b Mohammed Reza Pahlavi, Shah of Iran [670s omitted]

100 1 ‡a Mohammed Reza Pahlavi, ‡c Shah of Iran 510 1 ‡w nnnc ‡a Iran. ‡b Shah (1941-1979 : Mohammed Reza Pahlavi) [670s omitted]

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Pseudonyms. Although LC practice is to omit explanatory references from authority records for corporate and geographic names, this is not the case with personal names. The main situation where a 663 field is used to generate an explanatory reference for a personal name occurs with pseudonyms, and because there are two ways of treating pseudonyms under AACR2 (depending on if the author is “contemporary” or, if not, if he or she has established separate “bibliographic identities”), there are two types of explanatory references that might be made. First, however, as a reminder, there are two situations involving pseudonyms where no explanatory references are needed. The simplest situation is that of a person who uses only a pseudonym and not his or her real name. In this case, a single authority record is made, with a crossreference in a 400 field from the person’s real name if it is known (see figure 3-21). The second situation is that of a contemporary author who uses only two names (either his or her own name plus a pseudonym, or two pseudonyms). In this case, the pair of authority records will be connected by simple 500 “see also” fields, and no explanatory reference is needed (see AACR2 26.2C1). The heading for a work of a contemporary author using pseudonyms is whatever name appears with it (AACR2 22.2B3). An authority record is set up for each pseudonym (and the real name, if it is used), and all are authorized for use as headings in bibliographic records. 22.2B3 then instructs the cataloger to “make references to connect the names.” If more than two names are involved, explanatory references are used to connect the names (see AACR2 26.2D1). The language of 26.2D1 indicates that each authority record should have an explanatory reference guiding the user to all the other possible headings, and a library that wished to do this could certainly do so in their local catalog. However, LC policy, followed by NACO catalogers, departs slightly from this procedure (see LCRI 22.2B). First, the cataloger is instructed to choose the predominant form as the “basic” heading. The record for this heading will include 500 fields for all the other forms, but they are coded “‡w nnnc” to suppress their display. It will also contain a 663 field with the text “For works of this author entered under other names, search also under [list names].” All FIGURE 3-21 100 1 400 1 400 1 670 670

Pseudonym only used

‡a Wayne, John, ‡d 1907-1979 ‡a Morrison, Marion Michael, ‡d 1907-1979 ‡a Wayne, Duke, ‡d 1907-1979 ‡a The films of John Wayne, 1970 ‡a Enc. Britannica, 1992 ‡b (Wayne, John; byname Duke, original name Marian Michael Morrison; b. May 26, 1907; d. June 11, 1979)


61

other authority records created for the person will contain a single 500 field for the basic heading, again coded “‡w nnnc,” and a 663 field with the text “Works by this author are entered under the name used in the item. For a listing of other names used by this author, search also under [basic heading].” The result of this procedure will be that the user who searches for the basic heading will be provided with a list of all the names; the user searching for one of the other headings will not be given all the names, but will instead be directed to the basic heading for the list. The purpose of this departure from AACR2 is simplification of authority database maintenance. Under the LC procedure, whenever a new pseudonym is used by an author, a new authority record will be created for the heading, with a 500 and a 663 field pointing to the basic heading, and the record for the basic heading will be modified by the addition of the new name to its 663 field and one new 500 field. The AACR2 procedure, in contrast, would require modification of all the headings established for the author. This can become quite complex, and the LC procedure, although somewhat less helpful to the catalog user, is sensible and less prone to error on the part of the cataloger. An example of such an author is Orson Scott Card, who writes principally under his real name, but also uses several pseudonyms. Figure 3-22 gives the authority records necessary for this complex situation. Persons using more than one pseudonym (or a real name and one or more pseudonyms) and who are not “contemporary” (defined in LCRI 22.2B as having died before January 1, 1901) are normally entered under the name by which they have come to be identified, i.e., the “commonly known” principle at the basis of most of the AACR2 rules for headings. However, if such a person has “separate bibliographic identities,” i.e., he or she writes one type of work under one name and another type under another name, separate headings are used, necessitating separate authority records. These are connected by explanatory references. One such author is Lewis Carroll, who wrote fiction under that name, but wrote mathematical works under his real name, Charles Dodgson. The text of the explanatory reference will depend on the situation, but will be similar to that found in the 663 fields of the records for Dodgson/Carroll, figure 3-23.

Other Parts of the Record THE 010 FIELD

The 010 field records the LC Control Number assigned to the record. No longer strictly speaking LC’s control number in name authority records, it is might better now be called something like the Authority File Control Number, because records contributed to the file from other sources are also assigned numbers in this field. These are distinguishable by their prefix: records originally contributed by the LC begin with the prefix “n”;

62


FIGURE 3-22

Contemporary author writing under more than two names

a. The basic record 053 100 1 500 1 500 1 500 1 500 1 663 670 670 675

‡a PS3553.A655 ‡a Card, Orson Scott ‡w nnnc ‡a Bliss, Frederick ‡w nnnc ‡a Green, Bryan ‡w nnnc ‡a Gump, P. Q. ‡w nnnc ‡a Walley, Byron ‡a For works of this author entered under other names, search also under ‡b Bliss, Frederick, ‡b Green, Bryan, ‡b Gump, P. Q., ‡b Walley, Byron ‡a A storyteller in iZon, 1993: ‡b t.p. (Orson Scott Card) ‡a Sunstone, v.20, no.1 (Apr. 1997): ‡b p. 18 (Frederick Bliss and P.Q. Gump are pseudonyms used by Orson Scott Card in Sunstone) ‡a Friend, Oct. 1977: p. 38 (Byron Walley) ‡a The rag mission, 1979 (Bryan Green)

b. The other records 100 1 500 1 663 670

100 1 500 1 663 670

100 1 500 1 663 670

100 1 500 1 663 670

‡a Bliss, Frederick ‡w nnnc ‡a Card, Orson Scott ‡a Works by this author are entered under the name used in the item. For a listing of other names used by this author, search also under ‡b Card, Orson Scott ‡a Sunstone, v.20, no.1 (Apr. 1997): ‡b p. 18 (Frederick Bliss and P.Q. Gump are pseudonyms used by Orson Scott Card in Sunstone)

‡a Green, Bryan ‡w nnnc ‡a Card, Orson Scott ‡a Works by this author are entered under the name used in the item. For a listing of other names used by this author, search also under ‡b Card, Orson Scott ‡a The rag mission, 1979 ‡b (Bryan Green; pseud. used by Orson Scott Card)

‡a Gump, P. Q. ‡w nnnc ‡a Card, Orson Scott ‡a Works by this author are entered under the name used in the item. For a listing of other names used by this author, search also under ‡b Card, Orson Scott ‡a Sunstone, v.20, no.1 (Apr. 1997): ‡b p. 18 (Frederick Bliss and P.Q. Gump are pseudonyms used by Orson Scott Card in Sunstone)

‡a Walley, Byron ‡w nnnc ‡a Card, Orson Scott ‡a Works by this author are entered under the name used in the item. For a listing of other names used by this author, search also under ‡b Card, Orson Scott ‡a Friend, Oct. 1977: ‡b p. 38 (Byron Walley; pseud. used by Orson Scott Card)

BASIC AUTHORITY CONTROL PROCEDURES FIGURE 3-23 100 400 400 500 663 667

1 1 0 1

670 670 670

053 100 1 500 1 663 670

63

Separate bibliographic identities

‡a Dodgson, Charles Lutwidge, ‡d 1832-1898 ‡a Dodgson, C. L. ‡q (Charles Lutwidge), ‡d 1832-1898 ‡a D. C. L., ‡d 1832-1898 ‡w nnnc ‡a Carroll, Lewis, ‡d 1832-1898 ‡a For literary works of this author, search also under ‡b Carroll, Lewis, 1832-1898 ‡a SUBJECT USAGE: This heading not valid for use as a subject. Works about this person are entered under Carroll, Lewis, 1832-1898. ‡a Euclid and his modern rivals, 1879: ‡b t.p. (Charles L. Dodgson) ‡a The new belfry of Christ Church, Oxford, 1872: ‡b t.p. (D.C.L.) ‡a RLIN, 4/25/96 ‡b (hdg.: Carroll, Lewis, 1832-1898; Dodgson, Charles Lutwidge, 1832-1898; usage: Charles Lutwidge Dodgson, C.L. Dodgson, Charles L. Dodgson, D.C.L.)

‡a PR4611 ‡b PR4612 ‡a Carroll, Lewis, ‡d 1832-1898 ‡w nnnc ‡a Dodgson, Charles Lutwidge, ‡d 1832-1898 ‡a For mathematical works of this author, search also under ‡b Dodgson, Charles Lutwidge, 1832-1898 ‡a Lewis Carroll and Alice, 1832-1982, 1982: ‡b t.p. (Lewis Carroll) verso t.p. and text (C.L. Dodgson)

those originating in OCLC begin “no”; those from RLIN begin “nr”; those from WLN (Western Library Network) begin “nw”; and those from the British Library begin “nb.” LC subject authority records begin with the prefix “sh.” The contents of the field are automatically generated when records are contributed to the NAF. For an example of a 010 field in a record originating in RLIN, see figure 3-24. Because the creator of authority records never adds or manipulates this field, other figures in this book do not include an 010 field.

FIGURE 3-24 010 100 1 670 670

010 field

‡a nr 97036483 ‡a Vittet, Judith ‡a La cité des enfants perdus, 1995: ‡b credits (Judith Vittet) ‡a Internet movie database, via WWW, Sept. 15, 2000 ‡b (Judith Vittet, French actress; b. 1986)

64

BASIC AUTHORITY CONTROL PROCEDURES THE 040 FIELD

The 040 field contains the MARC symbols for the library that created the record (subfields ‡a and ‡c) and any subsequent library that modified the record (subfield ‡d). NAF records created in 1999 or later will also contain subfield ‡b in this field, which contains the MARC language code for the language of the cataloging agency or the language of the catalog for which the record is intended. This code denotes the language of the textual portions of the entry, not the language or country of origin of the person or entity for whom the record was created. All English-speaking libraries creating NAF records will use “eng” in this portion of the field. French-speaking libraries in Canada would use “fre.” Because every library’s symbol is different, in this chapter only figure 3-25 contains an 040 field; however, all authority records in the NAF contain an 040 field. The 040 field of figure 3-25 contains the MARC symbol “UPB,” the Harold B. Lee Library at Brigham Young University’s symbol. THE 053 FIELD

Name headings for literary authors and headings for anonymous literary works may contain an 053 field giving the LC classification number that has been assigned to that author or work (053 is also used to show the LC classification number that has been assigned to subject areas and thus frequently appears in subject authority records). Currently, only LC assigns and inputs these in the NAF, but NACO libraries and others may request that LC assign a classification number for a literary author or work and may also suggest the number to LC. To do this the library is first required to consult LC’s shelflist to make sure that the suggested number is appropriate to the author or work. Full instructions for this procedure are given at the PCC website, . A form at the same site is used for requesting 053 fields: . LC anticipates allowing NACO libraries to input 053 fields directly in name authority records in the near future, but until procedures are worked out for this, LC will continue to input them itself. Apart from procedures for inclusion of 053 fields in NAF records, all libraries are naturally free to input them as they like in their own local FIGURE 3-25 040 100 1 670 670

040 field

‡a UPB ‡b eng ‡c UPB ‡a Smith, William, ‡d 1813-1893 ‡a A concise dictionary of the Bible, 1880: ‡b t.p. (William Smith) ‡a RLIN, Sept. 15, 2000 ‡b (hdg.: Smith, William, 1813-1893; usage: William Smith)


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authority records. The first indicator of the field is undefined. According to MARC 21, the second is coded either “0,” meaning LC assigned the number, or “4,” meaning another library assigned it. LC currently codes 053 fields it enters in the NAF and SAF with a blank second indicator (a practice followed in this book), presumably on the theory that it is the only library allowed to enter 053 fields in authority records, and so identification of the assigning library is unnecessary. A library inputting 053 fields in its local file, however, would be wise to use “4,” because this would indicate to its catalogers that the number in the field was not assigned by LC. Alternatively, the field 090 is also available for locally assigned call numbers. The classification number itself is contained in subfield ‡a. Note that for a literary author, the classification number only, not a book number, is given here. This is because this number is meant to apply to all of an author’s works, not an individual title. See figure 3-26. Subfield ‡b is used to show the end of a span of numbers (with ‡a being the beginning). Many literary authors have been assigned a span of numbers in the LC classification scheme. For example, Robert Browning’s works may be classified within a range of forty-nine numbers. See figure 3-27. FIGURE 3-26 053 100 1 400 0 500 1 500 1 500 1 663

670 670 670

‡a PS3513.E2 ‡a Seuss, ‡c Dr. ‡a Dr. Seuss ‡w nnnc ‡a Geisel, Theodor Seuss, ‡d 1904‡w nnnc ‡a LeSieg, Theo., ‡d 1904‡w nnnc ‡a Stone, Rosetta ‡a For works of this author written in collaboration with Michael K. Frith, search also under ‡b Stone, Rosetta. ‡a For works of this author entered under other names, search also under ‡b Geisel, Theodor Seuss, 1904- , ‡b LeSieg, Theo., 1904‡a The cat in the hat, c1957: ‡b t.p. (Dr. Seuss) ‡a Contemp. auth., new rev. ser., v. 13 ‡b (Geisel, Theodor Seuss; b. Mar. 2, 1904) ‡a Washington Post, Sept. 26, 1991 ‡b (Theodor Seuss Geisel, who wrote as Dr. Seuss; d. 09-24-91, La Jolla, Calif.)

FIGURE 3-27 053 100 1 670 670

053 field showing the LC classification number for a literary author

053 field showing a span of numbers

‡a PR4200 ‡b PR4248 ‡a Browning, Robert, ‡d 1812-1889 ‡a Select poems of Robert Browning, 1905 ‡a RLIN, June 10, 2000 ‡b (hdg.: Browning, Robert, 1812-1889; usage: Robert Browning)

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LC’s current practice is not to give 053 fields in records for uniform titles of anonymous works, but there is no reason why a library should not use this field in its local system to record the call number used for such works, particularly because LC frequently does assign numbers to these works in its classification schedules. An example of how this would be recorded is found in figure 3-28. THE 083 FIELD

Not currently being used in NACO cataloging, the 083 field records a Dewey classification number. It may be used locally by a library using the Dewey system to record its classification decisions in exactly the same way as the 053 field records an LC classification number. The first indicator shows if the number comes from the full edition (0) or the abridged edition (1); second indicator value “0” means LC assigned the number; “4” means another library assigned it. As with 053, subfield ‡a contains the classification number (local implementation might usefully include the Cutter number here), and ‡b indicates that the following number is the end of a span of numbers. Subfield ‡2 contains the Dewey edition number. For an example of how this might look in an authority record, see figure 3-29. THE 667 FIELD

The 667 field is used for an explanatory note about the record that does not cite data. It is normally addressed to other catalogers, to explain something that might not otherwise be understood. For example, a contempo-

FIGURE 3-28

053 field for anonymous work

053 ‡a PR1580 ‡b PR1588 130 0 ‡a Beowulf 670 ‡a Beowulf, 1998 670 ‡a Resources for studying Beowulf, via WWW, June 13, 2000 ‡b (Old English poem existing in a single manuscript of about A.D. 1000)

FIGURE 3-29 083 04 100 0 670 670

083 field for literary author

‡a 882.01 So66 ‡2 21 ‡a Sophocles ‡a Oedipus tyrannus, c2000: ‡b t.p. (Sophocles) ‡a Oxford classical dict., 1996: ‡b p. 1422 (Sophocles; Athenian tragic playwright, 5th c. B.C.)


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rary author may have used several pseudonyms, but not all of them have been used in bibliographic records. The 667 field for the basic record might contain a list of the unused pseudonyms (cf. LCRI 22.2B). Another common use of the field in LC name authority records is to give instructions about subject use, because most, but not all, names can be used as subject headings (for an example, see figure 3-23). Catalogers are called upon to make judgments about the identity of persons they are dealing with. Even if the cataloger is not sure, he or she must make a decision about whether to identify a particular name on the item being cataloged with the same name in other bibliographic records. If the cataloger simply cannot decide, a note to this effect can be made in the authority record. The most common wording of this note is “Cannot identify with . . .” For example, in figure 3-30, the cataloger of Sensibility: A Poem (Edinburgh, 1789) could not decide whether the Thomas Hall named on the title page was the same person as “Hall, Thomas, 18th/19th cent.,” whose name had already been established in the authority file and who also wrote poetry. Therefore, he or she made a new heading for the author of Sensibility but left in the 667 field the possibility that they might, after all, be the same person. The cataloger of the recording Gambler’s Life including trombonist Al Hall was unsure that this was the same Al Hall who also played bass but concluded in the end that they were identical. Because he or she was not entirely sure, however, a 667 field was put in the record to show the cataloger’s thinking process. See figure 3-31.

FIGURE 3-30 100 1 667 670

‡a Hall, Thomas, ‡d fl. 1789 ‡a Cannot identify with Hall, Thomas, 18th/19th cent. ‡a Sensibility : a poem, 1789: ‡b t.p. (Thomas Hall, author of Benevolence and other poems)

FIGURE 3-31 100 1 667 670 670

670

“Cannot identify with” note

Tentative identification (personal name)

‡a Hall, Al, ‡d 1915-1988 ‡a Bassist and trombonist judged to be the same person. ‡a Mr. Wilson [SR], 1955?: ‡b container (Al Hall, bass) ‡a Reclams Jazzführer, 1990 ‡b (Hall, Al (Alfred Wesley); b. Mar. 18, 1915, Jacksonville, Fla.; d. Jan. 18, 1988, New York; bassist; raised in Philadelphia; played cello and tuba, starting on bass in 1932) ‡a Gambler's life, p1974: ‡b container (Al Hall, trombone)

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A variant on this note, for situations where the cataloger is certain of the facts of the situation, is worded “Not the same as: ______.” Such a note should be used sparingly and only when there is a real possibility of confusion. If separate authority records have been created, it is assumed they are for separate persons or entities, and so adding a note to one stating that it does not represent the same person or entity as another is somewhat redundant. Such notes can be made for tentative identification of corporate bodies as well. For an example, see figure 3-32. In this case the 667 field is added to explain the decision to include the 510 field. Figure 3-33 shows a 667 note that NAF users may encounter but will never make themselves. There have been various large projects by LC to populate the NAF with the contents of its manual authority files, and frequently this has involved machine generation of records with little direct human intervention. These records are identified by the 667 note “Machinederived authority record.” Once in the file they may be manipulated and updated just like any other authority record. There are numerous other uses for this field, but nearly all record either instructions or information about the record. One use not permit-

FIGURE 3-32 110 2 410 1 410 1 510 1 667 670

675

‡a Balé da Cidade de São Paulo ‡a São Paulo (Brazil). ‡b Secretaria Municipal de Cultura. ‡b Balé da Cidade de São Paulo ‡a São Paulo (Brazil). ‡b Balé ‡w a ‡a São Paulo (Brazil). ‡b Corpo de Baile Municipal ‡a Appears to be later name of: Corpo de Baile Municipal (São Paulo, Brazil) ‡a Bolero, 1982: ‡b t.p. (Balé da Cidade de São Paulo) p. 3 (Corpo de Baile Municipal; established 1968; restructured under Lei 9,168, 12/4/80 [not clear whether name changed under the provisions of the law]) p. 29 (Balé da Cidade de São Paulo, Prefeitura do Município de São Paulo, Secretaria Municipal de Cultura; diretor: Klauss Vianna) ‡a Corpo de Baile Municipal, 1980: t.p. (Corpo de Baile Municipal)

FIGURE 3-33 100 1 667 670

Tentative identification (corporate body)

Machine-derived authority record

‡a Prescott, John ‡a Machine-derived authority record ‡a LCCN 92-760047: Prescott, J. Sonata for tuba and piano opus 23, 1990?: ‡b (usage: John Prescott)


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ted in NACO records, but that might be appropriate in a library’s local file, would be to record the creator/reviser of a record’s name or initials in order to track who has manipulated the record more specifically than is possible using the library identifiers in the 040 field.

Fixed-Length Data A lengthy discussion of fixed-length data is found at the end of chapter 2, including two tables summarizing all the positions in the MARC 21 authorities format leader and 008 field. NOTES 1. LCRI 22.3A admonishes catalogers needing to choose between forms of name when the fullness of the name differs in database searches to “do it quickly and use common sense.” If more than fifteen records are found, the calculation is to be made on the basis of a sampling of the records. This sensible guideline should apply to all searches looking for usage, not just ones dealing with the fullness of a name. 2. There are a few cases in AACR2 where further searches in reference works are required. These include names in vernacular Latin and Greek forms (AACR2 22.3B2), the names of persons who use a given name only (no surname) (AACR2 22.3B3 and 22.3C1), saints’ names (LCRI 22.13B), and names of persons not primarily known as authors (AACR2 22.1B). 3. Under older authority practice, a form of the main entry was always included in the 670 field before the title proper, so the cataloger will encounter early records with 670 fields formed in this way. 4. “Conflict” refers to a heading that normalizes to the same form as another. When headings are compared for normalization, all diacritics (accents) and punctuation (dashes, parentheses, etc.) except the first comma in subfield ‡a are removed, and all the letters are converted to upper case. Thus, “Lévy, Jean” (male French name, with acute accent) conflicts with “Levy, Jean” (female American name, without acute accent) because both normalize to LEVY, JEAN. Similarly, “L’Amour, Charles” conflicts with “Lamour, Charles.” On the other hand, “Marie, Antoine” (surname, forename) does not conflict with “MarieAntoine” (name consisting solely of forenames) because the first normalizes to MARIE, ANTOINE and the second to MARIE ANTOINE. To summarize, headings that differ only in diacritics, punctuation (except first comma in subfield ‡a), or capitalization are considered to conflict because they normalize to the same form and must be qualified in some way to differentiate them from one another. For further details, cf. Descriptive Cataloging Manual: Z1, Name and Series Authority Records, available on Cataloger’s Desktop, under “NACO Normalization.” 5. The rule has been criticized, however, because of another use of the authority record: machine correction of the bibliographic file. Automated correction mechanisms usually look at cross-references in authority records to spot mistakes in bibliographic records and will sometimes “flip” the heading, replacing the form found in the cross-reference with that found in the 1XX field of the authority record. Thus, if the heading “Pierson, Chesley Nels, 1928- ” had been, for

70

BASIC AUTHORITY CONTROL PROCEDURES example, an older pre-AACR2 heading on existing bibliographic records, some automated correction procedures would need the form in a 4XX field to make the change. This automated procedure is not, of course, above criticism itself. Because of the fact that 4XX fields may conflict with each other, there is a real possibility that the machine would have more than one possible 1XX authority form to choose from when making the “flip” and could therefore “correct” the heading to the wrong form. 6. Note that the primary elements rule only applies to personal names, not to corporate or geographic names or uniform titles or series. 7. A proposed change to LCRI 26.2C correcting this situation was under discussion at the time of publication of this book. Catalogers should consult the latest edition of the LCRIs for current practice. 8. The headings are formulated as in AACR2. The actual headings currently in the NAF are Iran. Shah (1941- : Mohammed Reza Pahlavi) and Mohammed Reza Pahlavi, Shah of Iran, 1919- .

AUTHORITY CONTROL OF NAMES

4

The Anglo-American Cataloguing Rules (AACR2) recognize three types of names. These are personal names (AACR2 chapter 22), corporate names (AACR2 chapter 24), and geographic names (AACR2 chapter 23). All of these names are subject to authority control because, as access points, it is desirable that they take one form and one form only so that users may have the expectation of finding everything associated with a name by entering only one search.

CHOICE OF NAME Two initial decisions need to be made for any name, whether personal, corporate, or geographic. These are (1) the choice of the name, that is, which of any variations on the name will be chosen as the basis for the name; and (2) the authorized form of the name, that is, how will the chosen name look when entered in the catalog record and which part of the name will serve as the entry point, i.e., the part that is indexed in the library’s browsable alphabetic indexes. These two decisions are covered by detailed rules in AACR2 part II.

Personal Names For personal names, choice of name is regulated by AACR2 22.1A, which instructs the cataloger to choose the name by which the person is commonly known. This rule makes sense and is one of the guiding principles of the code. So, for example, we will choose the religious name “Teresa” for works by and about the prominent nun Mother Teresa rather than her given name “Agnes (or Agnese) Gonscha Bojaxhiu” because that is how she is commonly known. We will choose the nickname “Bill Clinton” rather than “William Jefferson Clinton” because that is how the former

71

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president is commonly known. We will choose the initialism “P. G. Wodehouse” rather than spelled out “Pelham Grenville Wodehouse” because that is how the author is commonly known. AACR2 gives some guidelines for determining how a person is commonly known: for authors, we are to determine this from the “chief sources of information . . . of works by that person issued in his or her language” (22.1B). So the title page of a book, which is the chief source of information for that format (2.0B1), is considered prima facie evidence that a name printed on it is the “commonly known” version of it. This is not limited to the title pages of items published within the author’s lifetime (cf. LCRI 22.1B). Thus, if the cataloger sees on the title page of the 1994 HarperTrophy edition of The Lion, the Witch, and the Wardrobe the author’s name in the form “C. S. Lewis,” that is taken as evidence of how the author’s name is commonly known and may be the form used as the basis of the authority record, even though the cataloger may know that the author’s full name is Clive Staples Lewis. What if there is evidence that the person used more than one form of his or her name? For example, take the case of Robert F. Kennedy. Most title pages displaying his name use the form “Robert F. Kennedy,” but some use the form “Robert Kennedy”; some use “Bobby Kennedy,” as he was popularly known; one simply calls him “Senator Kennedy”; another, “RFK”: five variants on one name (to take into account only English-language variants). Or what about Kennedy’s sister-in-law Jackie? She was originally known as Jacqueline Bouvier; then she took the name Jacqueline Kennedy (during which time she was known both by that form and by the form Mrs. John F. Kennedy) and then finally Jacqueline Kennedy Onassis —in the second and fourth cases also being known by her nickname Jackie for a total of at least six name forms. The principle does not change: use the “commonly known” form. AACR2 does not leave the cataloger afloat, however, and gives some guidance for choosing between variant forms of the name. In the first place, “commonly known” should be taken in its normal sense. In the case of the senator, well over 90 percent of items bearing his name use the form “Robert F. Kennedy,” and so that form will be the one chosen. The case of Mrs. Onassis is harder: Is she better known as Jacqueline (or Jackie) Kennedy, when she was the wife of the president of the United States, or as Jacqueline (or Jackie) Kennedy Onassis, under which name she did most of her publishing? For the variant Jacqueline/Jackie a simple judgment on the cataloger’s part involving a usage sample of existing records is called for, but for the surname AACR2 gives guidance: if a person has changed his or her name, the presumption is that the last-used name is the “commonly known” form unless there is strong evidence that an earlier name will persist as the better-known form (22.2C1). Thus, the form “Jacqueline Kennedy Onassis” is chosen for this person.


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In some cases the cataloger must choose between variants for which one form does not clearly predominate. This is frequently the case when choosing between fuller and less-full forms. If no form predominates, the cataloger is to choose the fuller form (AACR2 22.3A). Under LCRI 22.3A, when choosing between forms that vary in fullness, one form “predominates” only if it occurs more than 80 percent of the time (this is sometimes referred to as “the 80 percent rule”). This rule interpretation, which bends somewhat the AACR2 stipulation of using the commonly known form (one would logically consider a form used 75 percent of the time “commonly known,” but under the above interpretation it might not be chosen), results in fuller forms being favored over more commonly known but less-full forms in some cases. Because “fuller” is nowhere defined in AACR2, attention should be paid to the explanation in the LCRI: fullness has to do with the number of elements, not the length of them. To use LC’s example, “B.E.F. Pagen” is a fuller form than “Bernard Edward Pagen” because the former has four elements while the longer form only has three. It should also be noted that the 80 percent rule only applies to choices between forms that vary in fullness. It has no application, for example, in choosing between the forms C. S. Lewis and Clive Staples Lewis, because these names, having the same number of elements, do not vary in fullness. In the case of Lewis, a simple majority (or even perhaps a plurality if there were three or more equally full forms) would be sufficient to choose between the forms.1 For persons not primarily known as authors of written texts (e.g., painters, printers, or persons who have written nothing but whose names are needed for subject headings), AACR2 does not consider the chief source of information to be prima facie evidence of the preferred or commonly known form.2 We are instead to “determine the name by which [the person] is commonly known from reference sources issued in his or her language or country of residence or activity” (22.1B). This means that if a cataloger is establishing the name of a French artist, he or she should go to a French-language encyclopedia, such as Grand Larousse encyclopédique,3 and it might even make sense to consult a specialized encyclopedia in French such as Dictionnaire universel de l’art et des artistes.4 To establish the name of an Italian head of state who is not primarily known as an author of written texts, the cataloger might go to a biographical source in Italian such as the Dizionario biografico degli Italiani.5 Note that AACR2 does point out in the footnote to 22.1B1 that “reference sources” includes books and articles written about the person and therefore may even include the item being cataloged, as long as it is published in the language or country of residence of the person whose name must be established. The rule to establish such names using reference sources published in the person’s language or country of residence seems to be little put into

74


practice, even by LC catalogers. At least a brief examination of the NAF (Name Authority File) for artists’ names turns up little evidence of searching in non-English/non-American reference sources (to say nothing of actually using them in making decisions about form) when establishing these names, many of which (e.g., Escher, Renoir, Titian) would have been easily findable in such sources. Yet AACR2’s stipulation is based on sound principles. Authors of written texts normally publish mostly in their own language and in their own country of residence and usually have some control over the form of the name appearing on the chief source, at least during their own lifetime. Thus, in these cases, the name found on the chief source is in fact good evidence not only of the commonly known form, but also the form preferred by the person. This is not the case with names of persons not responsible for the text of the item, who may instead be the subject, or who made some other contribution. In such cases it only makes sense to try, at least, to find other evidence of the commonly known form by checking reference sources published in the person’s own language or country of residence. More work for the cataloger, yes, but perhaps this requirement needs to be reemphasized, especially because there is no evidence that either AACR2 or the associated LCRI (Library of Congress Rule Interpretations) have directed to do otherwise. If AACR2’s basic principle of using the commonly known form of names in access points is to stand, there is really no way around this.

Corporate Names Choice of name for corporate names of all types is governed by AACR2 24.1A: we are to choose the name by which a corporate body is “commonly identified.” This is basically the same principle as that for choice of personal names. The evidence for the “commonly identified” form of the name of a corporate body is the form as it is found on items issued by the body in its own language. If we are unable to find an item issued by the body in its own language, we are to use reference sources, which might include the work being cataloged itself. This rule makes sense. Although this is not explicit in the rules, we do take into account the preference of the author in our decision about the commonly known or identified form of the name, both with personal and corporate names, and certainly the best evidence for how a corporate body wishes to be known is from items the corporate body has issued.6 As with personal names, a problem arises when variant forms are used by a corporate body on items that it has issued. As usual the rules and guidelines given in AACR2 are based on general principles of evidence for deciding by which of two or more variants a corporate body is “commonly identified.” In the first place, AACR2 always favors forms found on chief sources of information over those found elsewhere in the item,


75

and so in the case of corporate bodies, the cataloger is to prefer those forms (24.2B), the presumption being that these are the commonly known forms. If variants are found on chief sources of information, the cataloger is to choose the form that is presented formally, with the presumption that this will be the form by which the body is commonly identified. If this cannot be determined, the cataloger is next to choose the predominant form (this would again be determined by a simple usage sample of the cataloging databases available to the cataloger). If no form predominates, the cataloger is directed to use a brief form, but not so brief that it conflicts with the name of another body. The rules for choice of name for corporate bodies differ, however, from those for personal names in one major respect, and that is choice of name when the name changes. When a person’s name changes, the cataloger chooses one of the names for the heading, giving references from the other forms, which are considered variants. This is because when a person changes his or her name, the person still exists as the same entity. This is not the case with corporate bodies. According to cataloging theory, when a corporate body’s name changes, this signals the end of the existence of the body attached to the earlier name and the beginning of a new one. For example, in 1997 “The School with No Name,” a school in a Salt Lake City homeless shelter, changed its name to “Marilyn Treshow Elementary School” in honor of its first full-time teacher, who had died unexpectedly.7 Under cataloging rules this is not a variant name: it is the name of a new and different corporate body. Although there was no sudden change in the administrative structure of the school itself at this time, under AACR2 this renaming signals the birth of a second corporate body. Therefore, either heading might be used on a bibliographic record, depending on which of the two corporate bodies is referred to.8 One easily overlooked point that ought to be made here is that a corporate body must have a name to be established. “Corporate body” is defined in AACR2 21.1B1 as “an organization or a group of persons that is identified by a particular name and that acts, or may act, as an entity” (italics added). Thus, groups that are represented on bibliographic items but not named are not corporate bodies as far as the rules are concerned, and therefore headings are not made for them. For example, The Arkansas Senior Citizens’ Handbook (Little Rock: Arkansas Bar Foundation, 1984) would not generate any kind of heading for the Arkansas senior citizens: they are certainly a group and might even act as an entity (for example, by voting in a local election), but they are not identified by a particular name. Probably intuitively the cataloger would not want to make an entry for this group of senior citizens, but what about the two “bodies” in the title Address to the Independent Electors of Massachusetts, by a Meeting of Citizens from Every Part of the State, Holden in Boston (Boston: Russell, Cutler and Co., 1815)? These electors and the citizens are certainly more

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cohesive than the senior citizens of the Arkansas example, and they are clearly acting as entities, but they are still unnamed, and so neither group will be given an entry.9 The concept that a corporate body must be named is particularly important when considering conferences and meetings. AACR2 defines conferences as “meetings of individuals or representatives of various bodies for the purpose of discussing and/or acting on topics of current interest, or meetings of representatives of a corporate body that constitute its legislative or governing body” (21.1B1 fn.1). The LCRI to 21.1B1 gives guidelines for deciding if a meeting is named and can therefore be given a heading. One piece of evidence is if the meeting uses the definite article in conjunction with its “name”; another is capitalization usage in languages that capitalize words in corporate names. The title Wine in Context: Nutrition, Physiology, Policy: Proceedings of the Symposium on Wine and Health (Davis, Calif.: American Society for Enology and Viticulture, 1996) contains a named meeting, but if the title had been phrased Wine in Context: The Proceedings of a Symposium on Wine and Health, it would not. Another LCRI guideline is that the phrase must contain a word that connotes a meeting. Thus, the title Etruscan Italy: Etruscan Influences on the Civilizations of Italy from Antiquity to the Modern Era (Provo, Utah: Museum of Art, Brigham Young University, 1996) does not contain a meeting name, even though the book contains the proceedings of a symposium that billed itself as “Etruscan Italy.”10

Geographic Names AACR2 23.2 governs the choice of name for a place name. The cataloger is to “use the English form of the name of a place if there is one in general use” (23.2A1). If there is no such name, the form in the official language of the country is to be used (23.2B1). This is to be determined by searching gazetteers and reference sources published in English-speaking countries. NACO (Name Authority Cooperative Program) guidelines give explicit instructions about what these reference sources are to be. To establish a place name in the United States, the cataloger is to consult the U.S. Geological Survey’s Geographic Names Information System, found at ; if the system is unavailable, he or she is to consult the latest edition of the Rand McNally Commercial Atlas and Marketing Guide. Names in Great Britain are to be based on the form found in a recent edition of Bartholomew Gazetteer of Places in Britain. NACO guidelines require that headings for Canadian place names be established by the National Library of Canada, and catalogers needing such headings are to forward requests to them and not establish the name themselves. The form of place names found elsewhere in the world is determined by that found in the GEOnet Names Server, found at , which contains the


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National Imagery and Mapping Agency’s database of foreign geographic feature names, or “an appropriate gazetteer” when the Web is unavailable. In any of these cases, other reference sources may of course be used, but the reference sources required by NACO must first be consulted, and forms found there generally take precedence over forms found elsewhere. A somewhat confusing aspect of AACR2 treatment of this type of name is that the names of geographic entities are used for two distinct types of headings, the name of the place—i.e., a geographic name—and the name of the jurisdiction (government) whose territory encompasses the place—i.e., a corporate name. The same heading will stand for both, although they are very different concepts, and both will share the same authority record. This sometimes causes confusion in MARC (MachineReadable Cataloging) coding (which has separate fields for the two concepts: X10 for corporate names and X51 for geographic names). Authority records for all names of this type will be coded as geographic names, i.e., the authorized form will appear in a 151 field in the authority record. Thus, the authorized form for the U.S. government appears in the authority record as 151

‡a United States

This same record is used to authorize the form for the physical territory covered by the United States. The confusion arises in coding the bibliographic record. Because the United States is acting as a corporate body when it appears in a main or added entry field, in the bibliographic record, the heading will be coded 110 1

‡a United States.

710 1

‡a United States.

or However, if this name is used as a subject, it is always coded as follows, whether the subject covers the entity as a government or a place, e.g., 651 0 ‡a United States.

which could be used for an item about the United States government or a general treatment of the United States as a place, or, e.g., 651 0 ‡a United States ‡x Description and travel.

which with this subdivision would only be used for treatment of the place, not the government. The name of the jurisdiction and the name of the place share the same form and authority record only in the case where the name stands alone. A subordinate body entered under the name of the jurisdiction is always a corporate name, never a geographic name, and so is always to be coded in the X10 field. Thus, the heading for the United States Marine Corps will be coded as follows:

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Authority record: 110 1

‡a United States. ‡b Marine Corps

Bibliographic records: 110 1 610 1 710 1

‡a United States. ‡b Marine Corps. ‡a United States. ‡b Marine Corps. ‡a United States. ‡b Marine Corps.

On the other hand, many place names do not correspond to a jurisdiction. Examples include the names of mountains, deserts, and rivers, all coded in X51 fields: Authority records: 151 151 151

‡a Rocky Mountains ‡a Sonoran Desert ‡a Ohio River

This type of name also includes entities that are conglomerates of jurisdictions, such as New England or the western part of the United States, coded in authority records as 151 151

‡a New England ‡a West (U.S.)

Because these are not corporate bodies, they will never appear in a main or added entry in a bibliographic record; when they appear in a subject entry, they are coded in a 651 field: Bibliographic records: 651 651

‡a Nile River. ‡a Eastern Hemisphere.

Like those of other corporate bodies, the names of jurisdictions can change, and when they do, a new heading is created along with a new authority record. For example, in 1991 the city of Leningrad changed its name to St. Petersburg. A new authority record was created, authorizing the new form. The older form remains authorized because, as for other corporate bodies, it may be used as a main or added entry on records as appropriate (see figure 4-1).11 (Note: the older form may not be used as a subject heading under the latest entry principle. See chapter 10.) A different procedure is followed if the name of the jurisdiction remains the same but the name of the qualifying body changes. In this case the name is not considered to have changed, and so instead of creating a new authority record, the existing heading is modified. For example, Moscow, a jurisdiction within the Soviet Union, became a jurisdiction within Russia when the Soviet Union went out of existence, but the city itself did not change its name. The heading in the authority record was changed, as were all corresponding headings in bibliographic records. Additionally, the qualifiers on the cross-references were changed. One


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cross-reference with the old form of the name was left to guide library users to the new form (see figure 4-2). Changes in the jurisdictional qualifier of geographic names are among the few instances under current practice where changes to established headings are routinely made. FIGURE 4-1 151 451 551 551 667 667 670 670 670 675

151 451 451 451 551 670 670

‡a Leningrad (R.S.F.S.R.) ‡a Leninnkrant (R.S.F.S.R.) ‡w a ‡a Petrograd (R.S.F.S.R.) ‡w b ‡a Saint Petersburg (Russia) ‡a SUBJECT USAGE: This heading is not valid for use as a subject. Works about this place are entered under Saint Petersburg (Russia) ‡a DESCRIPTIVE USAGE: For items and imprints pertaining to the 1924-1991 period only ¯ ‡a Rosia, 1977 ‡b t.p. (Leninnkrant) ‡a USSR gaz., 1970 ‡b (Leningrad; 59° 55' N 30° 15' E) ‡a LC PreMARC file ‡b (hdg.: Leningrad; earlier names: Saint Petersburg, Petrograd) ‡a BGN, per phone 11-04-91 (Leningrad officially renamed Sankt-Peterburg on 23 Oct. 1991); ‡a BGN, 10-23-91 (Sankt-Peterburg [Russian], Saint Petersburg [conventional]; ppl.)

‡a Saint Petersburg (Russia) ‡a Peterburi (Russia) ‡a Sankt-Peterburg (Russia) ‡a Sanktpeterburg (Russia) ‡w a ‡a Leningrad (R.S.F.S.R.) ‡a Peterburi Eesti seltside teatritegevus, c1991 ‡a BGN, 10-23-91 ‡b (Sankt-Peterburg [Russian], Saint Petersburg [conventional]; ppl. 59° 55' N 30° 15' E; variant: Sanktpeterburg; officially renamed from Leningrad on 23 October 1991: earlier names: Petrograd (1914-1924), Leningrad (1924-1991))

FIGURE 4-2 151 451 451 451 451 451 670 670

Change in jurisdictional name (new authority record created)

Change in jurisdictional qualifier (authority record modified)

‡a Moscow (Russia) ‡a Moskva (Russia) ‡a Moscou (Russia) ‡a Moskau (Russia) ‡a Moskwa (Russia) ‡w nne ‡a Moscow (R.S.F.S.R.) ‡a Where in Moscow, 1992: ‡b t.p. (Moskva) ‡a BGN, per phone 1/27/84 ‡b (Moskva (Russian); Moscow (conv.); popl. 55° 45' N 37° 35' E; variants: Moscou, Moskau, Moskwa)

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Name or Subject? The confusion caused by place names and jurisdiction names using the same form and authority record points to an important issue in authority work: Is the heading needed a name or a subject? The decision will affect both the coding and the file where the authority record resides. Geographic names, as shown above, are always established using a geographic name field, MARC authorities field X51. However, many of them can be used both as corporate bodies in main and added entry fields and as topical subjects in subject fields. Such names (e.g., United States)—because they have a corporate aspect—are established in the Name Authority File (NAF) according to the conventions of AACR2, and may be established in the NAF under NACO guidelines by any NACO librarian. The second group of geographic names described above, those that describe a place but are not also the name of a jurisdiction (e.g., mountains, deserts, rivers, conglomerates of jurisdictions), are considered subjects and must be established in the Subject Authority File (SAF), according to the conventions of Library of Congress Subject Headings (LCSH) and the Library of Congress’s (LC) Subject Cataloging Manual (SCM).12 These conventions do not always produce the same result as AACR2. The SAF is also currently entirely controlled by LC, which makes changes and additions as it needs them and as it receives subject heading proposals through the Subject Authority Cooperative Program (SACO) (for SACO, see chapter 12; for SCM, see chapter 10). Most libraries that do not participate in NACO or SACO will also follow similar guidelines for deciding whether a heading should be established in their name authority file or their subject authority file, if they maintain separate authority files. Even if they do not, in all likelihood the rules for establishing names under AACR2 and those for establishing subject headings will differ, even if they do not use LCSH as their subject thesaurus; thus, even with a single authority file, the distinction between name and subject will have to be considered by the cataloger. The issue of whether a heading is a name or a subject goes beyond geographic names. Although in most cases it is quite clear whether a heading under consideration for establishment is a name or a subject, some cases have historically caused problems, and LC has simply made an arbitrary decision in ambiguous cases (this is unofficially known as “the division of the world”). These decisions change from time to time, so that what was once established in the SAF might now be established in the NAF, and occasionally vice versa.13 The trend seems to be a gradual shift of these ambiguous headings from subject to name status, which will give NACO catalogers more control over their form. However, the lists of name types must always be consulted in these cases to see which file a heading should be established in. These lists are found in four places: the LCRIs to 24.1 and 24.7 and SCM H405 and H1592 (see also chapter 10).


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The following are the categories as they stood at the time of publication of this book. NAMES

The following are always established in the NAF according to AACR2 conventions (LCRI 24.1 / SCM H405): Abbeys Academies Airplanes, Named Airports Almshouses Aquariums, Public Arboretums Art works, Individual Artificial satellites Asylums (charitable institutions) Athletic contests Banks Bars Biblical characters Biological stations Boards of trade (chambers of commerce) Botanical gardens Broadcasting stations Cathedrals Cemeteries Chambers of commerce Chapels Churches (in use or ruins) Circuses City sections (including historic districts in cities) Collective settlements Colleges Comic strips Communes Competitions Computer programs Concentration camps Concert halls Conservation districts Contests

Convents Correctional institutions Country clubs Crematories Dance halls Denominations, Religious (individual) Dispensaries Ecclesiastical entities that are also names of places, for example, Basel (Switzerland : Ecclesiastical principality) Ecological stations Educational institutions Electronic discussion groups Embassies Events [Events appear in both lists. See below for explanation.] Exhibitions Expeditions, Military Expeditions, Scientific Experiment stations Expositions Factories Fairs Festivals and celebrations Folk festivals and celebrations Forest districts Funds Funeral homes, mortuaries Galleries Games (events) Halfway houses Herbariums Hospitals Hotels

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Individual works of art Jurisdictions, Ancient (other than cities) Laboratories Libraries Library districts Markets Military installations (active; also all after 1899) Monasteries Morgues Motels Motion pictures Museums Nightclubs Nursing homes Observatories Old age homes Opera houses Orphanages Parades Park districts Planetariums Plans (programs) Poorhouses Port authorities Prisons Projects, plans, etc. Public celebrations, pageants, anniversaries Publisher’s imprints Pueblos Races (contests)

Radio programs Railroads Recreation districts Religious denominations Research stations Restaurants Sanatoriums Sanitation districts Satellites, Artificial School districts Schools Service stations Shipyards Shows (exhibitions) Software, Computer Sound recording labels Space vehicles Sporting events Stock exchanges Stores, Retail Studies (research projects) Television programs Temples (in use; excludes temples in ruins) Theater companies Tournaments Tribes (as legal entities only) Undertakers Universities Utility districts Water districts Works of art, Individual Zoological gardens

SUBJECTS

The following are established according to subject cataloging conventions (i.e., according to the conventions described in the SCM) and reside in either the SAF, if the heading is used only for subject access, or in the NAF, if the heading is needed for use as a main or added entry in addition to subject access (SCM H405): Amusement parks Apartment houses

Armories Artists’ groups


Asian conglomerate corporations Astronomical features (asteroids, comets, galaxies, planets, etc.) Auditoriums Awards Bathhouses Baths, Ancient Bridges Building details Buildings, Private Buildings occupied by corporate bodies Bus terminals Camps Canals Capitols Castles Celestial bodies Cities, Extinct (pre-1500) City halls Civic centers Clans Clubhouses Coliseums Collections, Public or Private Collective farms Community centers Computer languages Computer networks Computer systems Convention centers Courthouses Customhouses Details, Building Docks Doors Dwellings Estates Events [Events appear in both lists. See the following section for explanation.] Exhibition buildings Families

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Farms Feasts Ferry buildings Fire stations Forests Fortresses (structures) Gardens Gates Grain elevators Gymnasiums Hazardous waste sites Highways Historic sites (including historic districts not in cities) Immigration stations Islands, Nonjurisdictional Land grants Lighthouses Manors Mansions Market buildings Military installations (before 1900 and inactive) Mine buildings Mines Mints Monuments (structures, statues, etc.) Music halls Office buildings Official residences Palaces Parks Playgrounds Plazas (open spaces, squares, etc.) Police stations Pools, Public Ports (physical facilities) Post offices Power plants Presidential mansions Public comfort stations Racetracks

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Railway stations Ranches Recreation areas Refugee camps Reservations, Indian Reserves (parks, forests, etc.) Resorts Roads Rooms Sanitary landfills Satellites (i.e., moons) Schools of artists Shopping centers Shrines (not churches) Spas Sport arenas

Stadiums Streets Structures (nongeographic, for example, towers) Temples (in ruins) Terminal buildings Theater buildings Theme parks Tombs Towers Trails Tribes (ethnic groups) Tunnels Villas Walls Waterways.14

A separate set of instructions, SCM H1592 (with a corresponding, shorter list at LCRI 24.7), applies to decisions about conventions for establishing events and which file their records reside in. Events that are “(1) formally convened; (2) directed toward a common goal; (3) capable of being reconvened; and (4) have formal names, locations, dates, and durations” are established as names in the NAF using the MARC 111 field according to AACR2 conventions; other events are established in the SAF using the MARC 150 field according to subject cataloging conventions. Like SCM H405, SCM H1592 also provides a list of ambiguous heading types. NAMES (EVENTS)

The following types of events are to be established in the NAF according to AACR2 conventions (LCRI 24.7 / SCM H1592): Athletic contests Competitions Conferences Contests Exhibitions Expeditions, Military Expeditions, Scientific Expositions Fairs Festivals and celebrations

Folk festivals and celebrations Games (events) Meetings Parades Public celebrations, pageants, anniversaries Races (contests) Shows (exhibitions) Sporting events Tournaments


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SUBJECTS (EVENTS)

The following types of events should be established in the SAF according to subject cataloging conventions (SCM H1592): Accidents Assassinations Bombings, explosions Coronations Cruises, flights Cultural revolutions Epidemics, famines Fires Funerals Hijackings Imprisonments Inaugurations Massacres Military engagements, raids, battles, wars, revolutions, occupations, invasions, operations

Natural disasters Political incidents, affairs, scandals Purges Reigns, rules Riots, demonstrations Sieges, blockades Special days, weeks, months, years, decades, umbrella terms for events that are composed of multiple individual public celebrations, pageants, anniversaries Strikes Trials Uprisings, mutinies Weddings

FORM OF NAME Once the cataloger has made the choice of which version of a name to authorize, he or she must decide on the form that name will take in the entry and authority record. This is governed by AACR2 chapter 22 for personal names, by chapter 23 for geographic names, and by chapter 24 for corporate names of all types. Because this book is intended as a manual for doing authority work, only the most basic information about form of name will be given in the sections below. The cataloger is referred to Maxwell’s Handbook for AACR2 for greater detail.

Personal Names The basic AACR2 stipulation for forming personal names is that they are to be “entered” under the part of the name that would be listed first in authoritative alphabetic lists in the language or country of the person (AACR2 22.4). In other words, that part of the name will come first in the heading. In most cases this means that the form chosen will be different from that actually used by the person. Bill Clinton’s name will be formed in the indirect order “Clinton, Bill”—even though nobody actually calls him “Clinton, Bill” to his face or refers to him in that way in books, articles, or political speeches—because authoritative alphabetic lists in English

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list people by surname. C. S. Lewis’s name will be formed “Lewis, C. S.”; Frank Sinatra will be “Sinatra, Frank.” The rather complex AACR2 rules about handling compound surnames and surnames with separately written prefixes are all based on this simple principle: Which element of the name would come first in authoritative alphabetic lists in the person’s language or country? Personal names that lack surnames are formed simply by the given names (and sometimes associated numbers), in direct order. Mother Teresa’s name will be simply “Teresa”; Pope John Paul II’s will be “John Paul II.” The names of persons who choose to be known by phrases are established in direct order exactly as given in the sources of information used in making the choice of name. If a name formed as described above does not conflict with (i.e., is not identical to) another person’s name, in most cases it can be established as is with no further work. However, in the case of conflict, and in nearly all cases of names that lack surnames, AACR2 calls for additions to distinguish the name or to further identify it. The most common of these additions is dates of birth and/or death, as described in AACR2 22.17. Thus, to Bill Clinton’s name we add his birth date, 1946, giving us the form “Clinton, Bill, 1946- ” (see figure 4-3); the addition of birth date to Frank Sinatra’s name yields “Sinatra, Frank, 1915- ” (see figure 4-4). There are several Frank Sinatras in the authority file, so in this case the date was added to distinguish the singer from others of the same name. There is only one Bill Clinton in the file. The date was added to his name not to distinguish it from another name, but, by applying the option in 22.17, to add the date if it is known to the cataloger, even if it is not needed to break a conflict. Another method of distinguishing names is adding “fuller,” i.e., spelled out, forms (AACR2 22.18). If the name contains initials and the cataloger knows what they stand for, the fuller form may be added to the name as a qualifier. Thus, C. S. Lewis’s name will be formed “Lewis, C. S. (Clive Staples).” Because the cataloger also knows Lewis’s birth and death dates, these will also be added when the name is established: “Lewis, C. S. (Clive Staples), 1898-1963” (see figure 4-5). FIGURE 4-3 100 400 510 510 510 670 670

1 1 1 1 1

Personal name qualified by date of birth

‡a Clinton, Bill, ‡d 1946‡a Clinton, William J. ‡q (William Jefferson), ‡d 1946‡a Arkansas. ‡b Governor (1979-1981 : Clinton) ‡a Arkansas. ‡b Governor (1983-1992 : Clinton) ‡a United States. ‡b President (1993-2001 : Clinton) ‡a His Summary of exec. recommend. for the budget, State of Ark., FY 1980-81, 1981?: ‡b t.p. (Bill Clinton, governor) ‡a WWA, 1980/81 ‡b (Clinton, William J., b. 8/19/46; governor of Ark., 1979- )

AUTHORITY CONTROL OF NAMES FIGURE 4-4 100 1 400 1 670 670 670

Personal name qualified by date of birth

‡a Sinatra, Frank, ‡d 1915‡a Sinatra, Francis Albert, ‡d 1915‡a Tips on popular singing, c1941: ‡b t.p. (Frank Sinatra) ‡a New Grove dict. of Amer. mus. ‡b (Sinatra, Frank (Francis Albert); b. 12-12-15, Hoboken, NJ; popular singer and actor) ‡a National Public Radio news, May 15, 1998 ‡b (Frank Sinatra, singer, 82, d. May 14, 1998, Los Angeles)

FIGURE 4-5 100 1 400 1 400 1 670 670

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Personal name qualified by fuller forms and dates of birth and death

‡a Lewis, C. S. ‡q (Clive Staples), ‡d 1898-1963 ‡a Lewis, Clive Staples, ‡d 1898-1963 ‡a Lewis, Jack, ‡d 1898-1963 ‡a The lion, the witch, and the wardrobe, 1994: ‡b t.p. (C.S. Lewis) ‡a C.S. Lewis, his letters to children, c1985: ‡b t.p. (C.S. Lewis) text (known as Jack Lewis; Clive Staples Lewis)

Names established using only a given name normally receive additions as well. Certain of these additions are explicitly mandated in the rules (22.16). For example, a pope has the title “Pope” added to the name: “John Paul II, Pope” (22.16B); a religious title used by the person is added to the name of persons of religious vocation who do not have a surname: “Teresa, Mother”; royalty have their title added: “Elizabeth I, Queen of England.” Other names entered under given name are given catalogerdevised qualifiers if necessary to distinguish them from another identical name (which is almost always the case with names entered under given name). For example, “Mary (Mother of John Mark).” The forms of name for these persons as currently established are: 100 0 100 0 100 0 100 0

‡a John Paul ‡b II, ‡c Pope, ‡d 1920‡a Teresa, ‡c Mother, ‡d 1910‡a Elizabeth ‡b I, ‡c Queen of England, ‡d 1533-1603 ‡a Mary ‡c (Mother of John Mark)15

U N D I F F E R E N T I AT E D N A M E S

If more than one person use the same name and no additional information can be found to distinguish them, AACR2 22.20A permits the same heading to be used for them all.16 The authority record for such a heading is called an “undifferentiated name record.” The record for an undifferentiated name is marked in several ways to make it easily recognizable. First, the fixed field position 008/32 (“undifferentiated personal name”) is coded

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“b” (see tables 2-1 and 2-2 in chapter 2 for full details on the fixed field positions and RLIN and OCLC equivalents). The record will contain a 100 field, just like any other authority record for a personal name, but each person covered by the record will receive at least two 670 fields. The first of these will be given in the format “[Author (etc.) of (title)].” The second will be a 670 field in normal format for the work being cataloged (see details on 670 fields below). Each person covered by the heading will have a similar pair of 670 fields. If it can be determined that other works are by one of the persons already covered in the record, additional 670 fields for these may be added under the appropriate bracketed 670 field. The heading “Baker, Margaret” (figure 4-6) is formed as an undifferentiated name, representing three persons: a novelist, a writer on medical subjects, and a magazine editor. No information is known about any of these women that would help the cataloger distinguish the names, and so they will share a single heading (with the result that the works of all three will be interfiled under the same heading in the index of bibliographic records) and a single authority record. If a cataloger later discovers further information about one of the names, allowing it to be distinguished from the others, a new authority record should be made for the newly qualified heading, and the corresponding bibliographic records should be corrected to separate them out from the undifferentiated name. The 670 fields in the original undifferentiated name record corresponding to the new heading will also be removed. For a two-year period in the late 1980s LC experimented with streamlining this procedure, issuing a ruling that these records should have 670 fields for no more than three persons. If the heading represented more, no additional 670 fields were added (beyond those for the third), and a 667 field was added containing the note “Record covers additional persons.” This policy was rightly found to be unworkable and has been discontinued. Undifferentiated personal name records should now contain 670 pairs for all persons represented by the heading, no matter how many

FIGURE 4-6 [008/32 100 1 670 670 670 670 670 670

Undifferentiated personal name

coded "b"] ‡a Baker, Margaret ‡a [Author of Blind desire] ‡a Blind desire, 1986: ‡b t.p. (Margaret Baker) ‡a [Author of Hospital careers] ‡a Hospital careers, 1966 ‡b (text by Margaret Baker) ‡a [Editor of Top girl] ‡a Top girl, 1966 ‡b (edited by Margaret Baker)


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there are. If an older record is encountered with the 667 field described above, however, the 667 field should be retained because it represents the missing 670 fields.

Corporate Names Unlike most personal names, corporate names are not normally inverted or changed in any other way when formed under AACR2 rules. They are normally given in direct order, in exactly the form chosen above, under “Choice of Name.” However, formation of corporate names can become much more complicated than that of personal names because once the name itself is chosen, parts of it may be removed, and other items added, before arriving at the final AACR2 form. OMISSIONS

Several portions of the chosen name will be omitted from the basic form. First, if the corporate body presents its name with spaces between initials (as with acronyms or initialisms), leave out the spaces (24.1A). For example, AFL-CIO, not A F L-C I O. (Do not remove periods, if the body uses them; conversely, do not add them if it doesn’t. Copy the usage of the body itself.) Next, omit initial articles (unless the heading should file under the article, for example, if the heading begins with a place name such as Los Angeles) (24.5A). For example, “New York Academy of Art,” not “The New York Academy of Art.” Omit terms indicating incorporation, such as “Inc.” or “Ltd.,” unless these are integral to the name or they are needed to make clear that the name is that of a corporate body (24.5C1). The LCRI to this rule informs us that if the term occurs anywhere in the name but at the end, it is ipso facto integral to the name. Thus, Forest Press, Inc. becomes “Forest Press” (“Inc.” is neither integral to the name nor is it needed to convey the idea that this is a corporate body); Cardiff and Bristol Channel Incorporated Shipowners’ Association retains the term (integral to the name); Time, Inc. retains the term (needed to make clear that it is a corporate body). The word “company” (and variants, e.g., “& Co.”), extremely common in corporate names, does indicate incorporation, but in most corporate names it is needed to indicate that the name belongs to a corporate body, so it is normally not omitted. It is thus retained, for example, in Campbell Soup Company. Omit abbreviations before ships of all kinds (24.5C4). The space shuttle orbiter USS Columbia becomes “Columbia.” Omit from conference names indications of number, frequency, or years of convocation (24.7A). The 18th Annual Semiconductor Pure

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Water and Chemicals Conference becomes “Semiconductor Pure Water and Chemicals Conference”; the 1998 Symposium on VLSI Technology becomes “Symposium on VLSI Technology.”

ADDITIONS

Generally, a corporate body name does not need additions unless its name as formed after the omissions described above does not convey the idea of a corporate body or unless another corporate body has an identical or very similar name (24.4). If the name does not convey the idea of a corporate body, a qualifier consisting of the type of corporate body is added. One common category of corporate names not considered to convey the idea of a corporate body is names consisting of a personal name. Examples include “John W. Brown (Ship)”; “Maxwell Espinosa (Firm)”; “Bonnie “Prince” Billy (Musical group).” Conversely, such names that also contain terms that clarify that the phrase denotes a corporate body, e.g., “Ben Smith Quartet,” are not qualified. Corporate names that consist of two or more personal names are considered to clearly convey the idea of a corporate body and are not normally qualified (LCRI 24.4B1), e.g., “Johnson & Johnson.” Other names consist of words that either would not make sense without such a qualifier or do not in themselves convey the idea that they represent a corporate body. Examples include “Brown Sugar (Musical group)” and “Auschwitz (Concentration camp).” Qualifiers are added even if the body’s name conveys the idea of a corporate body if another body shares the same or similar name. AACR2 instructs us to add a place name to these as a qualifier, unless some other qualifier provides better identification. For example, there are several separate (though related) auction houses calling themselves “Sotheby’s.” These are all qualified by the location in which they reside, e.g., “Sotheby’s (Beverly Hills, Calif.)”; “Sotheby’s (Los Angeles, Calif.)”; “Sotheby’s (Singapore).” One type of qualifier that may provide better identification than place name is the name of an institution, and this should be used if appropriate (24.4C5). There are two Lilly Libraries, one at Indiana University and the other at Wabash College. Their headings are “Lilly Library (Indiana University, Bloomington)” and “Lilly Library (Wabash College).” Sometimes different types of qualifiers are used with conflicting headings. There are two Chemists’ Clubs, one in New York City, an independent organization, and one in Chicago, associated with the University of Chicago. Their names are formed: “Chemists’ Club (New York, N.Y.)” and “Chemists’ Club (University of Chicago).” Note, however, that qualifying by institution is much less common than qualifying by place name,


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and in cases such as the Chemists’ Clubs, adding qualifiers of different types may be confusing to catalog users; further, in the case of common names that have been used by large numbers of bodies, inconsistency in qualifier type may make it difficult to ascertain the already established heading for a given body. If corporate names cannot be distinguished in any other way, dates may be added as qualifiers (24.4C6). For example, the Collegiate School of Connecticut changed its name to Yale College in 1718. Yale College, in turn, changed its name to Yale University in 1887. However, the liberal arts school of Yale University continued to call itself Yale College after 1887. These two Yale Colleges are different corporate bodies, the one representing the ancestor of the university and the other representing a subordinate body within the university. Place name or associated institution does not work to distinguish these bodies. The identically named bodies will be qualified by date: “Yale College (1718-1887)” and “Yale College (1887- ).” Caution: do not anticipate conflicts. The cataloger is restricted to headings already used in the bibliographic files he or she uses (the local library catalog, easily accessible catalogs such as LC’s , and utilities such as RLIN or OCLC) in deciding whether a conflict exists. Even though the cataloger may know or suspect that another body uses the same name as the one being established, the name should be qualified only if another heading in the file conflicts. Corporate names are not qualified because they might conflict at some time in the future with another heading but only if they in fact conflict at the time of establishment. There is no equivalent in AACR2 treatment of corporate names to the option in AACR2 22.17 and 22.18 to qualify personal names even if they do not conflict.17 Meeting names are usually qualified in bibliographic records even if they do not conflict with other corporate names. First, the items that were omitted from the name itself (number, frequency, or year of convocation) are re-added to the form in a set order as a qualifier. In addition, the location of the meeting is added as a qualifier. The form of the heading for the 18th Annual Semiconductor Pure Water and Chemicals Conference, after omissions and additions, will be “Semiconductor Pure Water and Chemicals Conference (18th : 1999 : Santa Clara, Calif.)”; that of the 1998 Symposium on VLSI Technology will be “Symposium on VLSI Technology (18th : 1998 : Honolulu, Hawaii).” Under current NACO and LC practice, authority treatment of ongoing (repeated) meetings such as the two given above is somewhat different from that of other headings. A record is not made for the entire heading as found in the bibliographic record but only for the unqualified form (LCRI 24.7B). The authority forms for these meeting names would be 111 2 111 2

‡a Semiconductor Pure Water and Chemicals Conference ‡a Symposium on VLSI Technology

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On the other hand, headings for meetings that are not held on a repeating basis are fully authorized. The heading in the authority file for the Symposium on Water Quality and Environmental Health, held in 1984 in Tucson, Arizona, is 111 2

‡a Symposium on Water Quality and Environmental Health ‡d (1984 : ‡c Tucson, Ariz.)

The thinking behind this distinction seems to be that repeated meetings are not really separate corporate bodies and that once the name itself has been established, the authority record can authorize all the qualified headings. This policy causes problems in online systems that look to the authority file for exact matches of headings in the bibliographic file in heading authorization processes, and it may need rethinking in the future.18 Meanwhile, nothing forbids libraries using such systems to create authority records for full meeting name forms in their own authority files. By LC rule interpretation (24.4C), a government body entered directly under its own name is generally qualified by the name of the government, even if the name does not conflict with that of another body. The headings for the National Research Council and North Dakota’s Council on Arts and Humanities are both qualified, even though no other corporate body shares their name, because they are government agencies entered directly under their own names. The forms in the authority records will be: 110 2 110 2

‡a National Research Council (U.S.) ‡a Council on Arts and Humanities (N.D.)

On the other hand, government bodies entered directly under their own names that are “institutions” (schools, libraries, laboratories, hospitals, archives, museums, prisons, etc.) are not so qualified. Thus, “Library of Congress” is not qualified. The utility of this arcane though long-standing distinction and the requirement to qualify certain nonconflicting government bodies are doubtful.19 S U B O R D I N AT E B O D I E S

A special type of addition to a corporate name occurs when a body is subordinate to another. The “default” in AACR2 is to enter a body directly under its own name, but whenever a body is a part of a larger body, the cataloger must decide whether the name should be entered subordinately to (i.e., after) the name of the larger body. This results in an addition to the name of the body, but unlike the types of additions discussed above, this addition stands before the name. AACR2 has separate rules for subordinate government bodies and for other subordinate bodies. Therefore, when the cataloger realizes that a corporate body is subordinate, the next question that must be asked is whether it is a government body or not. If


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it is a government body, the cataloger will turn to 24.18-19; if not, he or she will turn to 24.13-14. The general rule for both kinds of body is that they should be entered under their own names; however, if the subordinate body falls under one of the “types” of 24.18 or 24.13 as appropriate, it will be entered subordinately under the larger body. The National Aeronautics and Space Administration will be entered subordinately under the name of the government because its name contains a “word that normally implies administrative subordination” (administration), 24.18A type 2 (cf. the corresponding LCRI), and thus its authority form is 110 1

‡a United States. ‡b National Aeronautics and Space Administration

On the other hand, the Prentice Hall Press is a subordinate body, a division of Simon & Schuster. Because it does not fall under one of the types listed in 24.13, it will be formed directly, without the addition of the parent body: 110 2

‡a Prentice Hall Press20

When establishing a corporate body entered subordinately or giving a subordinate form in a 4XX field, all elements in the form(s) must be established separately. As an example, the Space and Communications Group at Denver Engineering Laboratories, part of the Hughes Aircraft Company, is entered subordinately to the parent body under AACR2 24.13 (see figure 4-7). Because it is entered directly under Hughes Aircraft Company (AACR2 24.14), a cross-reference is required showing the intervening body (the Denver Engineering Laboratories). To establish this heading, then, three authority records are required: one for the Space and Communications Group, one for the Denver Engineering Laboratories, and one for the Hughes Aircraft Company. In most cases the cataloger will find when searching the authority database that the higher bodies have already been established, but if they have not, they must be established at the same time as the subordinate body.

Geographic Names The formation of geographic names (including jurisdiction names and names of places) is quite straightforward compared with that of corporate names, with the wrinkle introduced above under “Choice of Name” of jurisdictions (corporate bodies) sharing forms and authority records with place names (subjects). OMISSIONS

Once the name has been chosen, the cataloger will first omit from the name any term that indicates a type of jurisdiction (23.5). The official

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FIGURE 4-7 110 2 410 2 670 670

Multiple records required to establish subordinate body

‡a Hughes Aircraft Company. ‡b Space and Communications Group ‡a Hughes Aircraft Company. ‡b Denver Engineering Laboratories. ‡b Space and Communications Group ‡a Advanced nickel-hydrogen cell configuration ..., 1983: ‡b t.p. (Hughes Aircraft Company, Space and Communications Group) ‡a Development of Ku-band rendevous radar ..., 1986: ‡b t.p. (Hughes Aircraft Company, Denver Engineering Laboratories, Space and Communications Group, Englewood, Colo.)

110 2 670

‡a Hughes Aircraft Company. ‡b Denver Engineering Laboratories ‡a Development of Ku-band rendevous radar ..., 1986: ‡b t.p. (Hughes Aircraft Company, Denver Engineering Laboratories)

110 2 510 2 670

‡a Hughes Aircraft Company ‡w b ‡a Raytheon Systems Company ‡a Rocket liner program (Contract DA-O4-495-ORD-3079), 1962: ‡b t.p. (Hughes Aircraft Company) ‡a Raytheon Company WWW Home page, Jan. 19, 1999 ‡b : overview (Raytheon Systems Company combines the best of Raytheon Electronic Systems ... and the former Hughes Aircraft Company)

670

name City of Tucson becomes “Tucson”; Ville de Paris becomes “Paris”; Commonwealth of Puerto Rico becomes “Puerto Rico”; County Clare becomes “Clare.” Initial articles are dropped except for certain non-English names if “retention is supported by current gazetteers in the country’s language” (LCRI 23.2). “Los Angeles” retains the article because current gazetteers in English retain the article; the Virginia village called “The Plains,” an English name, becomes “Plains.” ADDITIONS

Additions are not made to the names of countries or states unless they conflict with another identical name (AACR2 24.6). Thus, “United States” and “France” are not qualified. However, there are two countries that go by the name of “Congo.” They are therefore qualified: “Congo (Brazzaville)” and “Congo (Democratic Republic).” Local place names in the United States, Canada, Australia, and a few other countries are qualified by the name of the state, territory, province,


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etc., in which they are located. “Tucson” becomes “Tucson (Ariz.)”; “Plains” becomes “Plains (Va.)” (qualifiers are abbreviated according to AACR2 appendix B.14). The names of states, territories, provinces, etc., themselves are not qualified unless a conflict exists. “Puerto Rico” remains “Puerto Rico,” but “Washington” and “New York” become “Washington (State)” and “New York (State)” because of conflicts with cities of the same name. Local place names in the British Isles are qualified by England, Ireland, Northern Ireland, Scotland, Wales, Isle of Man, or Channel Islands. “Clare” becomes “Clare (Ireland).” Local place names elsewhere in the world are qualified by the name of the highest jurisdiction in which they are located. “Paris” becomes “Paris (France).”21 CHANGES TO THE FORM AS FOUND

By agreement between the Library of Congress and the British Library (because of divergent practice since the original implementation of the Anglo-American Cataloguing Rules), English-language place names that begin with any form of the word “Saint,” including “St.,” will be established with the spelled out form “Saint” except for place-names in the United Kingdom and Ireland, where “St.” is preferred (as noted above, Canadian place-names should all be established by the National Library of Canada, which has its own policies on this issue). “Mount” should always be spelled out, never established as “Mt.,” regardless of the form in the source. NOTES 1. For a full discussion of the handling of variant personal names, as well as choice of name in the case of pseudonyms, see Robert L. Maxwell with Margaret F. Maxwell, Maxwell’s Handbook for AACR2R: Explaining and Illustrating the Anglo-American Cataloguing Rules and the 1993 Amendments (Chicago and London: American Library Association, 1997), p. 369-80. 2. Note, however, that composers of music are considered authors for purposes of this rule. Cf. LCRI 22.1B. 3. Grand Larousse encyclopédique en dix volumes (Paris: Librairie Larousse, 19601964, with supplements). 4. Dictionnaire universel de l’art et des artistes (Paris: F. Hazan, 1967-1968). 5. Dizionario biografico degli Italiani (Roma: Istituto della Enciclopedia italiana, 1960- ). 6. AACR2 does not define “issued,” but under its common meaning an item issued by a body would be an item published by that body. “Issued” might also include items that a body has caused to be published, even though some other body might appear in a formal publication statement. Cf. the Library of Congress’s definition of “emanating from” a corporate body, in the LCRI to 21.1B2; the

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AUTHORITY CONTROL OF NAMES same reasoning might be followed in determining if an item has been issued by a corporate body. 7. Deseret News, 4-5 September 1997, p. B-8. 8. For full details on the treatment of variant names and name changes in corporate bodies, see Maxwell’s Handbook for AACR2R, p. 425-32. 9. Compare the rules for phrase headings in 21.5C, 22.11, and A.2B1. These rules are for formulating personal name headings. There is no equivalent rule for corporate bodies, so we could not form a phrase heading, say, for “Arkansas Senior Citizens” or “Independent Electors of Massachusetts” parallel to a personal name heading such as Lady of Quality or Citizen of Albany (cf. examples in A.2B1). 10. For more details on the concept of named meetings, see Maxwell’s Handbook for AACR2R, p. 440-42. 11. The authority records in figures 4-1 and 4-2 have been simplified. 12. Library of Congress Cataloging Policy and Support Office, Library of Congress Subject Headings, 24th ed. (Washington, D.C.: Library of Congress, 2001); Library of Congress Cataloging Policy and Support Office, Subject Cataloging Manual: Subject Headings, 5th ed. (Washington, D.C.: Library of Congress, 1996- ). Both of these tools are also available on Cataloger’s Desktop. 13. For the historical background, see SCM H405. 14. For details on MARC tagging of categories in both lists, see SCM H405. 15. For full details on forming personal names, see Maxwell’s Handbook for AACR2R, p. 380-418. 16. For a discussion of undifferentiated names, see Maxwell’s Handbook for AACR2R, p. 418. 17. Cf. LCRI 24.4C. Only forms chosen as headings are qualified if they conflict. Conflicts between variants of corporate names are ignored. This means conflicts are allowed between cross-references, and therefore identical cross-references can be used on the authority records of different corporate bodies; as a result, if a user searches under a cross-reference that “conflicts,” he or she will be directed to more than one heading and will need to decide at that point which is the heading wanted. For an example, see figure 3-10 and accompanying text. 18. The LC/NACO policy was in fact reconsidered in early 2000, probably in response to the needs of LC’s new library system. Unfortunately, after some discussion, the proposal to routinely authorize the full meeting name with qualifiers for all meetings, including those that are repeated, was withdrawn. 19. For a full discussion of omissions from and additions to corporate names, see Maxwell’s Handbook for AACR2R, p. 432-47. 20. For a full discussion of treatment of subordinate bodies, including the question of direct or indirect subheadings (AACR2 24.14 and 24.19) and other special rules for forming corporate name headings, see Maxwell’s Handbook for AACR2R, p. 447-55. 21. For qualification of geographic names that serve only as place-names, i.e., do not double as corporate names of jurisdictions, see chapter 10.

UNIFORM TITLES General Information

5

Uniform titles are treated in two chapters in this book. The first, chapter 5, contains general information about uniform titles, including instructions for creating MARC (Machine-Readable Cataloging) authority records for uniform titles. The second, chapter 6, treats specific types of uniform titles.

WHAT ARE UNIFORM TITLES AND WHAT ARE THEY USED FOR? Most uniform titles identify a particular work and as such might better be called something like “uniform work identifier.”1 The uniform title serves as a standard citation for a work and is useful to the catalog user who is searching for a known work but who perhaps does not know the exact wording of the title for a given edition. The term “uniform title” is somewhat confusing because it often consists of both a name and a title under AACR2 (Anglo-American Cataloguing Rules) principles of authorship (see figure 5-1). Other uniform titles (e.g., for anonymous classics, such as Beowulf; works with diffuse authorship, such as a film; or most serials) consist of a title alone (see figure 5-2). Uniform titles normally reside in a library’s name authority file precisely because many of them begin with a personal name. This may be a source of confusion to the novice cataloger, because uniform titles that do not include a name are generally filed together with those that do. Unlike a name heading, a uniform-title heading identifies an abstract entity, that is, the work itself as opposed to any particular manifestation or expression of the work, such as a specific edition or publication of it. The heading for Moby Dick (figure 5-1) stands for all the editions of the work, from the first edition to the one published last year, and other manifestations of the work, such as an audio recording.

97

98

UNIFORM TITLES: GENERAL INFORMATION

FIGURE 5-1 100 1 400 1 670

Name-title

‡a Melville, Herman, ‡d 1819-1891. ‡t Moby Dick ‡a Melville, Herman, ‡d 1819-1891. ‡t Whale ‡a Moby Dick, or, The whale, 1985

FIGURE 5-2

Title alone

130 0 ‡a How the Grinch stole Christmas (Motion picture : 2000) 430 0 ‡a Dr. Seuss' How the Grinch stole Christmas (Motion picture : 2000) 670 ‡a Internet movie data base, Mar. 22, 2000 ‡b (How the Grinch stole Christmas; 2000 film directed by Ron Howard; [another film with same title]) 670 ‡a Dr. Seuss' How the Grinch stole Christmas, p2000.

The purposes of uniform titles are enumerated in AACR2 25.1A. First, because they are uniform, they can serve as a collocating device in the catalog, bringing together all manifestations of a work, no matter what the format or language and whether or not the title on the published item is consistently the same. The Lithuanian translation of Moby Dick, titled Baltasis banginis, would not come up in a search for Moby Dick, whether the patron chose a keyword or alphabetical approach. The addition of the uniform title “Melville, Herman, 1819-1891. Moby Dick. Lithuanian” causes this record to collocate (file) with all other manifestations of the work. Equally important, uniform titles serve a differentiating function, separating different works that were published under the same title. The heading for How the Grinch Stole Christmas in figure 5-2 differentiates the 2000 live-action film from the cartoon produced in 1966, whose uniform title would be “How the Grinch stole Christmas (Motion picture : 1966).” In turn, these uniform titles distinguish the movies from the book by Dr. Seuss, whose uniform title would be “Seuss, Dr. How the Grinch stole Christmas.” The use of uniform titles is theoretically optional under AACR2 (see 25.1), but it is hard to imagine how a catalog could do without them. Even if they are not used on records for the works themselves, unless some provision is made for uniform titles, there will be no heading to describe works about these works, e.g., a subject heading for a commentary on a Shakespeare play. Furthermore, very few catalogs are independent of all others and therefore will be using records created by other libraries that contain uniform titles. The de facto North American standard is to use uniform titles, and unless a library creates all its catalog records from scratch, it will have records with uniform titles in its database.


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Uniform titles are by definition uniform and fall under authority control because they need to be consistent and unique. Therefore, once the decision has been made to use a uniform title, an authority record is usually also necessary to record the decision the library has made about the form of the uniform title so that the next time it is needed for another manifestation of the work, the cataloger will use the same form. Authority records for uniform titles also trigger cross-references guiding the user to the chosen form. Authority work for uniform titles is much the same as that described in chapter 4 for names, but there are a number of problems specific to them. One of the most important has to do with the structure of the MARC formats for handling uniform titles that consist of a name and a title. A good example is the 1977 publication of an English translation of Plato’s Timaeus and Critias (see figure 5-3). These are two separate works and are identified in the bibliographic record by two separate uniform titles. The first named work, Timaeus, becomes the main entry for the record.2 The full uniform title is “Plato. Timaeus. English.” However, the current structure of the MARC record mandates that it be recorded in two separate fields, the name in the 100 field, and the title in the 240 field. The

FIGURE 5-3

Bibliographic record containing uniform titles, with their authority records

100 0 ‡a Plato. 240 10 ‡a Timaeus. ‡l English 245 10 ‡a Timaeus and Critias / ‡c Plato ; translated with an introduction and an appendix on Atlantis by Desmond Lee. 260 ‡a London ; ‡a New York : ‡b Penguin, ‡c c1977. 300 ‡a 167 p. ; ‡c 20 cm. 440 0 ‡a Penguin classics 504 ‡a Includes bibliographical references. 700 02 ‡a Plato. ‡t Critias. ‡l English. 700 1 ‡a Lee, Henry Desmond Pritchard, ‡c Sir, ‡d 1908-

100 0 670 670

‡a Plato. ‡t Timaeus. ‡l English ‡a Timaeus and Critias, c1977 ‡a LC in RLIN, Nov. 29, 2000 ‡b (hdg.: Plato. Timaeus. English)

100 0 670 670

‡a Plato. ‡t Critias. ‡l English ‡a Timaeus and Critias, c1977 ‡a LC in RLIN, Nov. 29, 2000 ‡b (hdg.: Plato. Critias. English)

100


second named work, Critias, is also given an entry point in the record as an “analytical entry” under AACR2 21.30M, allowing the library user to find the record whether he or she begins with the uniform title for either work. The analytical entry is recorded in a single 700 field, not split like the main entry. This peculiarity of the MARC record structure is not only confusing, but it causes serious problems for library systems, some of which have not yet been solved. This is because the uniform title for Timaeus, split between two fields in the bibliographic record, is authorized by an authority record in which the form is contained within a single field, the 100 field (authority format). Nearly all library systems now have automatic authority checking features, but most have not yet solved the problem of authorizing a pair of fields in a bibliographic record from a single field in the authority record. This problem would be solved if the entire uniform title were contained in the bibliographic 1XX field, a solution that was proposed several years ago to the North American body authorized to make modifications to the MARC format. Unfortunately, it appears that the current practice is too entrenched, and the proposal is unlikely ever to be approved.3

WHEN SHOULD A UNIFORM TITLE AND A CORRESPONDING AUTHORITY RECORD BE MADE? Not all records require a uniform title. Most published works are published only once and are never translated or republished, which means that there is no need to collocate them with other versions of the same work. Of those that do appear more than once, very few will have the same main entry (author and title) as another work, so few will need to be differentiated from each other. So, although a given library is of course perfectly free to make a uniform title for every work it catalogs, in most cases this will be unnecessary. The Library of Congress’s (LC) policy is to use uniform titles in bibliographic records to identify works “unless the complete uniform title that would be assigned is exactly the same as the title proper of the item” (LCRI 25.1). Two exceptions are made to “exactly the same as the title proper”: the presence of an initial article in the title proper is not considered and certain anonymous classics are routinely given uniform titles whether or not the uniform title is exactly the same as the title proper. Although the LC rule is stated positively, the practical effect of this policy is that most works are not assigned uniform titles because the uniform title is nearly always based on the wording of the title proper (‡a of field 245) of the first edition of the work (see AACR2 25.3B). Therefore, for the first appearance of a work, the uniform title will generally be the


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same as the title proper. Because the first appearance of a work is usually also the last, most works will not be assigned uniform titles. As for works that do come out in multiple editions, in most cases the title proper remains the same, and so these, too, will not be given uniform titles. Only the small subset of these whose title actually changes (and the author remains the same), or those that are translated into other languages, will be assigned uniform titles, because in those cases the uniform title would not be the same as the title proper. However, even though most works will not formally be assigned a uniform title, LC’s positive statement (“use a uniform title unless . . .”) does require the cataloger to consider what the uniform title for the work would be in every case. The cataloger cannot know if the uniform title would be exactly the same as the title proper of the item unless he or she first knows what the uniform title would be if it were assigned. And the decision that the two are exactly the same means that for records made under this policy, the title proper (combined with the author’s name, if any) in fact is the uniform title of the work; it just isn’t formally recorded in a 1XX/240 or 130 field. So the implication of the LCRI (Library of Congress Rule Interpretations) is that every work cataloged under its policy does have a uniform title, whether recorded or not. Unlike LC practice for personal and corporate names (which requires the creation of an authority record if a name is to be used as an access point on a bibliographic record), not all uniform titles require an authority record at that institution. LC’s Descriptive Cataloging Manual (DCM) requires that an authority record be created for a uniform title only under the following four conditions: 1. A reference must be traced in the authority record (e.g., for variant forms of the title). 2. Special research has been done to establish the form of the uniform title, which must be recorded in the authority record. 3. The heading is needed for a related work added entry or subject heading, and the related work is not in the bibliographic catalog. 4. Special information needs to be recorded.4 This policy apparently is not aimed at avoiding creating authority records for main entry uniform titles created under LCRI 25.1. As already explained, LCRI 25.1 requires the creation of a uniform title only if it would differ from the title proper of the item being cataloged; therefore, by definition there will always be at least one variant from the uniformtitle form (that of the title proper), and this variant will need to be traced on the authority record in a 4XX field. However, one type of uniform title that is frequently made does not require an authority record under the DCM policy: name-title headings for related works (either subject headings or added entries). The assumption seems to be that the benefit derived

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from having authority records for these uniform titles is not worth the effort needed to create them. The LC policy also appears to be based on the assumption that except in the four cases listed, the bibliographic record containing the uniform title can serve as adequate authority, because catalogers searching the catalog would find the correct form there if the uniform title is needed again. On the other hand, this same reasoning could be applied to personal and corporate names by LC, but is not. Interestingly, as of August 1999 LC cataloging practice for music headings requires that an authority record be created for every uniform title needed, whether or not it meets one of the four criteria listed above. This may signal a move by LC to eventually abandon the DCM conditions and require the creation of authority records for all uniform titles. NACO (Name Authority Cooperative Program) participants are allowed to contribute any uniform title they need to the NAF (Name Authority File), whether or not DCM conditions apply, and of course individual libraries can set up their own policies. There might be good reasons for implementing a policy requiring that every uniform title have its own authority record. For example, many systems now validate headings in the bibliographic database, but they can only do it if an authority record exists for the heading. Even if a uniform title is likely to be used only once, it would be a good idea in such a system to create an authority record for it so that the system will not continue to report the heading as unauthorized.

CHOOSING THE UNIFORM TITLE Choosing a uniform title for a work requires a certain amount of study of the bibliographic universe for that work: Are there other manifestations or expressions of the work that need to be taken into account in choosing the form? This preliminary research may reveal several apparent manifestations of the work, which will require an answer to another question: Are all these bibliographic items the same work? If they are the same work, they will share the same uniform title. If they are not the same work, they will not share a uniform title (even though they may be related in some way). AACR2 gives some guidance on this question. The basic rule is stated in 21.9: “Enter a work that is a modification of another under the heading appropriate to the new work if the modification has substantially changed the nature and content of the original, or if the medium of expression has been changed [i.e., in these cases the work is considered a different work from the original]. If, however, the modification is an abridgement, rearrangement, etc., enter under the heading appropriate to the original [i.e., in these cases, the work is considered to be the same work as the original].” Subsequent rules give specific applications of this general rule, some of which are listed below:


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New work (no shared uniform title) A paraphrase, rewriting, adaptation for children, or version in a different literary form (e.g., poetry vs. prose) (21.10) Illustrations for a text if published without the text (21.11) A revised text, if the wording in the chief source indicates that the original author is no longer responsible (21.12) An abridgement of the original if the condensation involves extensive rewriting (21.12 with 21.10) A text published with commentary, if the commentary is emphasized (21.13B) A text published with biographical or critical work, if the publication is presented in the chief source as a biographical or critical work (21.15A) A text that has been set to music (21.19A) A film version of a literary work (21.6: a film is considered a work of shared responsibility, hence entered under a different main entry [title] from the original) An artwork adapted from one medium to another (e.g., a painting reproduced as an engraving) (21.16A) An adaptation of a musical work that distinctly alters, paraphrases, or is merely based on the original musical work (21.18C) Same work (shared uniform title) The same text as the original, with addition of illustrations (21.11) A revised text, if the original author is named in the statement of responsibility or named in the title proper and no one else is named in other title information or the statement of responsibility (21.12) An abridgement of the original unless the condensation involves extensive rewriting (21.12) A text published with commentary if the original text is emphasized (21.13C) A translation (21.14) A text published with biographical or critical work if the biographer/critic is represented as an editor or compiler (21.15B) An artwork reproduced (e.g., photographically or a reproduction in the same medium as the original) (21.16B) An arrangement of a musical work (e.g., an orchestral composition arranged for piano) (21.18B) A musical work that has had text added to it (21.19A)

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A musical work that has had instrumental accompaniment or additional parts added to it (21.21) A recording of a musical work (21.23) In addition, as pointed out by Martha Yee in her studies of the work, it is implicit in the rules that two bibliographic items are the same work if the only differences between them are publisher, publication date, physical format, different edition statement, or differences in playing time (for nonbook materials).5 Once the cataloger has sorted out all possible manifestations of the work and decided which are actually the same work as the item being cataloged and which are not, he or she is ready to determine the form of the uniform title. In most cases this process is not difficult or time-consuming, because most works have not been published and republished numerous times. A simple check of the library’s bibliographic database—including if possible a utility such as RLIN (Research Libraries Information Network) or OCLC Online Computer Library Center—is usually sufficient. AACR2 25.3A instructs the cataloger to choose (for works created after 1500) the title in the work’s original language by which it “has become known.” This is the same “commonly known” principle that underlies nearly all authority form decisions in AACR2. Evidence of the commonly known form of the title is found in “manifestations of the work” (i.e., the title as commonly found in chief sources) or in reference sources. An example of the application of 25.3A is the uniform title for Defoe’s Robinson Crusoe. This work was originally published in 1719 with the title The Life and Strange Surprizing Adventures of Robinson Crusoe, of York, Mariner. The title has gone through many permutations in its hundreds of editions, and now the work is simply known as Robinson Crusoe. Few wanting to read a copy of the work would think to look under its original title. Accordingly, “Robinson Crusoe” is chosen for the uniform title (see figure 5-4). Because this work is entered under a personal author (see AACR2 21.1A and 21.4A), the uniform title includes both the name of the author and the commonly known title of the work. The authority record also includes a reference from the variant title (in this case the original title) (in figure 5-4 the record is greatly abridged; a full authority record would include references from all variants of the title, which are many for this work). The LCRI to 25.3A adds two exceptions to the general rule. First, a named work of art should use the commonly known name found in English-language reference sources, not a title “in the original language” (presumably that of the artist). The French artist Georges Seurat’s famous painting will use the title “Sunday afternoon on the island of la Grande Jatte,” not “Dimanche d’été à la Grande Jatte” (see figure 5-5).

UNIFORM TITLES: GENERAL INFORMATION FIGURE 5-4 100 1 400 1 670 670

400 1 670 670 670

Commonly known title

‡a Defoe, Daniel, ‡d 1661?-1731. ‡t Robinson Crusoe ‡a Defoe, Daniel, ‡d 1661?-1731. ‡t Life and strange surprizing adventures of Robinson Crusoe, of York, mariner ‡a The life and strange surprizing adventures of Robinson Crusoe, of York, mariner, 1719 ‡a Dict. of lit. biog., 1991: ‡b v. 101, p. 106 (title consistently given "Robinson Crusoe")

FIGURE 5-5 100 1

105

Named work of art

‡a Seurat, Georges, ‡d 1859-1891. ‡t Sunday afternoon on the island of la Grande Jatte ‡a Seurat, Georges, ‡d 1859-1891. ‡t Dimanche d'été à la Grande Jatte ‡a Have a good look with Johnny Morris [at] A Sunday afternoon on the island of La Grande Jatte [by] Georges Seurat, 1979 ‡a Enc. Brit., 1994 ‡b v. 10, p. 663 (Sunday afternoon on the island of la Grande Jatte) ‡a Grand Larousse, 1964 ‡b v. 9, p. 783 (Un dimanche d'été à la Grande Jatte)

The second exception is for languages that have undergone orthographic reform. A number of countries have, by decree, reformed the spelling of their language, including the Netherlands, the Soviet Union, and, most recently, Germany. For works written in these languages, if the original title uses the old orthography, a uniform title should be included in the bibliographic record giving the title in the new. For a German example, see figure 5-6. Theoretically, when orthography changes, all uniform titles in the authority file (and their corresponding bibliographic records) should change to reflect the new orthography, although in practice this rarely happens. An example where orthographic change did invoke a complete overhaul of the authority and bibliographic files was the conversion in 2000 of all romanized Chinese headings from the Wade-Giles romanization to Pinyin, the romanization scheme that is now accepted in mainland China.6

FIGURE 5-6 100 1 400 1 670

Orthographic reform

‡a Senfft, Heinrich, ‡d 1928- ‡t So genannte Wiedervereinigung ‡a Senfft, Heinrich, ‡d 1928- ‡t Sogenannte Wiedervereinigung ‡a Die sogenannte Wiedervereinigung, 1999

106


Few works have become famous enough to have a commonly known title, so in most cases the cataloger will choose for the uniform title the title as it appeared in the first edition of the work (AACR2 25.3B). For example, in 1992 Wiley Sword published a book called Embrace an Angry Wind. It was published again the next year as The Confederacy’s Last Hurrah. Neither of these titles is better known than the other, so the title of the original publication will be chosen (see figure 5-7). If the title so chosen includes an introductory phrase, an initial article (see 25.2C), or a statement of responsibility that is inseparable from the title proper, these are to be omitted from the uniform title. A title page reading This Is the Story of Faint George Who Wanted to Be a Knight drops the words “This is the story” because this is an introductory phrase (see figure 5-8). There is a certain amount of cataloger judgment involved here. Would the uniform title for Rose-Marie Alexander’s book This Is the Story of Noe be “Noe” or “Story of Noe”? There is not always a precise answer, which underscores the importance of recording decisions in authority records. The decision to omit inseparable statements of responsibility is another decision requiring cataloger judgment. Clearly the statement should be omitted from the title Edgar Allan Poe’s Tales of Mystery and Imagination (see figure 5-9). On the other hand, the cataloger who established the uniform title for Carl Barks’ Disney cartoon about Scrooge McDuck decided not to omit the statement of responsibility, perhaps because Walt Disney is not the author of this cartoon, simply the originator of the concept (see figure 5-10). But what about the titles John Burningham’s France and Anne McKevitt’s House Sensation? These could go either way, and they did in the NAF (see figures 5-11 and 5-12). The LCRI to 25.3B adds that an alternative title should also be omitted if the title proper contains one. The title proper of the Maurice Sendak classic Higglety Pigglety Pop! or, There Must Be More to Life includes an alternative title that will be omitted from the uniform title (see figure 5-13). FIGURE 5-7 100 1 400 1 670 670

‡a ‡a ‡a ‡a

FIGURE 5-8 100 1 400 1 670

Original title Sword, Wiley. ‡t Embrace an angry wind Sword, Wiley. ‡t Confederacy's last hurrah The Confederacy's last hurrah, 1993 Embrace an angry wind, 1992

Introductory phrase omitted

‡a Barry, Robert E. ‡t Faint George who wanted to be a knight ‡a Barry, Robert E. ‡t This is the story of Faint George who wanted to be a knight ‡a This is the story of Faint George who wanted to be a knight, c1957

UNIFORM TITLES: GENERAL INFORMATION FIGURE 5-9 100 1 400 1 670

Statement of responsibility retained

‡a McKevitt, Anne. ‡t Anne McKevitt's house sensation ‡a McKevitt, Anne. ‡t House sensation ‡a Anne McKevitt's house sensation, 1998

FIGURE 5-13 100 1 400 1 670

Statement of responsibility omitted

‡a Burningham, John. ‡t France ‡a Burningham, John. ‡t John Burningham's France ‡a John Burningham's France, 1998

FIGURE 5-12 100 1 400 1 670

Statement of responsibility retained

‡a Barks, Carl, ‡d 1901- ‡t Walt Disney's Uncle Scrooge McDuck ‡a Barks, Carl, ‡d 1901- ‡t Uncle Scrooge McDuck ‡a Walt Disney's Uncle Scrooge McDuck, 1981

FIGURE 5-11 100 1 400 1 670

Statement of responsibility omitted

‡a Poe, Edgar Allan, ‡d 1809-1849. ‡t Tales of mystery and imagination ‡a Poe, Edgar Allan, ‡d 1809-1849. ‡t Edgar Allan Poe's tales of mystery and imagination ‡a Edgar Allan Poe's tales of mystery and imagination, 1914

FIGURE 5-10 100 1 400 1 670

107

Alternative title omitted

‡a Sendak, Maurice. ‡t Higglety pigglety pop ‡a Sendak, Maurice. ‡t There must be more to life ‡a Higglety pigglety pop!, or, there must be more to life, 1967

The common practice in popular fiction of simultaneously publishing a work in different countries under different titles thwarts AACR2 25.3B’s neat solution to choice of title (use the title as first published) and requires 25.3C, which instructs the cataloger in these situations to use the title of the work as published in the country of the cataloging agency. Agatha Christie’s Death in the Clouds (London: Collins, 1935) was simultaneously published in New York as Death in the Air. Because a U.S. agency established the uniform title, the title chosen was “Death in the Air.”

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The supposition underlying this rule is that catalog users are more likely to look for an item under the title as published in their own country. However, local considerations such as this are becoming less important as we embrace international cooperative cataloging programs in which uniformity in cataloging—especially in headings—appears to be more valued than local user preference. Now that the NAF receives contributions from all over the world, there is a certain amount of chance in the choosing of the established form under 25.3C and similar rules. In this instance, if a British library had established the title, it would have chosen “Death in the Clouds.” If an agency outside the United States or Great Britain had established the title, it would have chosen whichever title it had received first. It really doesn’t matter in theory which is chosen. Users who guess wrong will be directed to the chosen heading by a cross-reference.

CREATING THE AUTHORITY RECORD Once the form of the uniform title has been determined, an authority record will usually be necessary. As mentioned above, uniform titles are coded as name authority records. There is no separate title authority format in MARC. The MARC authority record for uniform titles follows the same format as other name authority records. Basically, the record must contain the heading, any needed references, and notes justifying the heading and references.

Authorized Heading The authorized form of the uniform title is recorded in the 1XX field. Only one 1XX field can reside in an authority record because there is only one authorized form. In the case of an author-title uniform title, the field (100, 110, or 111) will begin with the authorized form of the author’s name, exactly as it appears in its own authority record. (If no authority record yet exists for the author, one must be created at the same time as the record for the uniform title.) This form will be followed by subfield ‡t, which contains the authorized form of the title. If the uniform title is not associated with an author, it is recorded in subfield ‡a of a 130 field. Fields 100, 110, or 111 subfield ‡t, or 130 subfield ‡a, may be followed by further subfields, as described in chapter 6.

References References, if any, will be given in 4XX and 5XX fields. 4XX fields represent unauthorized forms and will produce a message to the user to search instead under the authorized form. 5XX fields contain related


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authorized headings and will produce a message to the user that he or she might be interested in those headings in addition to the one originally searched for. Rules for the creation of uniform title references are detailed in AACR2 26.4. The most usual reason for a reference is a variant title. A reference should be included in the authority record for every variant found (26.4B1). In the case of name-title uniform titles, these will all begin with the authorized form of the author’s name in a 4XX field, followed by the variant title(s) in subfield ‡t. Nearly all the figures in this chapter and chapter 6 contain such 4XX fields, because under the LCRI to 25.1 in most cases uniform titles are only formally given to a work if they differ from the title proper, which automatically means there is at least one variant. Another type of reference is not strictly speaking for variants but for part to whole and whole to part relationships. If a uniform title is for a work that contains distinct parts, and the title chosen begins with the main work followed by the part (25.6A2, 25.18, 25.32, etc.), a reference should be made from the part (see figure 5-14). On the other hand, if the title chosen is the part entered directly (25.6A1), a reference should be made from the main work followed by the part (see figure 5-15). If the uniform title is a made-up collective title formulated under 25.8-25.11, a reference should be made from the published title (see figure 5-16). For details on how to formulate these titles, see chapter 6 under “Collocation Techniques: Collective Titles.”

FIGURE 5-14 100 1 400 1 400 1 670

‡a Gatto, Simon, ‡d d. 1595. ‡t Masses, ‡n book 1. ‡p Missa "Scarco di doglia" ‡a Gatto, Simon, ‡d d. 1595. ‡t Missa "Scarco di doglia" ‡a Gatto, Simon, ‡d d. 1595. ‡t Scarco di doglia ‡a Niederländische und Italienische Musiker der Grazer Hofkapelle Karls II., 15641590, 1954: ‡b contents (Missa "Scarco di doglia") p. 103 (from Missae tres, quinis et senis vocibus, liber primus (1579))

FIGURE 5-15 100 1 400 1 400 1 670 670

Reference to work followed by part

Reference to part entered directly

‡a Asimov, Isaac, ‡d 1920- ‡t Second foundation ‡a Asimov, Isaac, ‡d 1920- ‡t Foundation trilogy. ‡n 3. ‡p Second foundation ‡a Asimov, Isaac, ‡d 1920- ‡t 2nd foundation ‡a 2nd foundation, 1953 ‡a Foundation, 1983: ‡b p. xii (in 1951, Gnome Press published Foundation; in 1952, Foundation and empire published; in 1953, Second foundation published; 3 books together came to be called The foundation trilogy)

110


FIGURE 5-16

Reference to AACR2 collective title

100 1 400 1 670

‡a Dieste, Rafael. ‡t Plays ‡a Dieste, Rafael. ‡t Teatro ‡a Teatro, 1981-

“See also” references are made for related works using 5XX fields. 26.4C1 instructs the cataloger to refer between such works using references in the authority record “unless . . . the references are made unnecessary by added entries” in the bibliographic record. For example, the New Testament portion of the Douai Bible is referred to as the “Rheims New Testament,” and so a reference is made to this related work to clarify the relationship to the user (see figure 5-17). See also references for uniform titles are quite rare in the authority file, except in manuscript headings (see chapter 6) and in series headings (see chapters 7 and 8). 26.4D calls for explanatory references if more detailed guidance than see or see also references is needed. Although these references would obviously be useful to the user, they have rarely been used in the NAF, and the example at AACR2 26.4D1 has never been made into an authority record. The 5XX see also reference is also used if an ordinary 4XX crossreference would conflict with another heading. In the case of figure 5-18, the English-language cross-reference conflicted with an established series name. FIGURE 5-17 130 430 430 530 530 670

670

0 0 0 0 0

See also reference

‡a Bible. ‡l English. ‡s Douai ‡a Bible. ‡l English. ‡s Douay ‡a Bible. ‡l English. ‡s Douai-Rheims ‡a Bible. ‡p N.T. ‡l English. ‡s Rheims ‡a Bible. ‡p O.T. ‡l English. ‡s Douai ‡a Holy Bible, translated from the Latin Vulgate, ... The Old Testament first published by the English College at Douay, A.D. 1609, and the New Testament first published at the English College at Rheims, A.D. 1583 ..., 1852 ‡a RLIN, June 18, 1996 ‡b (hdg.: Bible. English. Douai; Bible. English. DouaiRheims)

FIGURE 5-18

See also reference to avoid conflict with established heading

130 0 ‡a Cantad al Señor--un cántico nuevo. ‡k Selections. ‡l English 530 0 ‡a Sing to the Lord--a new song 670 ‡a Sing to the Lord--a new song, 1995


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Notes The most frequently used note field for uniform titles is the 670 field, which contains information about the item being cataloged that instigated the creation of the heading. Additional 670 fields are given to record additional research needed to establish the heading, as described in chapter 3. The basic form of the information in the 670 field is 670

‡a Title proper, publication date: ‡b location of data (data)

670 fields for uniform titles sometimes do not contain subfield ‡b because the information used to establish the heading or cross-reference is found in subfield ‡a (the title itself). Examples of 670 fields are found in all figures in this chapter.

Fixed Fields For a complete discussion of fixed fields in the MARC authority record, see chapter 2. In most cases records for uniform titles are coded the same as records for names, even if the authorized form consists of a title alone. 008/14, “Heading use—Main or added entry,” should be coded “a.” 008/32, “Undifferentiated personal name,” may be coded “a,” “b,” or “n.” If the uniform title begins with a personal name, the record should be coded “a” or “b” according to the coding of the record for the name itself; if the uniform title has no associated personal name, the record should be coded “n.” NOTES 1. There are a few cases where uniform titles are used to identify objects rather than works, such as manuscripts (discussed in chapter 6). 2. Although because of the structure of the MARC record it appears that the name “Plato” alone is the main entry here, in reality the name is inseparable from the title, and hence the entire uniform title (author and title) is the main entry. This assertion is supported by the fact that if the first uniform title in this case had not been associated with an author, the title itself would have become the main entry, in a 130 field. There is no difference in theory between the two types of uniform title. In addition, the entire uniform title “Plato. Timaeus. English” has the same function as the main entry would on a record without a uniform title, that is, collocation and serving as the main access point to the record. See also Martha Yee, “Lubetzky’s Work Principle,” in The Future of Cataloging: Insights from the Lubetzky Symposium, ed. Tschera Harkness Connell and Robert L. Maxwell (Chicago: American Library Association, 2000), p. 74: “Main entry consists of the author (if there is one) and the title (uniform title if there is one, title on item otherwise)”; and Tom Delsey, The Logical Structure of the Anglo-American Cataloguing Rules—Part II (Drafted for the Joint Steering Committee for Revision of AACR, Jan. 1999), p. 75-76: “The assumption generally made is that the main entry heading together with the uniform title (if applicable) or the title proper of the item described serve as the standard form of citation for the work.”

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UNIFORM TITLES: GENERAL INFORMATION 3. In 1993 the Music Library Association proposed to ALA’s Machine-Readable Bibliographic Information Committee (MARBI) that the 240 field be made obsolete and replaced by an expansion of the use of the 1XX field. This proposal was not approved. It may be worth noting that most of the subfields necessary for including the title in the 100, 110, and 111 fields (e.g., ‡t for title, ‡l for language, ‡f for date) are valid in the MARC 21 format; however, catalogers are not authorized to use them for uniform titles under current cataloging standards. It would require few or no changes to the MARC 21 format to change the practice. 4. Descriptive Cataloging Manual: Z1, Name and Series Authority Records, available outside the Library of Congress only on Cataloger’s Desktop. 5. Martha M. Yee, “What Is a Work?” in The Principles and Future of AACR: Proceedings of the International Conference on the Principles and Future Development of AACR, Toronto, Ontario, Canada, October 23-25, 1997, ed. Jean Weihs (Ottawa: Canadian Library Association; Chicago: American Library Association, 1998), p. 66-68; and Yee, “Lubetzky’s Work Principle,” p. 74-76. 6. For details on the Pinyin conversion project, see the Library of Congress Pinyin home page, found at .

UNIFORM TITLES Particular Problems

6

This is the second chapter in this book dealing with uniform titles. It treats particular cataloging problems solved by specific types of uniform titles. The first, chapter 5, deals with general issues and the creation of MARC (Machine-Readable Cataloging) authority records for uniform titles.

COLLOCATION TECHNIQUES One of the principal uses for uniform titles is collocation within the catalog. The 1961 Paris Principles declared that one of the major functions of the catalog was to show “which editions of a particular work are in the library.”1 This is reflected in the more recent IFLA (International Federation of Library Associations) document Functional Requirements for Bibliographic Records, which states that the “bibliographic record should assist the user to . . . find all manifestations embodying . . . the various expressions of a given work.”2 The current method of accomplishing this function is by assigning a unique uniform title to every work and then drawing together the expressions of the work by adding suffixes to it. This section will discuss the ways this is done for various types of works.

Translations One of the most common uses of uniform titles is for translations. Under LCRI (Library of Congress Rule Interpretations) 25.1 these will always be assigned uniform titles because the uniform title for a translation (including its suffix) will always differ from the title proper of the item being cataloged. The format for a translation heading in the authority record is 1XX

[uniform title of the original work]. ‡l [language of translation]

113

114

UNIFORM TITLES: PARTICULAR PROBLEMS

Use the English name for the language (e.g., “German” rather than “Deutsch”). The English form is that found in the main (bold) entries of the MARC Code List for Languages (cf. LCRI 25.5C).3 Uniform-title authority records will always have a 4XX reference for the translated title, because it will never be exactly the same as the full uniform title (including the language name) (see figure 6-1). If the text is given in two languages and one of them is the original, both languages are given in the uniform title, with the original named last. This has the effect of emphasizing the translation: the file will be organized by the translated language rather than the original (see figure 6-2). (Original editions of the work will file ahead of any translations, because the uniform title for the original will not include the language suffix.) If the text is given in two languages and neither is the original, give them in the following order: English, French, German, Spanish, Russian, other languages in (English) alphabetic order (see figure 6-3). If the text is given in more than two languages, use the word “Polyglot” instead of a language name in subfield ‡l. This seems less than useful to the user, but it does at least give a clue about the nature of the work. The example in figure 6-4 represents a translation into twenty-seven languages. Establishing uniform titles for translations of monographs is relatively straightforward. Serials, on the other hand, add a wrinkle to the process. In addition to direct translations, serials may also be published in “language editions,” separate editions in two or more languages. The contents

FIGURE 6-1 100 1 400 1 670

Translation

‡a Dickens, Charles, ‡d 1812-1870. ‡t Great expectations. ‡l Finnish ‡a Dickens, Charles, ‡d 1812-1870. ‡t Loistava tulevaisuus ‡a Loistava tulevaisuus, 1960

FIGURE 6-2

Two languages, one of them original

130 0 ‡a Hadithi ya Mikidadi na Mayasa. ‡l English & Swahili 430 0 ‡a Story of Miqdad and Mayasa 670 ‡a The story of Miqdad & Mayasa, 1932: ‡b p. 13 (Hadithi ya Mikidadi na Mayasa)

FIGURE 6-3 100 0 400 0 670

Two languages, neither one original

‡a Aristotle. ‡t Meteorologica. ‡l Arabic & Latin ‡a Aristotle. ‡t Aristotle's Meteorology in the Arabico-Latin tradition ‡a Aristotle's Meteorology in the Arabico-Latin tradition, 2000

UNIFORM TITLES: PARTICULAR PROBLEMS FIGURE 6-4 100 0 400 0 670

115

More than two languages

‡a Dante Alighieri, ‡d 1265-1321. ‡t Purgatorio. ‡n Canto 11, verso 1-24. ‡l Polyglot ‡a Dante Alighieri, ‡d 1265-1321. ‡t Fortuna di Dante fuori d'Italia ‡a Dante Alighieri. La fortuna di Dante fuori d'Italia, 1912

of the language editions of a serial are usually similar in scope but not necessarily identical. The CONSER Cataloging Manual gives some guidelines for distinguishing the two.4 An original serial and a translation (1) are usually issued at different times, (2) are usually issued by different publishers, and (3) generally have the same contents. Language editions (1) are usually issued simultaneously, (2) are usually issued by the same publisher, and (3) usually have differing contents. Although uniform titles for serial translations and language editions may look similar, it is important to distinguish between the two because the process of choosing the basic uniform title differs. In the case of a translation, the process is the same as for monographs: choose the uniform title based on the title of the original. The language of the translation is then added as a suffix to the uniform title (see figure 6-5). In contrast, language editions of serials do not have an original edition from which the others are translated. Therefore, the process of choosing the base uniform title is problematic. The cataloger must choose one edition as the “primary edition.” AACR2 (Anglo-American Cataloguing Rules) 25.3C2 and 25.3C3 give guidance for making this choice. If the serial is entered under corporate body, the language of the uniform title should be that of the authorized form of the corporate body’s name. If this does not help, or if the serial is entered under title, choose one of the following languages in order of preference: English, French, German, Spanish, Russian. If none of these criteria work, the cataloger is simply to choose the first edition to arrive in the library as the primary edition.

FIGURE 6-5

Serial translation

130 0 ‡a Hung ch’i. ‡l English 410 2 ‡a Zhongguo gong chan dang. ‡b Zhong yang wei yuan hui. ‡t China report. ‡p Red flag 430 0 ‡a China report. ‡p Red flag 430 0 ‡a Red flag 670 ‡a China report. Red flag, 1979- ‡b (translation of Hung ch’i (Red flag), the monthly theoretical journal of the Central Committee of the Chinese Communist Party [Zhongguo gong chan dang. Zhong yang wei yuan hui], Beijing)

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The primary edition is not normally assigned a uniform title, unless one is needed for some other reason. The editions in other languages are given a uniform title consisting of the title proper of the primary edition (or its uniform title if it has one), plus the language suffix. For example, the Church of Jesus Christ of Latter-day Saints issues a publication in many different languages, usually titled Liahona. It is cataloged under title main entry. The primary edition, under AACR2 25.3C3, is the English edition, Liahona, and this title will be used as the basis for the uniform title. The basic title is qualified (in this case by place of publication) because an unrelated serial called Liahona exists (see below for details on qualification). The Gilbertese-language edition of this serial is titled Riaona. Its uniform title will use the basic uniform title with the addition of the language, and its authority record will contain a cross-reference from the Gilbertese title (see figure 6-6). Uniform titles for translations are by nature subheadings of the uniform title for the original. For most other types of authority records that contain subheadings, the cataloger is required, in addition to creating an authority record for the new heading, to create an authority record for the main heading and any intermediary headings if they do not already exist in the authority file. In the case of uniform titles, both NACO (Name Authority Cooperative Program) and LC (Library of Congress) policy allow the cataloger to establish a uniform title for a translation without also establishing the heading for the original. Although this policy does cut down on the work involved in making these headings, the saving seems minimal, because to establish a uniform title for a translation, the cataloger must first do enough research to determine what the uniform title for the original would have been if it had been established. After going that far, not also establishing the heading for the original saves little time. Particularly if the cataloger discovers variants to the original title, it seems a good idea to establish the heading for the original anyway, even though it is not strictly speaking required.

Collective Titles AACR2 has a technique for collocating groups of works related by a common author. It recognizes three types of publications that may be assigned FIGURE 6-6 130 0 410 2 430 0 670

Serial language edition

‡a Liahona (Salt Lake City, Utah). ‡l Gilbertese ‡a Church of Jesus Christ of Latter-day Saints. ‡t Riaona ‡a Riaona ‡a Riaona, 1999- ‡b (Language edition of Liahona issued by the Church of Jesus Christ of Latter-day Saints, Salt Lake City, Utah)


117

collective titles: publications of the complete works of an author, publications of selections of an author’s works, and publications of the works of an author in a single literary form. The uniform title for complete works is the author’s name plus the collective title “Works.” Translations of the author’s complete works will have the language of the translation added as a suffix, as described above. The authorized form of such a uniform title, under AACR2 rules, would be 100 1

‡a [Authorized form of the author’s name]. ‡t Works. ‡l [Language, if a translation]

The uniform title for selections is formed in the same way, except the title is “Selections” instead of “Works.” 100 1

‡a [Authorized form of the author’s name]. ‡t Selections. ‡l [Language, if a translation]

Works in a single literary form are given a collective title consisting of the name of the form, e.g., “Correspondence,” “Poems,” “Short stories.” The titles given in 25.10 are fixed and must be used if the collection is of one of the genres named, but the list is not exhaustive. If an author’s works in a form not found on the list are collected, an appropriate collective title (usually in English) may be created by the cataloger. Authority records for these three kinds of uniform titles should always contain a reference from the published title to the uniform title (see figure 6-7): 400 1

‡a [Authorized form of the author’s name]. ‡t [Published title]

The LC has ruled that the uniform titles “Works” and “Selections” are used so frequently that it is “advisable” to make these titles more distinct. The prescribed technique for distinguishing is the addition of the year of publication to the uniform title. The year of publication is also added to cross-references (see figure 6-8).

FIGURE 6-7 100 1 400 1 670

‡a Tasso, Torquato, ‡d 1544-1595. ‡t Dialogues ‡a Tasso, Torquato, ‡d 1544-1595. ‡t Dialoghi ‡a Dialoghi, 1998

FIGURE 6-8 100 1 400 1 670

Works in a single form

Selections

‡a Undset, Sigrid, ‡d 1882-1949. ‡t Selections. ‡f 2001 ‡a Undset, Sigrid, ‡d 1882-1949. ‡t Unknown Sigrid Undset. ‡f 2001 ‡a The unknown Sigrid Undset, c2001

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If two editions of an author’s works or selections are published in the same year, the publisher’s name is also added to the heading. Two editions of Nietzsche’s works were published in 1980. The edition published by Deutscher Taschenbuch Verlag was assigned the uniform title “Nietzsche, Friedrich Wilhelm, 1844-1900. Works. 1980.” When another edition, published by Hanser, was subsequently cataloged, further qualification was necessary. Only the Hanser edition’s heading is qualified by publisher; the heading for the Deutscher Taschenbuch Verlag edition is not changed (see figure 6-9). The LCRI prescribing the addition of date to “Works” and “Selections” must be followed by contributors to the NAF (Name Authority File), but it does not seem very reasonable. The premise underlying the need to differentiate “Works” and “Selections” headings is dubious. It is doubtful that any but the most voluminous authors would have their complete works published so frequently as to confuse the library user. These same authors have no doubt had certain individual works published just as frequently, yet LC does not seem to think that these need to be differentiated. More important, the purpose of the collective title provisions in AACR2 was to provide a collocating device, but the LCRI has the effect of splitting these titles up again, ensuring that no more than one record is “gathered” under any one uniform title. And it has split them up in a rather arbitrary way, chronologically. Few users will recognize which edition they want from an OPAC (Online Public Access Catalog) display showing lines of “Works” or “Selections” headings split up by year. If anything, this is more confusing than an arrangement showing all the titles under a single heading, “Works” or “Selections,” without the addition of year. Furthermore, if the year were not a part of the heading and all the manifestations of “Works” or “Selections” were gathered under one heading, most current library systems would allow the user to sort these by date if that is what is wanted, a procedure seemingly preferable to the precoordination imposed by the LCRI. The ruling also appears to undermine the theory that a uniform title represents and identifies a work. In the case of an author’s complete works, the “work” is the collection of all the author’s works, and this does not differ, no matter who published it or when. The corpus of the author’s works is the same whether published this year or a century from now FIGURE 6-9 100 1 400 1 670

Further distinction by addition of publisher

‡a Nietzsche, Friedrich Wilhelm, ‡d 1844-1900. ‡t Works. ‡f 1980. ‡s Hanser ‡a Nietzsche, Friedrich Wilhelm, ‡d 1844-1900. ‡t Werke in sechs Bänden. ‡f 1980 ‡a Werke in sechs Bänden, c1980


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(though new individual works might be discovered). True, different editions of selections might be different “works” in themselves, because each edition contains different parts of the author’s complete works, and so it might be advisable to differentiate between these in some way. But is differentiating by year of publication useful? It seems more likely that the typical library user would know the name of the editor of the selection, for example, or the publisher, than the year it happened to be published. The LCRI is also inconsistent with other rulings. Collected works in a single form, which are in fact a type of selection, are not differentiated by year of publication. Nor are selections from an individual work. Thus, all partial collections of Chekhov’s plays in English are gathered under the uniform title, “Chekhov, Anton Pavlovich, 1860-1904. Plays. English. Selections.” This heading gathers no less than twenty-two different collections, all containing different plays. Yet LC does not deem it “advisable” to differentiate these, although for some reason it is necessary to distinguish the 2001 edition of the works of Sigrid Undset from the (nonexistent) other editions (see figure 6-8). Finally, the ruling has had the effect over the years of filling the NAF with not very useful authority records that could all be covered by a single heading. As of this writing, there are fifty-two separate authority records in the authority file for various editions of Shakespeare’s works, each standing for a single bibliographic record and unlikely ever to be needed again once the edition has been cataloged.

Laws and Treaties AACR2 employs two collective titles to bring together certain actions of governments: “Laws, etc.” for most collections of laws (25.15A1) and “Treaties, etc.” for most collections of treaties and single treaties between two or three parties (25.16A-B). Individual laws, collections of laws on a particular subject, treaties between four or more parties, and collections of treaties that are identified by a collective name are not gathered together under these two very broad uniform titles but rather use uniform titles based on the title of the work. It was early discovered that the uniform title “Laws, etc.” created vast files that were difficult for the library patron to use, and so LC ruled that it would be used only for collections of general laws of a given jurisdiction, not for collections limited to a subject or type of law (such as a civil code). In addition, a parenthetical qualifier is to be added to “Laws, etc.” in all cases (LCRI 25.15A1). The usual qualifier for a collection is its title proper (see figure 6-10), but if it is better known under another name (such as the editor or publisher), that is used instead (see figure 6-11). Further qualification is possible (such as by year of publication) following space-colon-space.

120


FIGURE 6-10

Qualification by title proper

110 1 410 1 410 1 670

‡a Goa (India : State). ‡t Laws, etc. (Kantak's compilation of Goa acts & rules) ‡a Goa (India : State). ‡t Kantak's compilation of Goa acts & rules ‡a Goa (India : State). ‡t Goa acts & rules ‡a Kantak's compilation of Goa acts & rules, 1999-

FIGURE 6-11 110 1 410 1 410 1 670

Qualification by publisher

‡a New Zealand. ‡t Laws, etc. (Brooker & Friend Ltd) ‡a New Zealand. ‡t Laws, etc. (Annotated legislation) ‡a New Zealand. ‡t Annotated legislation ‡a Annotated legislation, 1988- ‡b (published by Brooker & Friend Ltd)

The authority record for the uniform title should always contain a cross-reference from the title proper of the compilation in the form 410 1

‡a [Jurisdiction name]. ‡t [Title proper]

Because the usual procedure is to use the title proper as the qualifier, if another qualifier is chosen, it would probably be useful to add a crossreference from “Laws, etc.” qualified by the title proper to the authority record for the uniform title, although the LCRI does not prescribe this (see figure 6-11). Session laws of U.S. states are always qualified by “(Session laws : [date of coverage]). It is not clear how useful this qualification procedure is to the user, especially for jurisdictions with large numbers of such compilations. Because in most cases the qualifier will be the title proper of the compilation, one wonders whether the heading “Jurisdiction name. Laws, etc. (Qualifier)” is more helpful than dropping “Laws, etc.” altogether and filing under “Jurisdiction name. Title proper,” particularly because single laws are so filed. However, given the strictures of AACR2 25.15A, the LC solution seems the best. Entry of treaties is covered by AACR2 21.35 and 25.16. Treaties between two or three governments are entered either under government name coming first in English alphabetic order or if the treaty is between a single government on one side and two on the other, under the single government. The basic uniform title for collections of treaties is 110 1

‡a [Jurisdiction name]. ‡t Treaties, etc.

If the collection is of treaties between two parties, the uniform title is 110 1

‡a [Jurisdiction name as determined by AACR2 21.35]. ‡t Treaties, etc. ‡g [Other jurisdiction name]


121

The uniform title for a single treaty between two parties is formed 110 1

‡a [Jurisdiction name as determined by AACR2 21.35]. ‡t Treaties, etc. ‡g [Other jurisdiction name], ‡d [date of signing in the form year month day]

The uniform title for a single treaty between one government on one side and two on the other is 110 1

‡a [Jurisdiction name of the single government]. ‡t Treaties, etc. ‡d [date of signing]

The uniform title for agreements between four or more parties is the name by which the treaty is known, in the English form if there is one, qualified by the year of signing. The authority records for treaties have a more complex reference structure than laws, and a detailed rule interpretation has been issued under 26.4. As with all authority records, authority records for all treaties have references from variant titles, etc. (see figure 6-12). If the treaty is known by the name of the location of signing, a reference should be made from the inverted form of the treaty, beginning with the location name (see figure 6-13). The authority record for single treaties between two or three governments should refer from the names of the governments not chosen for the main heading (see figure 6-12). Treaties between four or more governments should refer from (1) the name of the government of the cataloging agency if it is a signatory, (2) the name of the government publishing the text if it is a signatory, and (3) the government named first in the chief source if it has not already been referred from under (1) or (2) (see figure 6-14). The provision for a reference from the government of the cataloging agency if it is a signatory has obvious problems for international sharing of authority records, because

FIGURE 6-12 110 2 410 1 430 0 430 0 670 670 670

Variant titles

‡a Cherokee Nation. ‡t Treaties, etc. ‡g United States, ‡d 1835 Dec. 29 ‡a United States. ‡t Treaties, etc. ‡g Cherokee Nation, ‡d 1835 Dec. 29 ‡a Cherokee treaty, New Echota (1835) ‡a Treaty of New Echota (1835) ‡a Eastern Band of Cherokees, 1878?: ‡b p. 3 (treaty of 1835) ‡a Cherokee treaty, New Echota, 1878?: ‡b t.p. (usages: Cherokee treaty, New Echota; Treaty of New Echota) ‡a Indian affairs, laws and treaties: ‡b v. 2, p. 439 (Articles of a treaty, concluded at New Echota in the State of Georgia on the 29th day of Decr. [sic] 1835 by ... the United States and ... the Cherokee Tribe of Indians; proclaimed, May 23, 1836)

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FIGURE 6-13

Reference from inverted form

130 430 430 430 430 670 670 670 670

0 0 0 0 0

‡a Peace of Constance ‡d (1183) ‡a Treaty of Constance ‡d (1183) ‡a Constance, Peace of ‡d (1183) ‡a Constance, Treaty of ‡d (1183) ‡a Pax Constantiae ‡d (1183) ‡a New Enc. Brit.: ‡b v. 3, p. 98 (Constance, Peace of (1183), settlement concluded between the Holy Roman Empire and the Lombard League) ‡a New Cath. enc.: ‡b v. 7, p. 756 (Peace of Constance (1183)) ‡a LC man. subj. auth. file ‡b (Constance, Treaty of, 1183) ‡a Volumen parvum, 8 Jan. 1498/99: ‡b (Acta de pace Constantiae)

FIGURE 6-14

Reference from government of cataloging agency

130 0 ‡a Trademark Law Treaty ‡d (1994) 410 1 ‡a United States. ‡t Treaties, etc. ‡d 1994 Oct. 28 511 2 ‡a Diplomatic Conference for the Conclusion of the Trademark Law Treaty ‡d (1994 : ‡c Geneva, Switzerland) 670 ‡a Records of the Diplomatic Conference for the Conclusion of the Trademark Law Treaty, 1994: ‡b t.p. (Trademark Law Treaty) p. 193 (signed at Geneva on Oct. 28, 1994; 68 signatories)

it produces differing results depending on who does the cataloging. A Canadian cataloging agency using the authority record for the Trademark Law Treaty would presumably want a reference from Canada, not the United States, and the record would have been so formed if that agency had made it rather than a U.S. cataloger. Authority records for treaties may also include 5XX see also references. Most common are references between headings for original treaties and revised versions, from collective names to single treaties (see AACR2 25.16A1), and from the name of a conference at which the treaty was worked out to the heading for the treaty (see figure 6-14). For further details on the structure of authority records for treaties, including information about agreements between international nongovernmental bodies, see LCRI 26.4.

DIFFERENTIATION TECHNIQUES In addition to its collocation function, another important function of the catalog is to allow the user to find a known work. As the Paris Principles expressed it, “The catalogue should be an efficient instrument for ascer-


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taining whether the library contains a particular book specified by (a) its author and title, or (b) if the author is not named in the book, its title alone.”5 Functional Requirements for Bibliographic Records states that the catalog should enable the user to “find a particular manifestation [of a work] . . . when the title of the manifestation is known”; it should also enable the user to “identify a work; identify an expression of a work; identify a manifestation.”6 This seems perfectly obvious in theory, but in practice many works have identical titles, and some technique is necessary to separate these works so the user can identify which one is wanted, particularly when the work is not entered in the catalog under an author’s name. Under AACR2 many more works are entered under title than under previous codes, making the situation where two works share the same entry point more common. This frequently happens with serials, as discussed below, and series (see chapters 7 and 8), but conflict resolution is necessary for other types of works as well. AACR2 25.5B gives a method for distinguishing these works using uniform titles.

Monographs As usual, libraries can make their own policies with regard to distinguishing between identical monographic title main entries, but LC has ruled that its catalogers will not routinely assign uniform titles to conflicting monograph titles. Under LCRI 25.5B, “Monographs,” a monograph entered under title bearing the same title proper as another monograph also entered under title is not assigned a uniform title even if one or both of them has been issued in multiple editions. If, however, a uniform title is needed for some reason other than conflict resolution (for example, a translation of the monograph), the original work will also be assigned a uniform title. For example, a number of different works entered under title are called The Louvre (or Le Louvre, Der Louvre, etc.). The uniform title for all of these, if assigned, would be the same: “Louvre.” In the absence of the LCRI, all would need to be qualified, perhaps by publisher or place of publication, because they are, in fact, different works. Under the LCRI, however, no uniform title will be assigned unless needed for another reason. One of these, published by Nouveaux-Loisirs in 1994 in French, was translated into English and published by Knopf in 1996. A uniform title for the translation was created when the English edition was cataloged, and at the same time, following the LCRI instructions, the uniform title for the original was added to the record for the 1994 edition (see figure 6-15). From this point on, all republications of this work will be given a uniform title. The other works titled Louvre will continue without assignment of a uniform title.

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FIGURE 6-15

Monograph entered under title

130 0 ‡a Louvre (Nouveaux-Loisirs). ‡l English 430 0 ‡a Louvre (Knopf) 670 ‡a The Louvre, 1996

130 0 ‡a Louvre (Nouveaux-Loisirs) 670 ‡a Le Louvre, 1994

Once it has been determined that a uniform title is needed and a conflict needs to be resolved, the cataloger is instructed to add a qualifier in parentheses after the uniform title (AACR2 25.5B). In most cases, the choice of the qualifier is left to the judgment of the cataloger, who should use whatever makes the most sense given the work and the qualifiers that have already been used in the authority file for the title. Conflict resolution is needed fairly frequently with uniform titles identified by title alone. For example, at least four works have the title “The Pearl”: a medieval poem, a dance based on a novel by John Steinbeck, and two movies (1947, 2001) based on the same novel. All will have the same basic uniform title, and so must have cataloger-supplied qualifiers (see figure 6-16).7 FIGURE 6-16

Qualifier to resolve conflict: title alone

130 0 ‡a Pearl (Middle English Poem) 670 ‡a The pearl, 1967

130 0 ‡a Pearl (Choreographic work : Trisler) 667 ‡a Chor: Joyce Trisler; mus: Gershon Kingsley; lib: John Steinbeck. First perf: New York, Henry Street Playhouse, Dec. 5, 1958, Joyce Trisler & Company. 667 ‡a Data contributed by the Dance Heritage Coalition for the New York Public Library Dance Collection. 670 ‡a *MGZA Dance news. Jan. 1959, p 8 670 ‡a NYPL Dict. Cat. of the Dance Coll., 1974-

130 0 ‡a Pearl (Motion picture : 2001) 670 ‡a The pearl, 2001 670 ‡a Internet movie database, via the WWW, Dec. 16, 2000 ‡b (story by John Steinbeck; directed by Alfredo Zacharias)


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Because few authors write completely separate works and give them the same title, it is rare to qualify author-title uniform titles in order to distinguish between identical titles. The most common situation is an author’s rewrite of a work in a different genre, such as a novelization of a short story or poem or a novel rewritten as a play (see figure 6-17). Very rarely will an author reuse a title for a completely different work (see figure 6-18).

Standardized Qualifiers In most cases the cataloger is allowed to choose the qualifier, but a few types of uniform titles have standardized qualifiers. These include motion pictures, choreographic works, radio and television programs, U.S. census publications, and computer files (electronic resources). LC does not assign a uniform title to a motion picture, even if there is another motion picture or other work with the same title, unless the heading for the motion picture is needed as an access point on another record (e.g., a subject heading or added entry). Other libraries are free to make their own policies. If a uniform title is needed, the qualifier will always be “Motion picture” (see figure 6-19). If further qualification is needed (i.e., for two motion pictures with the same title), add the year of production FIGURE 6-17 100 1 670

100 1 670

Qualifier to resolve conflict: work revised in different genre

‡a Sayers, Dorothy L. ‡q (Dorothy Leigh), ‡d 1893-1957. ‡t Busman's honeymoon (Novel) ‡a Busman's honeymoon : a love story with detective interruptions, 1937

‡a Sayers, Dorothy L. ‡q (Dorothy Leigh), ‡d 1893-1957. ‡t Busman's honeymoon (Play) ‡a Busman's honeymoon : detective comedy in three acts, 1939

FIGURE 6-18

Qualifier to resolve conflict: unrelated work

100 1 667 670

‡a Rovani, Giuseppe, ‡d 1818-1874. ‡t Cento anni (Novel) ‡a Not the same as Rovani's book on Italian history with same title proper ‡a Cento anni : romanzo ciclico, 1868-1869

100 1 667 670

‡a Rovani, Giuseppe, ‡d 1818-1874. ‡t Cento anni (Historical work) ‡a Not the same as Rovani's novel with the same title proper ‡a Cento anni, 1934-1935

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FIGURE 6-19

Motion picture

130 0 ‡a Pokémon, the first movie (Motion picture) 430 0 ‡a Pokémon (Motion picture) 670 ‡a Pokémon, the first movie, p1999 670 ‡a People weekly, Nov. 22, 1999 ‡b (Pokémon, the first movie; Pokémon)

after space-colon-space (see figure 6-16). For details, see LCRI 25.5B, “Motion Pictures.” The uniform title for a dance work is the title of the work followed by the qualifier “Choreographic work.” The language of the title is the original language unless it has become well known in another language. If the work is a particular choreographer’s version (the usual case), his or her surname is included in the qualifier after space-colon-space. Use the form of the surname found in the authority record for the choreographer’s name (see figure 6-16). For further details, see LCRI 25.5B, “Choreographic Works.” The qualifier for a radio or television program is “Radio program” or “Television program” (see figure 6-20). LC assigns uniform titles to these programs under the same circumstances as motion pictures (see LCRI 25.5B, “Radio and Television Programs”). U.S. Census publications are given a uniform title consisting of the name of the census qualified by its year. Cross-references are not routinely made from the heading for the Bureau of the Census (see LCRI 25.5B, “U.S. Census Publications”). Computer files (electronic resources) are assigned uniform titles at LC under the same guidelines as motion pictures and radio and television programs, that is, only if the heading would be needed as an access point (subject or added entry) on another record. The qualifier is always “Computer file.” If this qualifier is not enough to resolve a conflict, add the name of the producer of the file. See figure 6-21.

Serials Unlike monographs, where under LC policy uniform titles are not normally used to break a conflict between identical title main entries, uniform titles are regularly applied to serials for this purpose. Shortly after the original implementation of AACR2 it was recognized that because many more serial records were now entered under title rather than author-title as they had previously been entered, the likelihood was greatly magnified of records for unrelated serials with identical entry points, requiring differentiation for record filing to be useful. Accordingly, since the first version of the code, AACR2 25.5B (formerly 25.5B and 25.5C) has been expanded, notably with the addition of examples of qualified serial uniform titles, and an elaborate LCRI on 25.5B was issued dealing mainly with serial headings.

UNIFORM TITLES: PARTICULAR PROBLEMS FIGURE 6-20

127

Radio program

130 0 ‡a Prairie home companion (Radio program) 670 ‡a A prairie home companion folk song book, 1988: ‡b t.p. verso (A prairie home companion is a production of Minn. Public Radio)

FIGURE 6-21

Computer file qualified by producer

130 0 ‡a Apache (Computer file : Interactive Magic (Firm)) 670 ‡a Apache strategies & secrets, c1996: ‡b cover (game developed by Interactive Magic and Sybex) 670 ‡a Computer select, Jan. 1997: ‡b software product specification section (manufactured by Interactive Magic)

130 0 ‡a Apache (Computer file : Apache Group) 670 ‡a Apache, 1997: ‡b p. 4 of cover (Apache Group, the core developers of the Apache server)

Few authority records for serial uniform titles appear in the NAF, even though most of them do fit the Descriptive Cataloging Manual’s (DCM) criterion 1: “A reference must be traced in the authority record, e.g., if there are variant forms of the title.”8 The addition of a uniform title to a serial record de facto creates a variant title by the addition of the qualifier. There is no explicit guideline, either from LC or from CONSER (Cooperative Online Serials Program), instructing catalogers either to make or not to make authority records for serial uniform titles. However, in CONSER practice, a heading is considered “authoritative” under either of two circumstances: (1) the heading exists in the authority file, or (2) it exists as an entry on a CONSER bibliographic record.9 Following this reasoning, in the absence of a record in the NAF, the CONSER bibliographic record constitutes the authority for the heading, and no record need be created. This seems a rather weak justification for not creating authority records, however, given the LC requirement (DCM, “Introduction,” “Name Authority Records”) that an authority record be made for all name headings; the same reasoning could be applied to names—an LC or BIBCO (Bibliographic Record Cooperative Program) bibliographic record could be considered the “authority” for name headings contained in them— but it is not. Another possible line of reasoning for not creating authority records for these headings is that any given uniform title would normally appear on very few bibliographic records—the record for the serial represented by

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the uniform title and records for preceding and succeeding titles, if any. Very few serial uniform titles would be found on more than three or four records, a situation unlike that for many names and other uniform titles, so the argument could be made that keeping these few headings under control is quite feasible without resorting to authority records. This also seems a rather weak justification, because authority records for other types of headings are routinely made even though it is likely that the heading will not be used more than once or twice. A third argument is that under current practice the bibliographic record already serves some of the functions of the authority record, particularly that of connecting a serial title with other related titles. In an authority record this would be done using 5XX fields, normally beginning with subfield ‡w to specify the relationship (e.g., a preceding or succeeding title). In the bibliographic record this same thing is done using linking fields (76X-78X), most commonly 780 (Preceding Entry) and 785 (Succeeding Entry), both of which have an elaborate set of indicator values that control various labels (e.g., “Continues:”, “Supersedes:”, “Absorbed by:”, etc.). Although strictly speaking MARC fields 76X-78X are used to create notes prescribed under AACR2 1.7A4 (“Notes citing other editions and works”), there are obvious benefits to also using these fields as indexed added entry fields, and most systems do index the fields in title indexes. Therefore, overlaying an authority structure on existing bibliographic practice might cause redundancy in referencing. On the other hand, because these fields are being used for indexing, authority control is desirable to ensure uniformity in the heading. Additionally, not all the functions of the authority record are performed by the serial bibliographic record. One of the functions of the authority record is record keeping, both to record the heading decided on and to record justifications for the decision. Catalogers are able to record certain types of “housekeeping” information or clarification about the title in an authority record that they might not want to add to a bibliographic record. There may also be more leeway for cross-referencing in an authority record (because it represents the work in the abstract rather than the item itself) than there would be in a bibliographic record. More importantly, the cross-references in an authority record would be available whenever the heading was needed in the catalog, not just when the heading has been used in the record for the serial itself. If a library does not own a particular serial, but its heading is used on another record (e.g., a work about the serial), under current practice no cross-references for variant titles would be available to the user because they are all contained in the bibliographic record for the original serial—which would not be in the library’s catalog. Worse, even if the library does own the serial, none of the references in the serial record would display to a user doing a subject search because they


129

are not contained in subject fields in the serial record. Using an authority structure, all references would be available to the user even if the library catalog did not contain a bibliographic record for the serial, no matter what index the user searched in. Finally, one use of the authority record in current automated systems is checking the headings in bibliographic records. If no authority record exists for a form in a field defined as under authority control (which would presumably include fields containing uniform titles), the system will report the presence of an unauthorized heading, even though under current CONSER practice the “authority” for that heading may be the bibliographic record itself. For the authority process to function in these systems, authority records are needed for all headings, including serial uniform title headings. Although current practice does not appear to embrace using authority records for most serial uniform titles, nothing stops individual libraries from creating such records, and they appear to have much to recommend them. Examples in this book are given in the authority format, but because no guidelines have been issued for the structure of authority records for serial uniform titles, the examples are suggestive of what might be done, are certainly not prescriptive, and are likely somewhat idiosyncratic, particularly in the matter of cross-references from the unqualified title (this is discussed below, after the discussion of qualifiers). The figures are simply meant to demonstrate how some of the problems associated with serials might be solved through the use of authority records rather than depending on bibliographic records. The headings themselves, on the other hand, are formed according to established AACR2, LCRI, and CONSER guidelines. As with all uniform title headings, before creating an authority record for a serial uniform title an initial question must be answered: Is a uniform title necessary at all for a given serial title? The LCRI to 25.5B (“Eligible titles for conflict”) gives guidelines. Under LC policy, only the title proper of a serial (note this does not include other title information) is taken into account in deciding whether a conflict exists (and thus a uniform title is necessary). Variant titles (as represented in 246 or 740 fields or in crossreferences of authority records), even if they are the same as the title of another serial, are not considered.10 CONSER guidelines expand this slightly, requiring a uniform title if the title proper of a serial entered under title is identical to that of any other serial (or series), whether or not the other serial is entered under title or author (usually corporate body). Additionally, a uniform title is required if the physical format of a serial changes (e.g., from paper to electronic) (CONSER Cataloging Manual, Module 5.2). In doubtful cases (e.g., the two titles are slightly different because of spelling variations), assume a conflict exists and create a uniform title (Module 5.2.2).

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If under the guidelines explained above the title proper of a serial does conflict with that of another serial, or with an already established authority heading (whether or not it is for a serial), a uniform title should be used to break the conflict, and this book recommends the creation of an authority record for the uniform title. The conflict should be broken by creating a qualified uniform title for the new record under cataloging. A heading already in use should in most cases not be changed, nor should a uniform title be created for the older record if it does not already have one, in order to differentiate it from the new item. Catalogers should not predict conflicts, even if the title is common and it is very likely that there will eventually be another identical title. An actual conflict should exist in the bibliographic database being searched by the cataloger before a uniform title is applied. The uniform title is the form that should be used in all access points of records needing to lead to or refer to the serial. On the record for the serial itself, it will appear in the 130 field (or 1XX/240 combination). On other records it may appear in a 6XX field for a work about the serial or in a 7XX field for a related title. If it is determined that a uniform title is needed for conflict resolution, the cataloger creates one by adding a qualifier to the title proper of the serial. The LCRI gives some guidelines for this. If the title proper is generic, simply identifying the type of publication (“Report,” “Papers,” “Bulletin,” etc.), the cataloger should qualify by the heading for the body issuing the serial (not the publisher, if it is different from the issuing body). The form of the body’s name is that found in the name authority record for the body (see figure 6-22; the authorized forms of the two bodies are “Smithsonian Institution” and “United States. Federal Home Loan Bank Board”). The authority record should include references from any variants as well as an author-title reference from the issuing body. FIGURE 6-22 130 410 430 430 670

2

Generic title

0 ‡a Research reports (Smithsonian Institution) ‡a Smithsonian Institution. ‡t Research reports 0 ‡a Research reports 0 ‡a Smithsonian research reports ‡a Research reports, 1973- ‡b (Issuing body: Smithsonian Institution; alternative title: Smithsonian research reports)

130 0 ‡a Journal (United States. Federal Home Loan Bank Board) 410 2 ‡a United States. ‡b Federal Home Loan Bank Board. ‡t Journal 430 0 ‡a Journal 670 ‡a Journal, 1971- ‡b (Issuing body: United States. Federal Home Loan Bank Board)


131

In other situations, the choice is left up to the cataloger. Possible qualifiers include • corporate body; • corporate body and date of publication (separated by space-colon-

space); • date of publication; • descriptive data elements, e.g., edition statement; • place of publication (the form of the place name is the AACR2

form found in the authority file, minus any cataloger-added qualifiers such as “County”); and • place of publication and date of publication (separated by space-

colon-space). There are a number of journals called Television. These have been qualified in several ways. One is qualified by the society that issues it (see figure 6-23). The authorized form of the body’s name is “Royal Television Society (Great Britain).” Note that the qualifier for the corporate name is retained within the qualifier for the uniform title, even though this results in double parentheses. Another Television is not issued by any body in particular, and so it is qualified by place of publication (see figure 6-24). When the place of publication is used as a qualifier, the place name is that of the earliest issue of the serial, which normally would be the place named in the 260 field of the bibliographic record. Still another ran as Television until 1955, changed to Television Magazine, and then switched back to Television in 1959. Under AACR2 cataloging principles, these are considered three separate serials, and therefore the serial beginning publication in 1959 must be differentiated from the FIGURE 6-23

Qualifier: corporate body

130 0 ‡a Television (Royal Television Society (Great Britain)) 410 2 ‡a Royal Television Society (Great Britain). ‡t Television 430 0 ‡a Television 670 ‡a Television, 1976- ‡b (issued by Royal Television Society (Great Britain))

FIGURE 6-24

Qualifier: place of publication

130 0 ‡a Télévision (Paris, France) 430 0 ‡a Télévision 670 ‡a Télévision, [1997]- ‡b (publ. in Paris, France)

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pre-1955 version. The qualifier for the uniform title for the last iteration of this magazine contains both the corporate body that published it and also the date of the beginning of the run (because the earlier run under the same title was also issued by the same body) (see figure 6-25). Note in the figure that the preceding title is referenced in a 530 field. The relationship of Television Magazine to Television is shown by the contents subfield ‡w, which will also trigger a message to the user. In this case, the user searching under the title Television Magazine would be shown a message “Search also under the later heading: Television (Frederick Kugel Company : 1959)” generated by the presence of the 530 field in this authority record. The code “a” is used for an earlier heading; code “b,” for a later heading. The Mongolia Society Newsletter, issued by the Mongolia Society, has a title unique enough that it is unlikely that any other unrelated journal will ever conflict with it. However, it, too, went through a number of name changes. It began as Mongolia Society Newsletter (1962-1964); its title changed to Mongolia Society Bulletin (1965-1973) and then Mongolian Studies (1974- ). Meanwhile, in 1985, the Mongolia Society began issuing a separate newsletter, titled—again—Mongolia Society Newsletter, which changed its name to Mongolia Survey in 1995. All of these serials were published in the same place and issued by the same body, so that place or corporate body would not suffice to distinguish between them. There are actually two qualifiers that might have been used to distinguish between the two conflicting serial titles. The Mongolia Society was evidently aware of the problem it was creating in issuing another Mongolia Society Newsletter, and so it called the 1985-1994 issues “New Series.” Therefore, “New ser.” (a descriptive data element) might have been chosen as the qualifier. It is somewhat more common to choose a date to distinguish between identical titles in this situation, however, and this is what the LC cataloger did (see figure 6-26). The choice between using the issuing body as the qualifier for the uniform title and other qualifiers is important because it may determine whether a new record is needed when a change occurs. Under AACR2

FIGURE 6-25 130 410 430 530 670

2

Qualifier: corporate body and date

0 ‡a Television (Frederick Kugel Company : 1959) ‡a Frederick Kugel Company. ‡t Television (1959) 0 ‡a Television 0 ‡w a ‡a Television magazine ‡a Television, 1959- ‡b (publ. by Frederick Kugel Company; continues Television magazine)

UNIFORM TITLES: PARTICULAR PROBLEMS FIGURE 6-26 130 410 430 530 667

133

Qualifier: date

0 ‡a Mongolia Society newsletter (1985) ‡a Mongolia Society. ‡t Mongolia Society newsletter (1985) 0 ‡a Mongolia Society newsletter (New ser.) 0 ‡w b ‡a Mongolia survey ‡a Earlier serial issued by the Society also called Mongolia Society newsletter (19621964); 1985-1994 issues called "New Series"; title changed in 1995 to Mongolia survey 670 ‡a Mongolia Society newsletter, 1985-1994 ‡b (published by Mongolia Society) 2

principles, when a corporate body changes its name, it becomes a new entity. Therefore, if a serial uniform title has been qualified by the name of the issuing body and the body changes, this is significant enough to require a new record with a new uniform title, even if the serial continues and the title proper of the serial does not change (cf. LCRI 25.5B, “Change in qualifier: Body used as qualifier”). If anything else has been used as a qualifier, a new record is not required. From the standpoint of cataloging economy, this argues against using the name of the issuing body to qualify if there is a choice, except in the case of generic titles, discussed above. If authority records are being used to record serial uniform titles, when the corporate body that has been used as a qualifier changes its name, both a new bibliographic record should be made for the serial and a new authority record. For example, the Committee on Archives of the United Church of Canada issued a serial called Bulletin. In 1979 the committee changed its name to the Committee on Archives and History. This required a new bibliographic record and would require a new authority record (see figure 6-27). Changes in the serial affecting other types of qualifiers do not usually require a new record. If the serial has been qualified by place name and it “moves” to a new city, no new records are needed, but a cross-reference would be added to the authority record qualifying the title by the new city. For example, the periodical Religion and Society began publishing in 1976 in The Hague, but in 1985 it moved to Berlin (see figure 6-28). Similarly, if the name of the place of publication changes, do not change the uniform title or create a new serial record; rather, add a crossreference to the authority record giving the uniform title qualified by the new form of the place name. A number of periodicals were published in Leningrad and were qualified by “(Leningrad, R.S.F.S.R.).” A serial title qualified by this place name would not change even though the name of the place has been changed.

134


FIGURE 6-27

Change in qualifier: qualified by corporate body

130 410 430 530 667 670

130 410 430 530 667 670

2

2

0 ‡a Bulletin (United Church of Canada. Committee on Archives) ‡a United Church of Canada. ‡b Committee on Archives. ‡t Bulletin 0 ‡a Bulletin 0 ‡w b ‡a Bulletin (United Church of Canada. Committee on Archives and History) ‡a Issuing body changed its name to Committee on Archives and History in 1978 ‡a Bulletin, 1948-1978 ‡b (issued by United Church of Canada. Committee on Archives)

0 ‡a Bulletin (United Church of Canada. Committee on Archives and History) ‡a United Church of Canada. ‡t Committee on Archives and History. ‡t Bulletin 0 ‡a Bulletin 0 ‡w a ‡a Bulletin (United Church of Canada. Committee on Archives) ‡a Issuing body changed its name from Committee on Archives in 1978 ‡a Bulletin, 1979- ‡b (issued by United Church of Canada. Committee on Archives and History)

FIGURE 6-28

Uniform title qualified by place name: serial moves to another city

130 0 ‡a Religion and society (Hague, Netherlands) 430 0 ‡a Religion and society (Berlin, Germany) 430 0 ‡a Religion and society 670 ‡a Religion and society, 1976- ‡b (published Hague, Netherlands; moved to Berlin in 1985)

However, sometimes a uniform title must be revised (without creating a new record). It is not considered a title change when a uniform title is qualified by place name and the name’s qualifier changes. Therefore, such changes require revision of uniform titles and corresponding authority records rather than new records. Uniform titles qualified by “Moscow, Russia” are examples. Unlike Leningrad’s, Moscow’s name did not change at the fall of the Soviet Union; however, its qualifier changed from “R.S.F.S.R.” to “Russia.” Because this did not involve an actual change to the name of the city, no new authority record was created; rather, the existing authority record was revised. All uniform titles qualified by this city name also needed to be changed because there was no longer an authorized form corresponding to the old qualifier (see figure 6-29). For changes in the serial that might affect any other kind of qualifier, do not create a new record or change the uniform title. Add a cross-reference to the authority record if it is thought to be useful to the user. The figures in the section of this chapter dealing with authority records for serial uniform titles contain cross-references from the title

UNIFORM TITLES: PARTICULAR PROBLEMS FIGURE 6-29

135

Uniform title qualified by place name: place name’s qualifier changes

130 0 ‡a Pravda (Moscow, Russia) 430 0 ‡a Pravda (Moscow, R.S.F.S.R.) [Note: this was the original form of the uniform title; it now becomes a cross-reference] 430 0 ‡a Pravda 670 ‡a Pravda, 1917- ‡b (published: Moscow)

without a qualifier. This is not standard, but it would be a useful practice, particularly in the case of generic titles. When the library user attempts a search on a title such as Journal or Bulletin in all but the smallest libraries, he or she is confronted with a seemingly endless list of titles beginning with “journal” or “bulletin.” Titles consisting of the word alone and a cataloger-supplied qualifier will be interfiled with longer titles, making it very difficult for the user to sort out the correct one. An abbreviated example of a search under “journal” might appear as follows: Journal Journal Journal Journal Journal Journal Journal Journal Journal Journal Journal Journal Journal Journal Journal Journal Journal Journal (etc.)

(American Society of Agronomy) (American Water Works Association) and ceramic abstracts and guide and law digest (California Trial Lawyers Association) canadien de botanique canadian de microbiologie (Colorado Education Association) d’analyse mathématique (Jerusalem) de chimie physique de microscopie for special educators (Institute of Muslim Minority Affairs) (Jackson County, Missouri, Historical Society) litteraire of abnormal psychology of bacteriology

The qualified title Journal is randomly interspersed throughout the list. It was compiled from an actual search in a medium-sized academic library but greatly abbreviated: the original result contained more than a thousand titles, an impossible situation for a library user. The problem would be partially remedied by the presence of a crossreference for the unqualified title in the authority record for the serial uniform title. This would have the effect of gathering together all the quali-

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fied headings, separating them from the longer titles, and producing a display such as the following: Journal search under Journal Journal Journal Journal Journal Journal (etc.)

(American Society of Agronomy) (American Water Works Association) (California Trial Lawyers Association) (Colorado Education Association) (Institute of Muslim Minority Affairs) (Jackson County, Missouri, Historical Society)

Such a display would be much easier for the library user to sort through than the complete list of journal titles owned by the library. This book therefore advocates the use of such cross-references, particularly in authority records for serial uniform titles, although they would be useful for other qualified uniform titles (e.g., series) as well. Adopting this practice would require a change in the policy of not qualifying the first title cataloged when a conflict is encountered (theoretically there is one unqualified “Journal” out there). Rather, when a conflict is discovered, both the first title and the new conflicting title would be qualified.

WORKS CREATED BEFORE 1501 Under AACR2 25.4, uniform titles for works created before 1501 are formed under different rules from works created after that date. This is mainly because the rules under 25.3 do not work well for these works. Most of them were created before the advent of printing, and so finding the title in the original “edition” (25.3B) would be problematic, to say the least. Even works printed and published from the invention of printing through 1500 pose problems, because many printed books of this period did not have a recognizable title page, and divining the title proper from these editions is difficult. Therefore, the uniform title for these works is chosen from the title by which they are identified in modern reference sources, the title most frequently found in modern editions, early editions, or manuscript sources, in that order. Figure 6-30 shows a pre-1501 work identified by two names in modern reference sources, and the chosen heading was something of a toss-up. However, references are always given from variant titles, guiding the user to the correct heading. Classical and Byzantine Greek works are often better known by a Latin title than by the original Greek title. Uniform titles for such works are formed, in order of preference, from (1) a well-established English title

UNIFORM TITLES: PARTICULAR PROBLEMS FIGURE 6-30 100 0 400 0 400 0 400 0 670 670

670 670 670 670

137

Work created before 1501

‡a Virgil. ‡t Bucolica ‡a Virgil. ‡t Eclogues ‡a Virgil. ‡t Eclogae ‡a Virgil. ‡t Bucolics ‡a The eclogues of Vergil, c1980 ‡a Harper's dict. of class. lit., 1937 ‡b (10 short poems called Bucolica; "also called Eclogae ‘selections’) but there is no reason to suppose that this name originated with the poet") ‡a Enc. Brit., 1977 ‡b (Virgil's first major work, the collection of 10 pastoral poems, called the Eclogues) ‡a Enc. Brit., 1972 ‡b (the ten Eclogues, sometimes called Bucolics) ‡a Enc. Americana, 1975 ‡b (10 pastoral poems known as Bucolics or Eclogues) ‡a Collier's enc., 1973 ‡b (the Bucolics or Eclogues)

for the work, (2) a Latin title, (3) the Greek title. References should be given from the unused forms (see figures 6-31 and 6-32). Early title pages commonly contain a statement of responsibility before the title in the form of the name of the author in the genitive case. This variant should be given as a reference. A reference should also be given from the title without the preceding statement of responsibility if it differs from the title chosen for the uniform title (see figure 6-33).

FIGURE 6-31 100 0 400 0 400 0 400 0 670 670 670

‡a Plato. ‡t Epistles ‡a Plato. ‡t Platonis Epistulae ‡a Plato. ‡t Epistulae ‡a Plato. ‡t Epistolai ‡a Platonis Epistulae, 1985 ‡a Enc. Brit. under Epistles ‡b (There are 13 epistles, Thirteen Epistles of Plato, attributed by some to Plato, but their authenticity is open to considerable doubt) ¯ ¯ enkykl. ‡b (Epistolai) ‡a Megale¯ Hellenike

FIGURE 6-32 100 0 400 0 400 0 670 670

Greek work entered under English title

Greek work entered under Latin title

‡a Lucian, ‡c of Samosata. ‡t Vera historia ‡a Lucian, ‡c of Samosata. ‡t Luciani Vera historia ¯ ¯ historia ‡a Lucian, ‡c of Samosata. ‡t Alethes ¯ ¯ historia, 1990 ‡a Luciani Vera historia = Alethes ¯ ¯ historia) ‡a Oxford class. dict., 1970 ‡b p. 621 (Alethes

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FIGURE 6-33

Reference from form with preceding statement of responsibility

100 0 400 0 400 0 670 670

‡a Augustine, ‡c Saint, Bishop of Hippo. ‡t De natura et gratia ‡a Augustine, ‡c Saint, Bishop of Hippo. ‡t D. Aurelii Augustini Hipponensis episcopi De natura & gratia liber unus ‡a Augustine, ‡c Saint, Bishop of Hippo. ‡t De natura & gratia liber unus ‡a D. Aurelii Augustini Hipponensis episcopi De natura & gratia liber unus, 1534 ‡a Clavis patrum Latinorum, 1995: ‡b p. 132 (De natura et gratia)

MANUSCRIPT HEADINGS An unusual use of uniform titles occurs with headings for ancient, medieval, and Renaissance manuscripts. Such manuscripts may have two uniform titles associated with them—one for the text of the work written on the paper or parchment and one for the physical manuscript itself. This is because entry for the physical entity is needed, e.g., for subject and added entry access on records for works dealing with the physical manuscript and not with the text (see LCRI 21.30H for several instances when a manuscript heading would be used as an added entry). The manuscript heading is also used in certain instances as a main entry, “when either the work does not have an author or title or the collection does not have a title” (LCRI 25.13). The rules for the uniform title for the text are the same as those for any work. However, the uniform title for the manuscript as a physical entity is quite a different matter. Under AACR2 25.13B1a-b, the preferred form of the uniform title is the name by which the manuscript is known, for example, the medieval Irish biblical manuscript “Book of Kells” or the very early manuscript of the poet Vergil “Vergilius Vaticanus” (see figure 6-34). FIGURE 6-34 130 410 410 430 430 667

670 670 670

0 2 2 0 0

Named manuscript

‡a Book of Kells ‡a Trinity College (Dublin, Ireland). ‡b Library. ‡k Manuscript. ‡n A.1.6 ‡a Trinity College (Dublin, Ireland). ‡b Library. ‡k Manuscript. ‡n 58 ‡a Kells, Book of ‡a Codex Cenannensis ‡a Heading represents the manuscript as a physical entity, including its decoration. For textual contents of the ms. use: Bible. N.T. Gospels. Latin. Book of Kells. [date, as appropriate]. ‡a The Book of Kells, c1990: ‡b t.p. (The Book of Kells; ms. 58 in the Library of Trinity College, Dublin) ‡a E-mail correspondence with Bernard Meehan, keeper of mss. at Trinity College, Nov. 30, 2000 ‡b (shelfmark changed from A 1 6 to 58 in 1900) ‡a Evangeliorum quattuor Codex Cenannensis, 1950-1951


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Authority records for manuscripts identified by name always contain a cross-reference in the form 410 2

‡a Holding library. ‡k Manuscript. ‡n Accession number or shelfmark

as seen in this example. If they have been held by more than one library in their history, there may be more than one such designation; or if the holding library has changed the accession number or shelfmark, there may be a cross-reference from the earlier form, as seen in the Book of Kells example. The Book of Kells and the Vergilius Vaticanus are famous and have names that are generally accepted in the scholarly world to refer to the manuscript. Others are not as famous, and the question might arise whether they are named or not. The LCRI to 25.13 gives some guidance for deciding this question. A named manuscript will usually contain a generic term such as “codex,” “stone,” or “tablet” (note that the rule also applies to “manuscripts” written on materials other than paper or parchment). See figure 6-35. Alternately, a named manuscript might contain a form of a location name (often the name of the place where it is held), together with a generic literary term, as in the manuscript floor plan of the monastery of St. Gall (see figure 6-36). Aside from this, it is up to the cataloger to decide if a manuscript is named. If there is any doubt, AACR2 and the LCRI clearly prefer that the manuscript be considered named. FIGURE 6-35

Manuscript name containing generic term

130 0 ‡a Codex Huygens 410 2 ‡a Pierpont Morgan Library. ‡k Manuscript. ‡n MA 1139 670 ‡a The Codex Huygens and Leonardo da Vinci's art theory, 1940: ‡b t.p. (Pierpont Morgan Library Codex M.A. 1139) 670 ‡a Dict. of art online, May 30, 2000 ‡b (Carlo Urbino (da Crema); the author of the Codex Huygens; based, in part, on the notebooks of Leonardo da Vinci)

FIGURE 6-36 130 410 430 430 670 670

2

Manuscript name containing location

0 ‡a St. Galler Klosterplan ‡a Stiftsbibliothek Sankt Gallen. ‡k Manuscript. ‡n 1092 0 ‡a Plan of St. Gall 0 ‡a Sankt Galler Klosterplan ‡a Köln, Aachen, Reichenau, 1981 ‡b t.p. (St. Galler Klosterplan) ‡a The plan of St. Gall, 1979 ‡b (The plan is located in Stiftsbibliothek Sankt Gallen with manuscript number 1092)

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Because manuscripts usually have two uniform titles associated with them, one for the work and one for the physical manuscript, a 667 note is frequently given in the record for the manuscript, with wording similar to that of figure 6-34 (Book of Kells), to explain to the cataloger which heading to use in a given bibliographic record. In addition, if feasible there will be reciprocal 5XX references between the various headings. A corresponding reference to the manuscript heading will be given in the record for the work heading. See figure 6-37 for one of these. The record for the work may also contain an explanatory 667 field, as seen in figure 6-37. As usual, variant names or spellings are given in 4XX fields for manuscript headings, as seen in the record for the Book of Kells, also known as the Codex Cenannensis. Although a name is preferred for a manuscript heading, it is relatively uncommon. The majority of ancient, medieval, and Renaissance manuscripts do not have names and are instead identified by uniform titles formed under AACR2 25.13B1c. This rule directs the cataloger to begin the uniform title with the heading for the repository in which the manuscript resides, followed by the word “Manuscript,” and then the manuscript designation (accession number or shelfmark) used by the repository to identify the manuscript. An example of an unnamed manuscript is an anonymous glossary held by the Faculté de médecine at the Université de Montpellier I (see figure 6-38). The accession number is formed according to the preference of the repository (see AACR2 25.13B1c). However, discovering this is usually

FIGURE 6-37

Reciprocal 5XX reference to manuscript record

100 0 ‡a Virgil. ‡t Georgica. ‡n Liber 3-4. ‡k Selections 530 0 ‡a Vergilius Vaticanus 667 ‡a Heading (together with heading: Virgil. Aeneis. Selections) for the textual contents of the Vergilius Vaticanus. For the manuscript as a physical entity, including its decoration, use: Vergilius Vaticanus. 670 ‡a Vollständige Faksimile-Ausgabe im Originalformat von Codex Vaticanus Lat. 3225, c1980

FIGURE 6-38 110 2 670

Manuscript identified by repository and shelfmark

‡a Université de Montpellier I. ‡b Faculté de médecine. ‡b Bibliothèque. ‡k Manuscript. ‡n H. 236 ‡a Duo glossaria, 1998: ‡b t.p. (Ms. Montpellier H236) p. [9] (Manuscrit H236 de la Faculté de médecine de Montpellier)


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rather difficult, if not impossible, for the cataloger; and so the LCRI instructs the cataloger to “use the form found on the first item received.” Thereafter, all new headings are to follow the pattern thus established. The book on which the authority record for figure 6-38 was based gives the designation of the Montpellier manuscript “H236.” However, because a heading for another manuscript in the library had already been established with the designation formed “H. 169,” the designation for the new heading follows the same pattern. This rule makes for consistency in browsing the authority index. If the accession number were established in different ways for different manuscripts, the headings would not sort correctly. This is particularly important for repositories with large numbers of manuscript headings, such as the British Library or the Bibliothèque nationale de France. Because the heading is based on the name of the corporate body that owns the manuscript, if the manuscript changes hands or the repository changes its name, the heading must change, even though the manuscript itself has not changed in any way and, in the case of a change in repository name, may in fact not even move physically from the location it has been shelved in for hundreds of years (cf. LCRI 25.13). This required change of heading may seem counterintuitive, given the principles of AACR2 that provide for successive entry for serials or corporate bodies. There is no principle of successive entry for manuscript headings. Rather, these headings follow a principle similar to pre-AACR2 latest entry headings for serials. There is a reason for this difference. The purpose of this type of uniform title is quite different from that identifying a work. Uniform titles identifying manuscripts formed under AACR2 25.13B1c actually serve as an “address” giving the location of the manuscript, so that if the location changes (either physically or if the entity owning the manuscript changes its name), all associated headings must change. In 1994 the Bibliothèque nationale (France) merged with the Bibliothèque de France to become the Bibliothèque nationale de France. The Bibliothèque nationale was one of the world’s largest repositories of this type of manuscript. However, in cataloging theory, it no longer exists and so cannot own manuscripts. All the manuscripts that were formerly owned by the Bibliothèque nationale are now owned by the Bibliothèque nationale de France. This necessitated the change in the NAF of all headings beginning “Bibliothèque nationale (France). Manuscript. . . .” to “Bibliothèque nationale de France. Manuscript. . . .” In addition, all instances of the old headings in the bibliographic file needed to be changed. This is the case even though under AACR2 rules the heading of the now-defunct entity “Bibliothèque nationale (France)” is still valid for bibliographic records of items that emanated from it or were associated with it. Another notable example of this type of change was the change of name of the British Museum library to “British

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Library.” When this occurred, all the manuscript headings had to be changed, in both the authority file and the bibliographic file. Note that the uniform title for a named manuscript does not change in this situation. However, an additional cross-reference based on the new repository designation will be added to the authority record (see figure 6-39). In this case the cross-reference for the old form of the repository name is left on the authority record. Additionally, when a new authority record is being created, if the work cataloged uses an older form of the repository name, a cross-reference is given from that form in addition to the current form. This is the case whether the manuscript is named or unnamed. See figures 6-40 (the work cataloged contained the form “Musei Britannici” [British Museum]) and 6-41 (work cataloged contained the form “Bibliothèque nationale”). This cross-referencing makes sense, because library users starting with a work in which the older form is given would naturally use that form in looking for the manuscript heading and need to be directed to the new form. However, if the older form is not given in a work cataloged, only the current form is given in the authority record; cross-references are not routinely given for older forms of the repository name. FIGURE 6-39 130 410 410 430 670

Cross-reference added for current form of repository (named manuscript)

0 ‡a Papyrus Harris no. 1 ‡a British Museum. ‡k Manuscript. ‡n Papyrus Harris no. 1 ‡a British Library. ‡k Manuscript. ‡n Papyrus Harris no. 1 0 ‡a Harris papyrus no. 1 ‡a Facsimile of an Egyptian Hieratic papyrus of the reign of Rameses III, now in the British Museum, 1982: ‡b p. 1, 2nd group (British Museum, Egyptian papyrus, Harris no. 1) 670 ‡a LC in RLIN, 8-24-87 ‡b (hdg.: Papyrus Harris no. 1) 670 ‡a Br. Lib. gen. cat. to 1975 ‡b (hdg.: Harris papyrus; usage: Papyrus Harris) 2 2

FIGURE 6-40 130 410 410 430 667

Older form of repository name in work cataloged (named manuscript)

0 ‡a Lindisfarne Gospels ‡a British Library. ‡k Manuscript. ‡n Cotton Nero D.IV ‡a British Museum. ‡k Manuscript. ‡n Cotton Nero D.IV 0 ‡a Codex Lindisfarnensis ‡a Heading for the manuscript; for the texts within the ms. use: Bible. N.T. Gospels. [language]. Lindisfarne Gospels. 670 ‡a Evangeliorum quattuor Codex Lindisfarnensis Musei Britannici Codex Cottonianus Nero D. IV, 1960 670 ‡a The Lindisfarne Gospels, 1981: ‡b p. 7 (Lindisfarne Gospels (British Library Cotton MS Nero D.iv)) 2 2

UNIFORM TITLES: PARTICULAR PROBLEMS FIGURE 6-41 110 2 410 2 670 670 670

143

Older form of repository name in work cataloged (unnamed manuscript)

‡a Bibliothèque nationale de France. ‡k Manuscript. ‡n Français 12420 ‡a Bibliothèque nationale (France). ‡k Manuscript. ‡n Français 12420 ‡a "Des cleres et nobles femmes" : Ms. Bibl. nat. 12420, 1993-1995 ‡a Boccaccio's Des cleres et nobles femmes, 1996: ‡b p. viii (Bibl. Nat. MS fr. 12420) ‡a La peinture médiévale à Paris 1300-1500, 1987-1990: ‡b v. 1, p. 273 (Bibliothèque nationale, ms. fr. 12420; ill. ms. of Boccaccio's Des femmes nobles et renommées originally owned by Philip the Bold)

NOTES 1. International Federation of Library Associations, Statement of Principles Adopted at the International Conference on Cataloguing Principles, Paris, October, 1961, ed. Eva Verona (London: IFLA Committee on Cataloguing, 1971), p. 7. 2. IFLA Study Group on the Functional Requirements for Bibliographic Records, Functional Requirements for Bibliographic Records (Munich: Saur, 1998), p. 97 (emphases as in original). 3. MARC Code List for Languages (Washington, D.C.: Library of Congress, 2000). Also available on Cataloger’s Desktop and at . 4. On CONSER, see chapter 12. The CONSER Cataloging Manual is available on Cataloger’s Desktop. 5. Statement of Principles, p. 6. 6. Functional Requirements, p. 97-98. 7. The authority record for the choreographic work was contributed to the NAF by the Dance Heritage Coalition and follows a somewhat different practice from most other NACO records in the note fields. 8. Descriptive Cataloging Manual: Z1, Name and Series Authority Records, available outside the Library of Congress only on Cataloger’s Desktop. 9. See the CONSER Editing Guide (available on Cataloger’s Desktop), Section E (Variable Data Fields, 730). There are no equivalent instructions for the 130 field, but presumably the same reasoning applies. 10. If a cross-reference on an existing authority record conflicts with the title proper of a serial, the cross-reference should be qualified rather than the serial title. In most cases this will mean that the serial title no longer conflicts with another title and so does not need a uniform title.

7

SERIES General Information

Series are treated in two chapters in this book. The first, chapter 7, contains general information about series, including instructions for dealing with series both in bibliographic and authority records. The second, chapter 8, details the contents of the MARC (Machine-Readable Cataloging) series authority record. Series headings are a type of uniform title, but they are treated in separate chapters from uniform titles because they present unique problems that affect their treatment both in bibliographic records and in authority records.1

DEFINITIONS Series The AACR2 (Anglo-American Cataloguing Rules) glossary contains three definitions for the word “series.” The first of these is the one that pertains to the type of series discussed in this chapter: “A group of separate items [intended to be continued indefinitely] related to one another by the fact that each item bears, in addition to its own title proper, a collective title applying to the group as a whole. The individual items may or may not be numbered” (AACR2 appendix D, s.v. “series”; the bracketed portion is from the LCRI (Library of Congress Rule Interpretations) to this definition and has been recommended to the Joint Steering Committee for inclusion in the AACR2 definition). There are three important points to consider here. First, a series is a group of items. However, not all groups of items are series, because, second, each item in the group has two titles, one for the individual item itself and one for the group. Thus, although the 2001 edition of The World Book Encyclopedia is a group of items (it is published in twenty-two sep-

144

SERIES: GENERAL INFORMATION

145

arate volumes), it is not a series, because each volume has only one title, “The World Book Encyclopedia” (with the addition of a volume number). For the same reason, the New York Times is not a series. Third, the LCRI addition is an important distinguishing factor: a series must be intended to be continued indefinitely. Under this definition a familiar tool in most libraries, Library of Congress Classification, is not a series. It is a group of items, each with two titles (for example, the DT-DX volume contains the title History of Africa, Australia, New Zealand, Etc., pertaining to that volume only, and the title Library of Congress Classification, pertaining to the group), but it is not intended to be continued indefinitely. Individual volumes may be revised from time to time, but the set as a whole has been planned, literally, from A to Z, and nothing beyond that is foreseen. Similarly, the publications of a single conference would not fall under this definition of series (even if the articles or speeches were issued as separate monographs with unique titles and connected by a title for the conference), because once the conference is closed, the number of presentations that can be given at it is also closed. The number of monographs that could be published in the group is fixed, and so the “series” cannot be “intended to be continued indefinitely.” Europe in Change is a series. It is a group of items tied together in this case by a common subject theme. Individual items in the series each contain two titles, one for the item itself and one for the series. For example, Committee Governance in the European Union (ed. Thomas Christiansen and Emil Kirchner, 2000) contains the title “Committee Governance in the European Union” on the title page; the page facing the title page (the “series title page” in this book) contains the title “Europe in Change” as well as a list of other books in the series. Finally, the series is intended to be continued indefinitely. There is no theoretical limit to the number of separate monographs that could be published under the rubric of change in Europe, nor is there any particular limit (as with a conference) to the potential authors of separate works in the series. These three characteristics distinguish series from single monographs, from multipart items, and from serials. Obviously there are gray areas where the distinctions may not be clear, and sometimes the decision rests with the cataloger’s judgment. However, such distinctions are important because they affect how the items are treated in the catalog. Library users use series titles as a collocation device to find materials. Therefore, like other collocation tools, to be useful series titles must be controlled: all titles in the same series must be identified consistently in the same way on each record; at the same time, titles of different series with the same or similar names must be distinguished from one another. In other words, series titles are candidates for authority work.

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Analyzable Serials Series bridge the world of monographs and serials. As defined above, a series is a group of items intended to be continued indefinitely, with a title common to the group, each with an individual title. Therefore, the individual items are normally monographs (thus, series are usually called “monographic series”), but the series itself may be a serial. The treatment of serials is under tremendous flux at the time of publication of this book. The current definition of “serial” excludes certain series. A serial is “a publication in any medium issued in successive parts bearing numeric or chronological designations and intended to be continued indefinitely” (AACR2 appendix D, s.v. “serial”). Thus, like a series, a serial is a group of items intended to be continued indefinitely. The definition is both narrower and broader than that of series, however. On the one hand, a given serial may contain items that do not have individual titles, so in this sense the definition includes more than the definition of series. On the other, under the current definition, a serial must bear numeric or chronological designations. Many series are numbered and thus would fall under this definition of serial, but many are not. Under current AACR2 definitions, numbered monographic series are serials; unnumbered series are not. In response to changes in publishing patterns, some fundamental changes are being made to AACR2, including the introduction of the concept of “continuing resource,” defined as “a bibliographic resource that is issued over time with no predetermined conclusion.”2 Continuing resources include two groups, serials and ongoing “integrating resources,” defined as “a bibliographic resource that is added to or changed by means of updates that do not remain discrete and are integrated into the whole. Examples of integrating resources include updating loose-leafs and some Web sites.” In addition to these new concepts, the definition of serial is being changed to “a continuing resource issued in a succession of discrete parts, usually bearing numbering, that generally has no predetermined conclusion.” The most significant changes here are (1) serials will no longer be required to bear a numeric or chronological designation, and (2) there is no longer a requirement that they be intended to be continued indefinitely, although according to the definition, serials will “usually”/“generally” have these two characteristics. The effect of this change on series is to bring all series, both numbered and unnumbered, into the broad category of “serial.” Most serials are not series, however. Serials such as Newsweek or Smithsonian or the Washington Post are not series because individual volumes or issues do not bear separate titles. However, serials do sometimes publish an issue that has its own title. For example, the fall-winter 1981 issue of the Journal of Divorce is devoted to a single topic, was put


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together by a single editor, and bears its own title, Impact of Divorce on the Extended Family. This could be cataloged just like any monograph, and in fact some libraries that do not subscribe to the journal might buy this issue and want it identified by its own title in their catalog. Similarly, libraries that do subscribe to the journal might want to have a separate record, in addition to the record for the journal, for this particular issue, because patrons might well look for it as though it were a monograph rather than as part of a serial. A serial that publishes such an issue is said to be “analyzable,” meaning that an individual issue can be cataloged on its own record apart from the serial record. In such cases, the serial title is treated on the bibliographic record for the individual issue as a series, even though it cannot be said that the serial itself is a series. Analyzable serials run the gamut from a single analyzable issue in the life of the serial to serials of which every issue is analyzable. The Journal of Divorce falls between the two: in the first ten years of its existence it published four analyzable issues. The serial Alaska Geographic is an example of a serial in which every issue is analyzable: every issue is on a particular aspect of Alaska, has its own title, and most are entirely written by a single author. For example, volume 27, number 3 (August 2000), is a monograph by Kesler E. Woodward titled Painting Alaska, about some of the state’s best-known painters. Because the behavior of serials with respect to analysis is somewhat unpredictable, libraries keep records of their own practices so that the serials check-in personnel will know what to do with new issues as they arrive. Such records are kept on series authority records.

Multipart Items A “multipart item” according to AACR2 is “a monograph complete, or intended to be completed, in a finite number of separate parts” (AACR2 appendix D, s.v. “multipart item”). Like a series, a multipart item is a group of separate items or pieces. Unlike a series, the pieces may or may not bear a title proper separate from the main title of the set; and by definition multipart items are not “intended to be continued indefinitely.” However, multipart items may in some ways be treated like series. Library of Congress Classification and The World Book Encyclopedia are not series, as shown above. They are, however, multipart items. Because the individual volumes of World Book do not have individual titles, it would make little sense to catalog each on a separate record. On the other hand, each volume of Library of Congress Classification does have its own title, and it may make sense to catalog each on its own record, though a library would certainly have the option of cataloging the entire set on a single record. This particular multipart item is quite dynamic, and a library that had a standing order to the set would constantly be receiving updated

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copies of individual volumes. When new updates arrive, the cataloger needs to know what the library has decided to do with this set—all on one record or individual records for each volume? Classified together or separately? Should there be a tracing for the main title of the set? Such decisions are recorded on series authority records, even though, like analyzable serials, multipart items are not series. Analyzable multipart items are so like series that they are treated like them in nearly every respect. The terms “series statement” and “series tracing” are used with each. The same decisions about treatment need to be made about each. However, the distinction is made because in one important way series and multipart items are treated differently. Bibliographic resources identified as monographic series are treated like serials if their title changes: in such cases, according to cataloging theory, the former series stops and a new series begins. A new series authority record is created, and items in the series are henceforth identified by the new series title. This is not necessarily so with multipart items, which require new records because of title change far less frequently than monographic series. For details, see the discussion of “Change of Title” below. The distinction between multipart item and monographic series is not always clear. LCRI 1.6 (s.v. “multipart item vs. series”) gives some guidance. Publications issued on the occasion of a special event (including the publication of the proceedings of a single conference) are generally considered multipart items, not series. The publications of specific censuses, expeditions, excavations, surveys, etc., are also usually considered multipart items. Another common category of multipart items not mentioned in the LCRI is “series” by a single author, such as J. R. R. Tolkien’s Lord of the Rings. Consider the nature of the group of items. If the subject matter is limited in scope, or there is some sort of limitation to the time or activity being published, it is probably a multipart item. However, if in doubt, the cataloger should consider the group to be a series. Note that a monographic series can contain multipart items, and indeed other series. The series Corpus Christianorum. Series Latina contains critical editions of the works of Christian Latin literature of the first eight centuries. Within this series are numerous multipart items, both multivolume monographs that would not have separate series records (e.g., the works of Tertullian in two volumes) and those that would (e.g., the works of Augustine published in numerous separate volumes, each with its own title).

RELATIONSHIP OF THE BIBLIOGRAPHIC RECORD TO THE SERIES AUTHORITY RECORD The series title performs two functions in the bibliographic record. First, it serves as an identifier for a specific bibliographic item, and therefore


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space is given in the record for exact transcription of the series statement (with certain conventional changes, such as for capitalization), just as similar space is given to a quasi-facsimile transcription of the title page (or other chief source) in the MARC 245 field. Second, it performs a collocating function: it brings together all other items in a particular group (series, multipart item, or analyzable serial). Therefore, it must be given in a standard form. These two functions sometimes coincide, but often they are at odds with each other: if the transcribed form is not the same as the standardized form, one or the other of these functions might be thwarted. Therefore, there are two areas in the MARC record where series information is found: 4XX fields, which contain the transcription of the series statement as it appears on the item being cataloged and may perform double duty with the standardization function if the two happen to coincide; and 8XX fields, which contain the standardized form of the series title if the transcription in the 4XX field is different from the standardized form. The 4XX field contains the series title exactly as it is found in the source being transcribed (on choice of sources, see below under “Identification of the Series”). The only changes made by the cataloger are in capitalization, punctuation, and order of elements, following the same conventions followed in the title and statement of responsibility area (see AACR2 1.6B-1.6E [with 1.1B-1.1F]). There are two fields available for series transcription under AACR2 in the MARC record, 440 and 490. Before transcribing, the cataloger must check the authority file to discover the authorized form of the series title. If the series title has not yet been established, this should be done, based on the item in hand and research in the cataloger’s bibliographic database. If the series has already been established, the cataloger compares the form in the 1XX field of the authority record with the transcription he or she is about to do. If the two match exactly (ignoring an initial article, which will never be in the authority record, and capitalization differences), the cataloger should transcribe using the 440 field. For example, The Best American Travel Writing 2000, edited by Bill Bryson (Boston: Houghton Mifflin, 2000), has a series title on its cover that appears as follows: The Best American Series

The authority file contains the record shown in figure 7-1. The heading in the record (found in the 130 field) corresponds exactly to the title as found on the cover of the book (with the exception of capitalization and the initial article), so it will be transcribed in the bibliographic record in a 440 field (MARC bibliographic format) as follows: 440 4 ‡a The best American series

This represents an exact transcription of the series title as it appears in the source within the parameters of 1.6B-1.6E. The value “4” in the second

150 FIGURE 7-1

SERIES: GENERAL INFORMATION Series heading (130 field)

130 0 ‡a Best American series 643 ‡a Boston ‡b Houghton Mifflin 644 ‡a f ‡5 [Library’s MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library’s MARC code] 646 ‡a s ‡5 [Library’s MARC code] 670 ‡a The best American short stories, 2000: ‡b jkt. (The best American series)

indicator position of the field instructs the catalog system to skip the first four characters of the string (in other words, the initial article) so that the phrase will file on the word “best.” If the transcription and the authorized form do not match, the transcription is given in a 490 field (MARC bibliographic format), with the authorized form given in an 8XX field (MARC bibliographic format). This is a relatively common procedure. Two of the most frequent reasons for this happening are (1) the authorized series heading has a catalogersupplied qualifier (e.g., to distinguish it from another series with the same name) or (2) the “series” is a multipart item by a particular author (the authorized form of such multipart items always begins with the authorized form of the author’s name, which is never how the series statement appears on the item). Leslie Meier’s Christmas Cookie Mystery (New York: Kensington Books, 1999) has a “series” title on the title page (“A Lucy Stone Mystery”). This is an example of a multipart item by a single author. The authority record for this multipart item is shown in figure 7-2. Because the transcription will be different from the authorized form, it will be given in the 490 field (MARC bibliographic format) as follows: 490 1

‡a A Lucy Stone mystery

The first indicator in this field tells whether there is an associated 8XX field in the record. If there is, the indicator value is “1.” If there is not (because the library has chosen not to index this series), the indicator value is “0.” In this case the library does index the title, so the authorized form will be given in an 8XX field (MARC bibliographic format): 800 1

‡a Meier, Leslie. ‡t Lucy Stone mystery.

Which 8XX field is used depends on the entry point: 800 if an author, 810 if a corporate body, 811 if a meeting name, and 830 if a title (see MARC 21 Format for Bibliographic Data for indicator and subfield values). This will always correspond to the 1XX field in the authority record. El Japón en Los Ángeles, by José Carlos Llop (Barcelona: Ediciones Península, 1999), has a series title page that contains “Ficciones 24.”

SERIES: GENERAL INFORMATION FIGURE 7-2 100 1 430 0 643 644 645 646 670 670

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Series heading for multipart item (100 field)

‡a Meier, Leslie. ‡t Lucy Stone mystery ‡a Lucy Stone mystery ‡a New York ‡b Kensington ‡a f ‡5 [Library's MARC code] ‡a t ‡5 DPCC ‡5 [Library's MARC code] ‡a s ‡5 [Library's MARC code] ‡a Christmas cookie mystery, 1999: ‡b t.p. (A Lucy Stone mystery) ‡a RLIN, Aug. 11, 2001, Back to school murder, 2000 ‡b (ser. stmt. A Lucy Stone mystery)

Because there are many series with this title, the authorized form is qualified. The MARC authority record shows the heading “Ficciones (Ediciones Península).” The authorized form is different from that found in the MARC record, so a pair of fields is required in the bibliographic record, as with the Lucy Stone mystery. These will be formed as follows: 490 1 ‡a Ficciones ; ‡v 24 830 0 ‡a Ficciones (Ediciones Península) ; ‡v 24.

The procedure of using a 440 field alone or a combination of 490 and 8XX fields applies whether the cataloger is transcribing a monographic series title, a serial title (in the case of an analyzable serial), or the title of a multipart item (cf. LCRI 1.6, “Introduction”). This may seem somewhat complicated, but it is a good solution to the problem of the potentially conflicting dual purpose of the series statement in the bibliographic record.

IDENTIFICATION OF THE SERIES Choice of Entry Access to series (and multipart items) follows the same rules as choice of main entry for individually cataloged items (AACR2 21.1). Because authorship of series is normally diffuse, most are entered under title (see AACR2 21.1C), but they may also be entered under personal or corporate author (see AACR2 21.1A and 21.1B). The series mentioned above, Europe in Change, is entered under title because each item in the series is authored by a different person. On the other hand, C. S. Lewis’s Chronicles of Narnia would be entered under Lewis, because he is the author of each of the books in the multipart item. Entry of series under corporate body is rare, although series titles are frequently qualified by corporate

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body. Nevertheless, if a series issued by a corporate body falls under one of the categories of 21.1B2, it should be entered under the corporate body rather than title. For example, an annual report series issued by a single corporate body would clearly fall under 21.1B2a and be established under the corporate body, e.g., “Worcester Agricultural Society. Annual report.” Similarly, multipart items publishing the proceedings of conferences are established under the meeting name (see 21.1B2d), e.g., “Coinage of the Americas Conference. Proceedings.”3 When unsure, a helpful way to determine what the access point should be is to imagine cataloging the entire series on a single record (i.e., as a serial or collected multipart item). What would the main entry be? If the record would have a 100, 110, or 111 field, the series should be established under author (personal, corporate, or meeting name). If the record would have a 130 or no 1XX field at all, it should be established under title.

Sources of Information A series title must be transcribed and established from one of the prescribed sources for the series area in the appropriate AACR2 chapter. For example, a series title found on a book may be transcribed in the bibliographic description and established in an authority record if it is found on the series title page (an added title page bearing the series title proper and usually other information about the series), the main title page, the cover, or any other part of the publication (AACR2 2.0B2; see the corresponding rule in other AACR2 chapters for other formats). If the title is presented in more than one way in the item, these sources are to be taken in order. LCRI 1.6A2 points out that a series statement does not need to be formally presented, but can be embedded in text. However, in spite of AACR2’s allowance of the “rest of the publication” as one of the prescribed sources, i.e., any part of the publication, LC (Library of Congress)/NACO (Name Authority Cooperative Program) practice generally does not transcribe a series statement if it is found in the preface or text of the work itself. If thought necessary, such statements may be quoted in a note. Collectio Psalterii Bedae Venerabili Adscripta (Munich, 2001) has on its series title page the title Bibliotheca Scriptorum Graecorum et Romanorum Teubneriana. Its cover presents the series as Bibliotheca Teubneriana. Although both the series title page and the cover are acceptable sources for the series title, the presentation on the series title page will be chosen, both for the transcription in the bibliographic record and as the basis for the heading in the authority record, because series title page is named before cover in 2.0B2. Similarly, The Andromache and Euripidean Tragedy, by William Allen (Oxford, 2000), has on its series title page


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Oxford Classical Monographs. The page facing the title page has the following paragraph: “The aim of the Oxford Classical Monograph series (which replaces the Oxford Classical and Philosophical Monographs) is to publish books based on the best theses on Greek and Latin Literature, ancient history, and ancient philosophy examined by the Faculty Board of Literae Humaniores.” The presentation on the series title page, “Oxford Classical Monographs,” has precedence under 2.0B2 (note that the second presentation in this book, “Oxford Classical Monograph series,” is an example of an informal presentation, which would have been acceptable as a source for transcription and establishment of the series title in the absence of a series title page). If the only source for the series title is the book jacket, a label on the item, or a statement stamped on the item, the series may be transcribed and established, but the source should be given in a note in the bibliographic record. If the title is taken from the book jacket, it should be given in brackets in the bibliographic record (490 field) (see LCRI 1.6A2). The series title is initially given its authorized form based on the form of the title found in the first source for the series. Once established, this decision is not revisited every time a new item in the series arrives. However, the order of sources remains important even after the title has been established, for deciding which form of the series title to transcribe in the individual bibliographic records.

Formulation of the Heading The series statement should be transcribed in the 4XX field of the bibliographic record exactly as it is found in the source having precedence as described above. If the series has not already been established, this form will be the basis of the established form. However, the form to be established may not be precisely as transcribed in the 4XX field. First, a number of parts are deleted from the series statement as transcribed (see Descriptive Cataloging Manual, at “Variable Data Fields/1XX headings/ SARs [series authority records]”):4 1. Initial articles are removed. “The Dover pictorial archive series” becomes “Dover pictorial archive series.” 2. Other title information that may have been transcribed is removed. (Note: following serial practice, other title information for a series is rarely transcribed.) 3. Statements of responsibility are removed. “Research publication / Utah State Tax Commission” becomes “Research publication.” 4. Parallel titles are removed. “European treaty series = Série des traités européens” becomes “European treaty series” (see “Parallel Titles” below).

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5. If the ISSN has been recorded in the 4XX field, it is removed. “Conference publication, ISSN 0537-9989” becomes “Conference publication.” 6. Numerical or chronological designation (e.g., volume numbering) is removed. “One world archaeology ; vol. 32” becomes “One world archaeology.” What is left after this procedure of stripping down the transcription of the series statement to a bare title becomes the basis for the established heading. If the series or multipart item is to be entered under author under AACR2 21.1A-B, the name (personal, corporate, or meeting) as established in the authority file is added immediately before the title. The title is given in subfield ‡t. If the series is entered under title (as most are), the title remaining after the stripping procedure must be examined to see if it conflicts with another title. If it does not, in most cases it may be established as is. If it does conflict, it must be qualified in some way.5 To determine if the series title conflicts with another, a thorough search of the database must be done. For NACO catalogers, “the database” means their own library catalog as well as the bibliographic utility that they contribute to, including both bibliographic and authority files. “Conflict” means the title proper of the series normalizes to the same form as the title proper of another serial, series, or multipart item (see chapter 3, footnote 4, on normalization rules). The title proper of another serial, series, or multipart item is what is being searched for conflict, even if the other item is not entered under title. This title proper may be found in MARC bibliographic fields 130 (uniform title), 240 (uniform title), 245 (title statement), 247 (former title), 4XX (series title transcription), 730 (uniform title), 760-787 (linking entries, which are usually uniform titles), and 8XX (series added entry), and in a MARC authority 1XX field (established heading). Variant titles are not considered to conflict, and if found they are disregarded. These are found in MARC bibliographic 246 and 740 fields as well as 4XX fields in authority records. (Cf. LCRI 25.5B, s.v. “General (2), eligible titles for conflict.”) If the new series title conflicts with another title, it must be qualified to distinguish it from the conflicting title. The procedure for qualifying series titles is generally the same as that for qualifying serial uniform titles, described in chapter 6. Briefly, if the series title is generic, it should be qualified by the body issuing the series. For example, the Edgar Cayce Foundation issues a series called “Research bulletin.” Its established series title is “Research bulletin (Edgar Cayce Foundation).” In other situations, the cataloger may choose the qualifying term, which may be a corporate body related to the series, the publication date of the first title in the series, a descriptive data element such as an edition statement, the place of pub-


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lication of the first title in the series, or any combination of these. A few examples of series so qualified are “Archaeological series (Tucson, Ariz.)”; “Collectors edition (Archiv Produktion)”; “Global issues series (New York, N.Y. : 1999)”; and “Gastroenterology and hepatology (2nd ed.).” As noted in chapter 6, care should be taken when choosing to qualify by corporate body, because if the body changes its name, a series title so qualified is also considered to have changed, requiring a new authority record. Changes affecting other types of qualifiers do not require changes to the established form, although they may require the addition of cross-references. There are two qualifiers unique to series, “(Series)” and “(Unnumbered).” If the series title is identical to a personal or corporate name, it is qualified by “(Series).” An example of this is a series published by France’s Assemblée nationale, titled simply “Assemblée nationale.” Its established title is “Assemblée nationale (Series).” Other examples include: “South Wales Record Society (Series),” “Cercle (Series)” (“Cercle” is the name of a publisher), and “Adriatic Islands Project (Series).” The title can conflict with a fictitious name, as “Buffy, the vampire slayer (Series).” It is also considered to conflict in this way if it is identical to any form of a name (including acronyms or initialisms). A series titled “NIA” is issued by the National Institute on Aging. Because “NIA” is an acronym clearly standing for the corporate name, the series title conflicts and is established “NIA (Series).” If a series qualified by “(Series)” requires another qualifier for some reason, instead of the usual procedure of separating the qualifiers by space-colon-space within a single set of parentheses, the added qualifier is given in its own set of parentheses. For example, after the series “Buffy, the vampire slayer (Series)” was established, another series of the same name was found, requiring further qualification. The new series title is formed “Buffy, the vampire slayer (Series) (Dark Horse Comics).” A second “NIA” has been established as “NIA (Series) (Great Britain. Northern Ireland Audit Office).” “(Series)” is always used to qualify a series title when it is identical to a personal or corporate name, but the cataloger may also use it where it makes sense in other cases as well, as “Lucky 13 (Series),” “All-in-one (Series).” If a body issues both an unnumbered series and a numbered series or serial with the same title, the unnumbered series is qualified with “(Unnumbered).” Care should be taken, however, that (1) the two series are issued by the same body and that (2) there are in fact two series. If a numbered series has some random issues that are unnumbered, or if a series begins unnumbered, later begins numbering the items in the series, and the numbering system takes into account the previously published unnumbered issues (e.g., five items are published without numbering, and the next publication is labeled “No. 6”), this is considered a single series, and no

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qualification is necessary. If, however, an unnumbered series becomes numbered and does not take into account earlier items, or if a numbered series becomes consistently unnumbered, this is considered a new series, requiring two established forms and two authority records (cf. LCRI 1.6, s.v. “One or several series headings” and LCRI 25.5B, s.v. “Unnumbered/ numbered titles from the same body”). The unnumbered version will be qualified “(Unnumbered).” “Rutgers regional report” is an example of a series that began as a numbered series. In 1991 its publisher quit numbering individual items in the series, triggering a new series under current cataloging theory. The heading for the new series is “Rutgers regional report (Unnumbered).” “Notitie” began life as an unnumbered series and was so published for about ten years. When first established, the title was not qualified because it did not conflict with another title. However, in 1998 a title in the series was issued numbered “1.” Because the new numbering system did not take into account earlier items in the series, it was considered a new series requiring a new heading. The new heading, however, is “Notitie,” identical to that of the earlier series. The previous title was changed to “Notitie (Unnumbered),” both in its authority record and in all the bibliographic records containing the series title. This is one of the few cases where an already established heading will be changed by the addition of a qualifier to distinguish it from another identical title (in most cases it is the new heading that must be qualified to avoid conflict). If a series title that must be qualified by “Unnumbered” has already been qualified for some reason, “Unnumbered” is added as a final qualifier, separated from earlier qualifiers by space-colon-space. For example, the United Nations Population Fund issued a numbered series titled “Report,” which became unnumbered. The new series title is “Report (United Nations Population Fund : Unnumbered).” Publishers rarely announce that a series is becoming unnumbered, and so there is often some uncertainty involved. Is the series really now unnumbered, or did the publisher just forget to number the item just received? For this reason, LCRI 1.6 instructs the cataloger to “consider the series to be a single series until other differing information is available.” Information about a possible change should be recorded on the series authority record so that when future items arrive, the cataloger can draw a better conclusion.

Series Numbering Series numbering is “the identification of each of the successive volumes of a publication” (LCRI glossary, s.v. “numbering”). Numbering appears in a variety of ways, sometimes with a term such as “vol.” and sometimes without. Sometimes “numbering” is actually a sequence of letters (A, B,


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C, etc.) or a combination of numbers and letters. Sometimes it includes a date, with or without another number. Although series numbering is not usually part of the established series title, it is an important identifying element in the bibliographic record. Many library catalogs include the series numbering in their indexing. For lists of series titles to appear in correct numerical order, the series numbering—which appears after the series title—must be given in a standardized form. For example, if a series is numbered following the pattern “no. 1, no. 2, no. 3, etc.,” and the fifth item in the series appears without “no.” as part of the numbering, the heading must still contain the abbreviation. Otherwise, the fifth item would not appear in the correct order in the index. Because the numbering must be given in a standardized form, this form is recorded in the series authority record in a 642 field (for a discussion of MARC authority field 642, see chapter 8). On the other hand, the dual purposes of series statements (identification/transcription and collation/index access) sometimes collide with series numbering, as they may with the series statement itself. The same procedure applies: if the entire statement would be transcribed exactly as prescribed in the authority record, both for the title and the numbering conventions, the series statement should be transcribed in the bibliographic record in a 440 field. If it would not, a combination of 490 and 8XX fields is required. For example, For the Sake of Our Future: Sacrificing in Eastern Indonesia (Leiden: Research School CNWS, 1996) reads on the verso of the title page “CNWS Publications Vol. 42.” The authority record for this series gives the heading “CNWS publications,” which matches the statement on the book, but the numbering pattern is given in the 642 field of the authority record as “no. 2” (see figure 7-3). The established series title corresponds to the transcribed form but not the numbering convention. Therefore, the bibliographic record will have the following two series fields: 490 1 ‡a CNWS publications ; ‡v v. 42 830 0 ‡a CNWS publications ; ‡v no. 42.

This may strike some as excessively picky, but it makes a difference in the ordering of index entries. Transcription of the series number (and the initial establishment of the pattern) is governed by AACR2 1.6G, which instructs the cataloger to “give the numbering of the item within the series in the terms given in the item.” Thus, if no term appears with the number, nothing is added: a title page reading “Lahore Museum Publication Series 25” will be transcribed “Lahore Museum publication series ; 25.” On the other hand, if a term does appear with the number (e.g., “vol.,” “number,” “part”), it is to be transcribed in the descriptive portion of the bibliographic record exactly

158 FIGURE 7-3

SERIES: GENERAL INFORMATION Series numbering (pattern does not match item)

130 0 ‡a CNWS publications 410 2 ‡a Rijksuniversiteit te Leiden. ‡b Centrum voor Niet-Westerse Studies. ‡t CNWS publications 410 2 ‡a Onderzoekschool CNWS. ‡t CNWS publications 530 0 ‡w a ‡a ICA Leiden 642 ‡a no. 2 ‡5 DPCC ‡5 [Library’s MARC code] 643 ‡a Leiden ‡b Centrum voor Niet-Westerse Studies, Rijksuniversiteit Leiden 644 ‡a f ‡5 [Library's MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library’s MARC code] 646 ‡a s ‡5 [Library’s MARC code] 670 ‡a Dynamiek in discussie, 1991: ‡b t.p. (CNWS publications) 670 ‡a Recente ontwikkeling in de Leidse antropologie, 1991: ‡b cover (ICA Leiden) p. 106 (last item in series; name changed to CNWS publications)

as it is found, abbreviating according to AACR2 appendix B (“Abbreviations”) and giving numerals according to appendix C. Following AACR2 B.5B1, terms used with numbering in series statements are to be abbreviated if found in B.9-B.12. In a change to the rules made in 2001 (which added B.5B1), abbreviations found in B.9-B.12 are to be used in series numbering transcriptions whether the term is found fully spelled out or if it is already abbreviated in some other way. Formerly, if a term used with the series numbering was already abbreviated, it had to be transcribed exactly as it appeared. Thus, if the item read “Research series volume 2” the series statement (4XX field) would be transcribed “Research series ; v. 2”; however, if it read “Research series vol. 2” the series statement would be transcribed “Research series ; vol. 2.” Under the newly amended rule, both “volume” and “vol.” will both be abbreviated “v.” Numbering patterns already established in authority records will not be changed, but patterns in newly established series authority records will follow this convention, and transcription fields (4XX) in all new bibliographic records will follow the new convention. Sometimes a series statement contains more than one system of numbering. If the numbers have a “one-to-one” relationship with each other— i.e., either one would uniquely designate the title—transcribe them all, separated by space–equals sign–space. For instance, if the item reads PATROLOGIA ORIENTALIS TOME XL — FASCICULE 1 — NO 182

the series statement would be transcribed “Patrologia Orientalis ; t. 40, fasc. 1 = no 182” because this series has two parallel numbering systems:


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the item is uniquely identified either by “t. 40, fasc. 1” or “no 182.” Deciding whether there is a one-to-one relationship can be tricky and usually requires looking at records for other items in the same series. The established numbering convention for indexing purposes will not contain both systems, however. Either system can be chosen: the cataloger establishing the series decides. In this case, either the pattern “t. 40, fasc. 1” or the pattern “no 182” could have been chosen. The authority record shows that the first of these is followed (see figure 7-4). In cases of parallel numbering, the 490/8XX pattern in bibliographic records will always be used: the 490 recording the complete transcription of both (or all) systems and the 8XX giving the conventional numbering pattern, again to avoid problems with indexing: 490 1 ‡a Patrologia Orientalis ; ‡v t. 40, fasc. 1 = no 182 830 0 ‡a Patrologia Orientalis ; ‡v t. 40, fasc. 1.

A series statement sometimes contains a date, normally a year. The cataloger must determine if it is part of the numbering or merely a statement of when the item was published (a chronological designation). Sense and Nonsense in Homer, by John Wilson (Oxford: Archaeopress, 2000), reads, on its spine, “BAR S839 2000.” The title page, however, reads BAR International Series 839 2000

This is in imprint position, a clue that “2000” is a chronological designation. Investigation shows that other items in the series regularly add the year of publication after the series number. In addition, the authority record for this series gives as the pattern for the numbering convention “61.” The cataloger would conclude that this is simply a chronological designation and should not be transcribed as part of the series numbering.

FIGURE 7-4

Series numbering (parallel systems on item)

050 ‡a BR60 ‡b .P25 130 0 ‡a Patrologia Orientalis 410 2 ‡a Pontificium Institutum Orientalium Studiorum. ‡t Patrologia Orientalis 642 ‡a t. 41, fasc. 2 ‡5 DPCC ‡5 [Library’s MARC code] 643 ‡a Turnhout, Belgique ‡b Brepols 644 ‡a f ‡5 [Library’s MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library’s MARC code] 646 ‡a c ‡5 [Library’s MARC code] 670 ‡a La chaîne arménienne sur les épîtres catholiques, 1985- : ‡b v. 4, t.p. (Patrologia Orientalis / Pontificio Istituto orientale)

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However, sometimes the year is actually a part of the numbering, appearing in a form such as “2001/35,” “23-1999,” or “84-2.” If the cataloger determines that the year is actually serving as a volume number, it is to be transcribed exactly as found. If it is determined that it is merely a chronological designation, it is not transcribed. Depending on the cataloger’s conclusion, “23-1999” could be transcribed “23-1999” or simply “23.” If the year is transcribed and it follows another number in the numeration, the conventional form will reverse this order, so that the year comes first. The purpose of this procedure is to make the numbers index in the order in which they were issued. This pattern will be shown in the authority record and will require two fields in the bibliographic record. GroundWater Flow and Water Quality of the Indian Island Well Field near Grand Island, Nebraska, 1994-95 (Reston, Va.: U.S. Geological Survey, 2000) contains the series statement “U.S. Geological Survey Fact Sheet FS-17999, April 2000.” Examination of other items in the series shows that “99” represents a year. The authority record shows a different standardized form for the title and the numbering pattern “FS-95-010,” reversing the year portion of the numeration (see figure 7-5). The two fields in the bibliographic record will be 490 1

‡a U.S. Geological Survey fact sheet [or: Fact sheet / U.S. Geological Survey] ; ‡v FS-179-99 830 0 ‡a Fact sheet (Geological Survey (U.S.)) ; ‡v FS-99-179.

If numbering is grammatically embedded in the series title, it is to be so transcribed: “Special publication number 29 of the International Association of Sedimentologists” will be transcribed exactly as it appears. However, this is never how the series title will be established. To establish the title of such a series, replace the numeration with ellipses (…). The authority record for this series shows the established form “Special publication ... of the International Association of Sedimentologists” and records the numeration pattern “no. 26” (see figure 7-6). Therefore, the bibliographic record for “number 29” will contain the following two fields: 490 1

‡a Special publication number 29 of the International Association of Sedimentologists 830 0 ‡a Special publication ... of the International Association of Sedimentologists ; ‡v no. 29.

Sometimes a multipart item is published within a larger series, numbered according to the main series. These numbers may or may not be sequential. Generally, all numbers associated with multipart items are transcribed (and added to the indexed field if that is different from the transcription field). For example, the works of Tertullian are published in two volumes within the series Corpus Christianorum. Series Latina.

SERIES: GENERAL INFORMATION FIGURE 7-5 130 410 410 430 642 643 644 645 646 667 670 670

0 2 2 0

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Series numbering including letters and year

‡a Fact sheet (Geological Survey (U.S.)) ‡a Geological Survey (U.S.). ‡t Fact sheet ‡a Geological Survey (U.S.). ‡t U.S. Geological Survey fact sheet ‡a U.S. Geological Survey fact sheet ‡a FS-95-010 ‡5 DPCC ‡5 [Library's MARC code] ‡a Reston, Va. ‡b U.S. Dept. of the Interior, U.S. Geological Survey ‡a f ‡5 [Library's MARC code] ‡a t ‡5 DPCC ‡5 [Library's MARC code] ‡a s ‡5 [Library's MARC code] ‡a Document ‡a Programs in Georgia, 1994: ‡b t.p. (Fact sheet) ‡a Regional geochemistry of Prescott National Forest, Arizona, 1995: ‡b t.p. (U.S. Geological Survey fact sheet)

FIGURE 7-6

Numbering embedded in series title

130 0 ‡a Special publication ... of the International Association of Sedimentologists 410 2 ‡a International Association of Sedimentologists. ‡t Special publication … of the International Association of Sedimentologists 642 ‡a no. 26 ‡5 DPCC ‡5 [Library's MARC code] 643 ‡a Oxford ‡a Malden, MA ‡b Blackwell Science 644 ‡a f ‡5 [Library's MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library's MARC code] 646 ‡a s ‡5 [Library's MARC code] 670 ‡a Carbonate cementation in sandstones, c1998: ‡b t.p. (Special publication number 26 of the International Association of Sedimentologists)

Because the transcription and the authorized form are the same, the series numbering is transcribed as follows in a 440 field: 440 0 ‡a Corpus Christianorum. ‡p Series Latina ; ‡v 1-2

Tacitus’s Histories are published in four volumes in the Loeb Classical Library, but the numbering within the series is not sequential. Again, the transcription and the authorized form are the same, so a 440 field is used in the bibliographic record: 440 0 ‡a Loeb classical library ; ‡v 111, 249, 312, 322

Change of Title Because series are published over a period of time (a distinguishing characteristic of series is that they are intended to be continued indefinitely),

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their titles sometimes change. Individual parts of multipart items, too, are often published over a period of time (even though they are not intended to be continued indefinitely), and so sometimes their titles change during their publication history as well. The cataloger is faced with the question: Do I change the title I am using to identify this series/multipart item or do I keep using the old heading? Series follow serial rules for title change (AACR2 21.2C and 21.3B), under which the assumption is that when a title changes, a new serial has been created, requiring a new heading and record. Multipart items follow the rules for monograph title changes (AACR2 21.2B2 and 21.3A2), under which the presumption is that the item remains the same monograph, not requiring a new heading (and record). SERIES

AACR2 21.2C1 instructs: “If the title proper of a serial changes, make a separate main entry for each title.” This is known as “successive entry.” The rule applies to series as well. Moreover, even if the title does not change, a new heading is required (1) if the series is entered under corporate body and the name of the body changes, or (2) if it is entered under either a personal name or a corporate body and that person or body is no longer responsible for the series (cf. 21.3B1). The LCRI to this rule adds two additional situations: a new heading will be made even if the title does not change if (3) the series title has been qualified by a corporate body and the name of the body changes, or the established series title is for a translation, and the title in the original language changes (requiring a change in its series title); or (4) the physical format changes, e.g., a series published on paper begins publication on microfiche and ceases publication on paper. There has always been a certain amount of resistance to the principle of successive entry, because changes require intervention in the catalog that is not always seen as useful. So, for example, under the LCRI addition “(c)” to 21.3B1, note that if a series is qualified by anything other than corporate body, a change affecting the qualifier does not require a new series heading. For example, a series title may begin publication in New York and be qualified by “(New York, N.Y.).” If the publisher moves to Chicago, and all subsequent items in the series are published there, the series heading would remain the same, although a cross-reference might be given from the heading qualified by “(Chicago, Ill.)” if it is thought that this would be helpful to the patron. A lot of effort has gone into defining exactly what constitutes a title change. AACR2 itself gives a number of instances where a change does not trigger a title change: “In general, consider a title proper to have changed if any word other than an article, preposition, or conjunction is


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added, deleted, or changed, or if the order of the first five words (the first six words if the title begins with an article) is changed” (21.2A1). In other words, if the change is the addition, deletion, or change of an article, preposition, or conjunction, or if the order of the words after the first five (or six) words in the title changes, this is not a “title change.” Nor is a change in representation of words (symbol versus spelled out, singular versus plural, different spellings), any change after the first five (or six) words of the title that does not change the meaning, changes in punctuation, etc. Already the rules are reducing the number of times new headings are required, although AACR2 does instruct that in case of doubt, the title is to be considered changed. The LCRI to 21.2C narrows the field of possible title changes even further. If the series title fluctuates according to a regular pattern, or if the language of the title depends on the language of the text of the individual item in the series, do not consider the title to have changed. Rather, choose for the established series title the title proper given on the earliest publication in the series. Consider other title variants, giving them as crossreferences in the authority record. Additionally, if most of the publications in the series carry one title, and one or a few carry another, or if it is clear that the publisher did not intend to change the title, do not consider the title to have changed; add the variants as cross-references to the series authority record. (For other changes that do not trigger a title change for a series, see LCRI 21.2C, “Situations not considered title changes.” See also the CONSER Cataloging Manual, 16.2, “Title changes.”) Sometimes a title change does occur, but after only a few publications under the new title, the series title reverts to the original title (“Title A” becomes “Title B” becomes “Title A”). Under AACR2 this series of titles represents three separate series and requires three separate records and three distinct established series headings (the second Title A would need to be qualified in some way to distinguish it from the first, perhaps by a date of first issue). Most recognize this as an absurd result, and the LCRI dealing with this situation (colorfully referring to it as a “flip-flop”) collapses the three series headings into one (cf. LCRI 26.5A, “Types of see-references 5, Fluctuating titles b, Flip-flops”; see also LCRI 21.2C). This is only done retrospectively, however. When the title first changes to Title B, a second authority record is made for the new heading, and the heading is used until it is determined that Title B is an aberration and the publisher intends to use Title A. At that point, the series authority record for Title B is cancelled, Title B is added as a cross-reference to the record for Title A, and the bibliographic records for Title B are modified so that they will index on Title A rather than Title B (note that in these bibliographic records the transcription of the title as it appears on the item will not be modified, although the field number might change from 440 to 490). Use this technique with caution. It is only to be used if Title B is only found on a few

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issues. “Few” is determined by cataloger judgment, but if more than a few issues are issued under Title B, the reversion to Title A is treated as though it were a third series title. Language editions pose a tricky problem. The cataloger must distinguish between (1) series in which individual items are published in various languages and (2) series in which the entire series is translated into another language. In situation (1), the fact that the series title appears in another language (e.g., the language corresponding to the language of the text) does not constitute a title change; all items in this series would be given under the same heading, which is established based on the first item published in the series. If the first item is not available or is unknown, the 008 field position 33 in the record should be coded “c” for “provisional” (for details, see the discussion of the fixed fields in chapter 2). When information about the first issue is found, the heading (and other parts of the record, including the enumeration pattern) should be reevaluated, changed if necessary, and 008/33 changed to “a.” Situation (2) (the entire series is translated into another language) does constitute a title change, requiring separate headings. The LC distinguishes in this situation between whether the series is numbered or not (cf. LCRI 1.6, “One or several series headings 1. Language editions”). If the series is numbered, the headings are governed by uniform title rules (AACR2 25.5C1 [with its LCRI] and 25.3C3). The heading for the series in the original language is created in the usual way. The heading for the translated language edition is based on the heading for the original, with the addition of the language name. “Relief Society Personal Study Guide” is an example of such a numbered series, the entire series translated into numerous other languages. The Finnish translation is called “Apuyhdistyksen henkilökohtainen opiskeluopas.” The heading for this translation would be “Relief Society personal study guide. Finnish.” Its series authority record would contain a 4XX cross-reference from the Finnish title, directing the catalog user to the established form. No reference is made to the original title of the series, because all the related headings would collocate together in the index (see figure 7-7). If a series falling under situation (2) is not numbered, separate headings are set up based on the title appearing on the item. The records are connected by reciprocal 5XX cross-references giving the title(s) of the other language edition(s). For example, Scholastic publishes an unnumbered series called “Hello Reader! Level 1.” This series has been entirely translated into Spanish as “Hola, lector! Nivel 1.” The headings are based on the English and Spanish names, but the related series are connected by 5XX references (see figure 7-8). The reasoning behind the distinction between numbered and unnumbered language editions is not clear. To summarize, if it is determined that the series title has changed, a new series authority record must be created, and the new heading will be

SERIES: GENERAL INFORMATION FIGURE 7-7

165

Translated series, numbered

130 0 ‡a Relief Society personal study guide. ‡l Finnish 430 0 ‡a Apuyhdistyksen henkilökohtainen opiskeluopas 410 2 ‡a Relief Society (Church of Jesus Christ of Latter-day Saints). ‡t Apuyhdistyksen henkilökohtainen opiskeluopas 642 ‡a 4 ‡5 DPCC ‡5 [Library's MARC code] 643 ‡a Helsinki ‡b Myöhempien Aikojen Pyhien Jeesuksen Kristuksen Kirkko 644 ‡a f ‡5 [Library's MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library's MARC code] 646 ‡a s ‡5 [Library's MARC code] 670 ‡a Seuratkaa minua, 1992: ‡b ser t.p. (Apuyhdistyksen henkilökohtainen opiskeluopas)

FIGURE 7-8

Translated series, unnumbered

130 0 ‡a Hello reader! ‡n Level 1 530 0 ‡a Hola, lector! ‡n Nivel 1 643 ‡a New York ‡b Scholastic Inc. 644 ‡a f ‡5 [Library's MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library's MARC code] 646 ‡a s ‡5 [Library's MARC code] 670 ‡a I hate my bow! 1995: ‡b t.p. (Hello reader! Level 1) 675 ‡a Pica, pica, varicela, c1996: t.p. (Hola, lector! Nivel 1) cover p. 1 (preescolargrado 1)

130 0 ‡a Hola, lector! ‡n Nivel 1 530 0 ‡a Hello reader! ‡n Level 1 643 ‡a New York ‡b Scholastic Inc. 644 ‡a f ‡5 [Library's MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library's MARC code] 646 ‡a s ‡5 [Library's MARC code] 670 ‡a Pica, pica, varicela, c1996: ‡b t.p. (Hola, lector! Nivel 1) cover p. 1 (preescolargrado 1) 675 ‡a I hate my bow! 1995: CIP t.p. (Hello reader! Level 1)

used in the access point to the series in the bibliographic record. A 5XX “search also under” reference will in most cases be made in the new authority record directing the user to the former (or other related) title, and a reciprocal reference to the new title will be added to the series authority record for the old title. Thus, if the name of the series changes several times, a chain will be formed linking earlier headings to later headings or, in the case of language editions, linking related headings to each other.

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If it is determined that the series title has not changed, different titles appearing on items in the series are treated as variants and are added to the authority record for the series as 4XX “search under” cross-references. M U LT I PA R T I T E M S

The same rules for “what constitutes a title change” apply to multipart items as to series, but the result of the determination that a title has changed may be different. Under AACR2 21.2B2, if the title proper of a multipart item changes between parts, the title proper for the first part is used for the entire multipart item unless a later title clearly comes to predominate, in which case that title will be used. In other words, unlike a series, a title change in a multipart item does not result in a new heading; rather, a single title will be used for the entire multipart item, even if there is a change in title at some point. The principle of successive entry does not apply to multipart items. This seems clearly correct for multipart items that are also a single bibliographic unit (e.g., an encyclopedia) but may not be as intuitive for “series-like” multipart items (multipart items, each of whose parts has a separate title). LC makes a very sensible distinction between multipart items that are numbered and those that are not. Under LCRI 21.2B2, the AACR2 rules for title change apply only to numbered multipart items, not unnumbered items. Unnumbered multipart items whose titles change are always given separate headings, with the other related headings given as 5XX references on the series authority record. This makes sense. If a multipart item is numbered, it seems more of a unit and logically should all fall under a single heading. This does not apply if the item is unnumbered; additionally, when the item is unnumbered, it may be more difficult to decide if the new title represents a continuation of the original multipart item or if it is a completely new entity. Therefore, the assumption is that the two titles represent different items. To summarize, title changes in unnumbered multipart items produce separate series headings and separate series authority records, usually with 5XX fields connecting related titles. Title changes in numbered multipart items use a single series heading and a single authority record. The title change is considered a variant and is recorded on the authority record by a 4XX reference. If the new title comes to predominate, it will become the authorized heading, the earlier title becoming the 4XX reference.

Parallel Titles Titles of series with individual items published in more than one language are often translated into the language of the item’s text. Sometimes individual items have only the version of the series title that corresponds to the


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language of the item itself, but sometimes the series statement is given in two or more languages. AACR2 1.6C deals with the transcription of parallel series titles; it basically refers the cataloger to the rules for transcription of parallel titles in the “Title and statement of responsibility area,” AACR2 1.1D. The basic rule is to transcribe all parallel titles in the order that they are found, but 1.1D2 gives the option instead under second-level description of transcribing the first title, the first parallel title, and any subsequent parallel title in English. This will result in at most three titles. The 1.1D2 option is followed by most North American libraries in transcribing parallel series titles (cf. LCRI 1.6C). The series title page to Hugo Bekker’s Andreas Gryphius: Poet between Epochs (Berne: Lang, 1973) reads: Kanadische Studien zur deutschen Sprache und Literatur Etudes parues au Canada en relation avec la philologie et la littérature Allemandes Canadian Studies in German Language and Literature herausgegeben von Armin Arnold, Michael S. Batts, Hans Eichner No. 10

Following 1.1D2, this series statement would be transcribed as follows: 490 1

‡a Kanadische Studien zur deutschen Sprache und Literatur = ‡a Etudes parues au Canada en relation avec la philologie et la littérature Allemandes = ‡a Canadian studies in German language and literature ; ‡v no. 10

Parallel series titles are always transcribed in 490 fields because series are never established as parallel titles, and so the transcription will always differ from the established form. This particular series is a language edition of type (1) described above, and so the established heading is based on the first item published in the series, Jeremias Gotthelfs Gesellschaftskritik (Berne: Lang, 1970) (see figure 7-9). Because the authorized form of the series statement differs from the transcribed form, it will be given in the record for Andreas Gryphius in an 830 field: 830 0 ‡a Kanadische Studien zur deutschen Sprache und Literatur ; ‡v no. 10.

Sometimes each parallel title also has its own numbering convention. Rather than record these at the end of the field, each is recorded with its own title. Four Klosterneuburg Antiphoners (Ottawa: Institute of Medieval Music, 1998) has the series statement: Wissenschaftliche Abhandlungen Band LV/7

Musicological Studies Vol. LV/7

168 FIGURE 7-9

SERIES: GENERAL INFORMATION Parallel series titles

130 0 ‡a Kanadische Studien zur deutschen Sprache und Literatur 410 2 ‡a Canadian Association of University Teachers of German. ‡t Kanadische Studien zur deutschen Sprache und Literatur 430 0 ‡a Canadian studies in German language and literature 430 0 ‡a Etudes canadiennes en langue et littérature allemandes 642 ‡a no. 1 ‡5 DPCC ‡5 [Library's MARC code] 643 ‡a Bern ‡a Las Vegas ‡b P. Lang 644 ‡a f ‡5 [Library's MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library's MARC code] 646 ‡a s ‡5 [Library's MARC code] 670 ‡a Jeremias Gotthelfs Gesellschaftskritik, c1970: ‡b ser. t.p. (Kanadische Studien zur deutschen Sprache und Literatur / Etudes Canadiennes en Langue et Littérature Allemandes / Canadian Studies in German Language and Literature / no. 1)

This is transcribed 490 1

‡a Wissenschaftliche Abhandlungen ; ‡v Bd. 55/7 = ‡a Musicological studies ; ‡v v. 55/7

(Note: roman numerals are transcribed as arabic, according to AACR2 C.2B1e.) Having consulted the authority file for the authorized form and numbering convention, the cataloger will give the series in the 830 field as follows: 830 0 ‡a Wissenschaftliche Abhandlungen (Institute of Mediaeval Music) ; ‡v Bd. 55/7.

Subseries Sometimes a series will be divided into two or more subseries. This will appear in an item as two series titles in the same source. For example, Die Chronik des Saba Malaspina (Hannover: Hahn, 1999) has a series title page that reads Monumenta Germaniae Historica Scriptores Tomus XXXV

This contains the name of a series, “Monumenta Germaniae Historica,” and a subseries, “Scriptores.” SUBSERIES OR NOT?

The cataloger must always consider whether this presentation of two titles is a series-subseries combination or if it is something else. For example,


169

what appears to be a subseries title might actually be a subtitle. Staying Safe on Dates, by Donna Chaiet (New York: Rosen, 1995), appears to have a series title with a subseries title. The head of the title page reads THE GET PREPARED LIBRARY VIOLENCE PREVENTION FOR YOUNG WOMEN

and the spine reads THE GET PREPARED LIBRARY • Violence Prevention for Young Women • Staying Safe on Dates

This could certainly be a series and subseries. One could imagine numerous subseries aside from “Violence Prevention for Young Women” that might fit under the rubric of “The Get Prepared Library”—for instance, books about preparation for college, or preparation for adult responsibility, etc. However, further investigation shows that all titles in “The Get Prepared Library” also have the title “Violence Prevention for Young Women,” which would lead the cataloger to conclude that this is not a subseries but merely other title information. The two series titles in a single source could also represent just that: two series. Ethno-Archaeology in Jenné, Mali, by Adria LaViolette (Oxford: Archaeopress, 2000), has the following two series statements on its title page: Cambridge Monographs in African Archaeology 49 BAR International Series 838

Neither is a subseries of the other. Both are independent, unrelated series. To have a series-subseries combination, the two titles must both appear in the same source in the item (cf. LCRI 1.6H, “applicability”), they must be related, and one must be “larger,” i.e., more general or comprehensive, than the other.6 If both are numbered, the main series will have a larger number than the number of the subseries.

E S TA B L I S H M E N T O F S U B S E R I E S

A subseries is always entered indirectly after the main series title in the form “Main series title. Subseries title,” disregarding the order of the two titles in the source of information (i.e., the main series title comes first in the established heading and transcription even if it is given second in the source). This form of entry is governed by AACR2 12.1B4-5, the rules for entry of separately published parts or sections of serials. The Scriptores subseries to Monumenta Germaniae Historica, described above, is so established (see figure 7-10).

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FIGURE 7-10

Subseries with distinctive title

130 0 ‡a Monumenta Germaniae historica. ‡p Scriptores 410 2 ‡a Monumenta Germaniae Historica (Deutsches Institut für Erforschung des Mittelalters). ‡t Monumenta Germaniae historica. ‡p Scriptores 430 0 ‡a Scriptores (Monumenta Germaniae Historica (Deutsches Institut für Erforschung des Mittelalters)) 530 0 ‡w a ‡a Monumenta Germaniae historica inde ab anno Christi quingentesimo usque ad annum millesimum et quingentesimum. ‡p Scriptores 642 ‡a t. 34 ‡5 DPCC ‡5 [Library's MARC code] 643 ‡a Hannover ‡b Hahnsche Buchhandlung 644 ‡a f ‡5 [Library's MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library's MARC code] 646 ‡a s ‡5 [Library's MARC code] 670 ‡a Die Chronik von Montecassino, 1980: ‡b ser. t.p. (Monumenta Germaniae historica. Scriptores)

As seen in figure 7-10, the subseries is given in subfield ‡p if it has a distinctive title. If the subseries “title” is simply a section or part number, it is given in subfield ‡n (see figure 7-11). If the subseries is identified both by a distinctive title and a part number, it is established using both (see figure 7-12). The order depends on the presentation in the item. Once the heading has been established, change in order of presentation on subsequent items does not constitute a title change, although such a new presentation would probably warrant the addition of a cross-reference to the series authority record. Words in subseries titles are not abbreviated unless they so appear on the item, even if they appear in one of the lists in AACR2 appendix B (e.g., “series,” “part”). These words would be abbreviated if they appeared in the enumeration part of the series statement (see AACR2 B.5B1), but if they are a part of the title, they are governed by AACR2 B.4A. Similarly, roman numerals, which would be changed to arabic if in the series numFIGURE 7-11

Subseries without distinctive title

130 0 ‡a Columbia University oral history collection. ‡n Part IV 410 2 ‡a Columbia University. ‡b Oral History Research Office. ‡t Columbia University oral history collection. ‡n Part IV 642 ‡a no. 184 ‡5 DPCC ‡5 [Library's MARC code] 643 ‡a Sanford, N.C. ‡b Microfilming Corporation of America 644 ‡a f ‡5 [Library's MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library's MARC code] 646 ‡a s ‡5 [Library's MARC code] 670 ‡a Robert L. Shayon, 1970: ‡b ser. title frame (New York Times Oral History Program; Columbia University oral history collection, Part IV (1-219))


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Subseries with distinctive title and part number

130 0 ‡a Early modern Englishwoman. ‡p Printed writings, 1641-1700, ‡n Part 1 642 ‡a v. 1 ‡5 DPCC ‡5 [Library's MARC code] 643 ‡a Brookfield, VT ‡b Ashgate 644 ‡a f ‡5 [Library's MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library's MARC code] 646 ‡a s ‡5 [Library's MARC code] 670 ‡a Life writings, 2000: ‡b ser. t.p. (Early modern Englishwoman. Printed writings, 1641-1700, Part 1)

bering (AACR2 C.2B1e), are not changed if they occur in the title of a series or subseries. If the main series is numbered, or if it has been used on another item alone (without a subseries), it must also be established. If it is not numbered or is never used independently of a subseries, North American practice is not to establish the main series. BIBLIOGRAPHIC RECORD: MAIN SERIES UNNUMBERED

Transcription of subseries is governed by AACR2 1.6H, which directs the cataloger to transcribe the main series (with its number, if any) with its subseries (and number, if any). The cataloger must as usual check the series authority record to see if this transcription matches the authorized form. If it does, and the main series is unnumbered, the series statement will be transcribed in the 440 field. The Glasgow Collections (Glasgow: Oxford University Press, 1997) is published in the subseries “Great Britain” of the series “Corpus Vasorum Antiquorum.” The main series is not numbered. The subseries is numbered “Fascicule 18.” A check of the authority file shows that the series statement transcription matches the authorized form, so field 440 will be used: 440 0 ‡a Corpus vasorum antiquorum. ‡p Great Britain ; ‡v fasc. 18

BIBLIOGRAPHIC RECORD: MAIN SERIES NUMBERED

If the main series is numbered, the series-subseries must be transcribed in a 490 field and the main series and series-subseries combination given in separate 8XX fields (cf. LCRI 21.30L, “Main series and indirectly entered subseries 2. Main series is numbered”). This is because the numbering of the main series will be transcribed between the main series title and that of the subseries, which would interfere with the indexing. (Note, therefore, that this procedure will be followed whether the subseries is numbered or not.) United States Foreign Policy, 1969–1970: A Report of the Secretary of State (Washington, D.C.: U.S. Government Printing

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Office, 1971) is published in the subseries “General Foreign Policy Series” of the main series “Department of State Publication.” Both titles appear on the title page verso of the book and so will be transcribed together. Both are numbered. Therefore, a combination of 490 and 830 fields will be needed in the bibliographic record: 490 1

‡a Department of State publication ; ‡v 8575. ‡a General foreign policy series ; ‡v 254 830 0 ‡a Department of State publication ; ‡v 8575. 830 0 ‡a Department of State publication. ‡p General foreign policy series ; ‡v 254.

Note that neither subfield ‡p nor subfield ‡n are authorized for use in MARC field 490, so the subseries title is transcribed in a second subfield ‡a. V E RY G E N E R I C T E R M S A S S U B S E R I E S

Words such as “new series,” “fourth series,” etc., pose a problem. Are they a subseries title or are they simply part of the series numbering? North American practice is that if such a series is unnumbered, these wordings are to be interpreted as subseries titles. If the series is numbered, such words are considered a part of the series numbering of the “main” series (cf. LCRI 1.6H, “additional guidelines”). A series of children’s books about various countries calls itself “Enchantment of the World.” In 1997 the publisher began issuing new editions, calling the series “Enchantment of the World Second Series.” The “second series” is not numbered. Therefore, the words “Second series” are established as a subseries title (see figure 7-13). Conversely, “Progress in medical genetics,” which appears with the words “new series,” is a numbered series. Therefore, the established form as found in the authority record is established without the generic phrase (see figure 7-14), and the seventh item in the series, Molecular Genetics in Medicine (New York: Elsevier, 1988), is transcribed in the bibliographic record 440 0 ‡a Progress in medical genetics ; ‡v new ser., v. 7

FIGURE 7-13

Generic term interpreted as subseries

130 0 ‡a Enchantment of the world. ‡n Second series 430 0 ‡a Enchantment of the world. ‡n 2nd series 643 ‡a New York ‡b Children's Press 644 ‡a f ‡5 [Library's MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library's MARC code] 646 ‡a s ‡5 [Library's MARC code] 670 ‡a Egypt, 1997: ‡b t.p. (Enchantment of the world, Second series)


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Generic term interpreted as enumeration

050 ‡a RB155 ‡b .P7 130 0 ‡a Progress in medical genetics 642 ‡a new ser., v. 7 643 ‡a Philadelphia ‡b Saunders 643 ‡a New York ‡b Elsevier 644 ‡a f ‡b Analyze items that are analyzable ‡5 [Library's MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library's MARC code] 646 ‡a s ‡5 [Library's MARC code] 670 ‡a Molecular genetics in medicine, c1988: ‡b t.p. (Progress in medical genetics / New series, vol. 7)

This practice is somewhat, but not entirely, arbitrary. Extremely generic phrases such as “new series” really do not seem intuitively to be series titles, but if they are not combined with a number, the words cannot be considered series numbering. The practice of distinguishing between numbered and unnumbered series in these cases allows catalogers to interpret the words as numbering as often as possible. SUPPLEMENTS AND SPECIAL NUMBERS TO SERIALS

Numbered supplements to serials are treated as subseries (cf. LCRI 1.6, “Supplements and special numbers to serials”). The heading is based on the uniform title for the serial followed by the term (e.g., “Supplement”). For example, Complicating Categories: Gender, Class, Race and Ethnicity was issued as supplement 7 to International Review of Social History. This is established as in figure 7-15 and appears in the bibliographic record in a 440 field: 440 0 ‡a International review of social history. ‡p Supplement ; ‡v 7

Unnumbered supplements (or other special issues) are not considered series at all. Instead, the fact that they are a supplement to a serial title is FIGURE 7-15

Supplement to a serial

130 0 ‡a International review of social history. ‡p Supplement 642 ‡a 3 ‡5 DPCC ‡5 [Library's MARC code] 643 ‡a Cambridge ‡a New York ‡b Cambridge University Press 644 ‡a f ‡5 [Library's MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library's MARC code] 646 ‡a s ‡5 [Library's MARC code] 670 ‡a Citizenship, identity and social history, 1996: ‡b t.p. (International review of social history supplement)

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given in a note, and a related work added entry is given in the bibliographic record (cf. LCRI 21.30G, “Unnumbered supplement or special number to a serial”). The heading for the added entry is formed from the uniform title for the serial, plus the designation of the supplement. Dancers, by Richard Eastman (Littleton, Colo.: American Recorder Society, c1997), is an unnumbered supplement to American Recorder. Its bibliographic record contains the note 500

‡a “A supplement to American recorder”--Cover.

and the related work added entry 730 0

‡a American recorder. ‡p Supplement.

The distinction in this case seems excessively arcane, and will likely be confusing to most catalog users, particularly in catalogs that index series separately from other titles. In such catalogs, numbered supplements to serials will appear in the series index, but unnumbered supplements will not.

Works of Personal Authorship in Series Works of personal authorship, particularly works of fiction, are often published in “series.” An example is the “series” of books by J. K. Rowling about the boy wizard Harry Potter. People regard these as part of a series, and it is useful in the catalog to have an entry for such series, so that when a child asks for “the third Harry Potter book,” it can easily be found even if its title is not known. Series headings for such works (these are actually multipart items, but they will be referred to as “series” throughout this section) are transcribed and established following the same principles as other series. Robert Jordan’s The Eye of the World (New York: TOR, 1990) has the series statement “Book One of The Wheel of Time” on its title page. As a work of personal authorship, this series is entered under the established form of the author’s name, “Jordan, Robert, 1948- .” The series title and numbering are established as they appear in the source having precedence— here, the title page statement “Book One of The Wheel of Time.” The series title and numbering pattern have been established as in figure 7-16. Because the form in the 130 field of the authority record is not how the series title appeared in the item, it will be recorded in the bibliographic record in two fields: 490 1 800 1

‡a Book one of The wheel of time ‡a Jordan, Robert, ‡d 1948- ‡t Wheel of time ; ‡v bk. 1.

Such series need not be fiction, and some are very famous (e.g., Will Durant and Ariel Durant’s Story of Civilization). Others, however, are rather ephemeral, particularly if associated with popular fiction. Some of these “series” do not have a publisher-supplied series title or one that is only informally presented. Yet these, even more than the famous ones,


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Work of personal authorship in series

100 1 ‡a Jordan, Robert, ‡d 1948- ‡t Wheel of time 430 0 ‡a Wheel of time 642 ‡a bk. 2 643 ‡a New York ‡b Tom Doherty Associates 644 ‡a f ‡5 [Library’s MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library’s MARC code] 646 ‡a s ‡5 [Library’s MARC code] 670 ‡a The great hunt, c1990: ‡b cover (Book two of The wheel of time)

would benefit greatly from collocation in the catalog by series, precisely because library users come to the library wanting to read “the next book about X.” So it seems important that libraries should make every effort to provide series access to these titles.7 An example of this is Nora Roberts’ Irish Trilogy. The second book, Tears of the Moon (New York: Jove Books, 2000), gives the following clues: the front cover says “Second in the enchanting Irish trilogy”; the back cover says “In this splendid Irish trilogy, #1 New York Times bestselling author Nora Roberts evokes a land filled with magic . . .” The first book, Jewels of the Sun (New York: Jove Books, 1999), gave the following information: “First in the new Irish trilogy” (cover); “Tears of the Moon [will be the] second book in Nora Roberts’ all-new Irish trilogy of the Gallagher siblings” (p. 349). Clearly, these books are being referred to as part of “The Irish Trilogy” even though the series title is not presented formally. Given the importance to library users of these series titles, it seems reasonable that more of an effort should be made to ascertain series titles in these cases than perhaps would be made in others. This particular multipart item has been established (see figure 7-17). FIGURE 7-17 100 400 430 430 642 643 644 645 646 670

1 1

Work of personal authorship in series

‡a Roberts, Nora. ‡t Irish trilogy ‡a Roberts, Nora. ‡t Gallagher siblings 0 ‡a Irish trilogy 0 ‡a Gallagher siblings ‡a 1st ‡5 DPCC ‡5 [Library’s MARC code] ‡a New York ‡b Jove Books ‡a f ‡5 [Library’s MARC code] ‡a t ‡5 DPCC ‡5 [Library's MARC code] ‡a s ‡5 [Library’s MARC code] ‡a Jewels of the sun, c1999: ‡b cover (First in the new Irish trilogy) p. 349 (Tears of the moon: second book in Nora Roberts’ all-new Irish trilogy of the Gallagher siblings) p. 4 of cover (Gallagher siblings)

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Some works published in sequence have no wording whatsoever on any of the books that could be construed as a series title. There is little catalogers can do about this, given current descriptive cataloging rules, because the rules make no provision for collocating such items except by the author’s name alone, which is not helpful in the case of an author who wrote many works. The cataloger may not “make up” a series title without any evidence. If a particular character or family predominates, the items can, however, be collocated by subject entry. For example, Orson Scott Card wrote several books centering around a character named Ender Wiggin. None of these books contain any wording that could be construed as a series title, so no series heading can be made. However, the main character’s name has been established as a subject heading, so instead of series access, all items in this “series” are connected by the fact that they share a subject heading: 650 0 ‡a Wiggin, Ender (Fictitious character) ‡v Fiction.

(For more information on subject authority work, see chapter 10.) In the absence of any evidence of a series title, this may be the best access the catalog can provide. Publishers frequently add a series title only after several items in the “series” have already appeared. This may have something to do with a “wait-and-see” attitude on the part of the publisher—before committing to the major undertaking of publishing a whole series of books, the publisher sensibly wants to see if the first title or two will be successful. So a typical pattern is that the first titles have no series statements, even though later ones might; or the hardback will lack a series title found on the paperback version issued later. This is the case with the Harry Potter books, whose wild popularity evidently took the publisher by surprise. The first book, as first issued, had no series statement. By the time the third book was published, it was evident that this would be a successful series, and the publisher put “Year 3” on the spine. The earlier volumes were listed in a series title page as “Year one [two, etc.] at Hogwarts,” and reprints of earlier volumes carried the “Year . . .” notation on the spine. This is enough evidence to establish a series. If a library has a clientele asking for books in this type of series, whose earlier titles lack a series statement, it makes sense to add the series title retrospectively to records for earlier titles lacking a series statement so that they will collocate properly in the catalog. Because the items themselves lack a series statement, their record will have no 4XX field because there is nothing to transcribe. The cataloger would instead add only an 8XX field with the established form of the series and numbering, if any. A note should also be added to the record justifying the addition, e.g.: 500

‡a First in the series Year … at Hogwarts.


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The title portion of the name-title combination of a series heading for a work of personal authorship is chosen under the same principles as uniform titles (see chapters 5 and 6). This includes the use of collective titles under AACR2 25.8-10, including “Works” and “Selections.” LC’s policy of adding year of publication has been criticized in chapter 6, but when using these headings for series titles, there is perhaps more justification for it. Different publications of an author’s works or selected works in series will differ from each other in arrangement and selection of materials, and so these are clearly separate series that need to be distinguished from each other (because they will all have the same uniform title, “Works” or “Selections”) by means of qualification. The current practice is to qualify by year of publication of the first issue. For example, in 1972 the University of California began publishing a scholarly edition of Mark Twain’s works under the series title “The Works of Mark Twain.” The series heading, based on AACR2 25.8 and the corresponding LCRI, is “Twain, Mark, 1835-1910. Works. 1972” (see figure 7-18). Although, unlike uniform titles, there is justification for qualifying this title, is year of publication of the first issue the best way to qualify? Will this help the patron find the correct series? There are currently six different “Works” headings for Mark Twain in the NAF (Name Authority File), all for series and all differing only by the year. How will the user who wants to find the publications in the University of California edition, still being published thirty years after the first issue, proceed? Meanwhile, other series have begun, one in 1993 and another in 1996. Only a scholar intimately familiar with the publishing history of the University of California series would know that it is represented by the heading qualified by “1972.” And this is for an author who, although popular, has not (so far) been published in series hundreds of times, like Shakespeare. Finding the correct heading for a Shakespeare works series can be nightmarish for FIGURE 7-18

Complete works in series

050 ‡a PS1300 ‡b .F72 100 1 ‡a Twain, Mark, ‡d 1835-1910. ‡t Works. ‡f 1972 400 1 ‡a Twain, Mark, ‡d 1835-1910. ‡t Works of Mark Twain. ‡f 1972 430 0 ‡a Works of Mark Twain 642 ‡a v. 2 ‡5 DPCC ‡5 [Library's MARC code] 643 ‡a Berkeley ‡b Published for the Iowa Center for Textual Studies by the University of California Press 644 ‡a f ‡5 [Library's MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library's MARC code] 646 ‡a c ‡5 [Library's MARC code] 670 ‡a Roughing it, 1972: ‡b ser. t.p. (The works of Mark Twain)

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the library user. Although it is true cross-references are provided from the actual title of the series to the collective title, the user would not have to resort to the cross-reference if the heading itself were clearer. I argued in chapter 6 that automatically adding year of publication to “Works” and “Selections” uniform title headings was counterproductive, and I believe it is not a useful way to qualify series either. A better way would be, e.g., by publisher or editor. So the heading for the University of California edition might appear “Twain, Mark, 1835-1910. Works (Series) (University of California).” Series comprising an author’s complete or selected works need to be distinguished from other similar series because they are in fact different from each other. Separate works of personal authorship published in series, especially very well known ones, are also often published and republished by different publishers. Under current North American cataloging practice, if a publisher different from the original publisher reissues a series, this triggers a title change requiring the series title to be qualified. However, unlike “Works” and “Selections,” the qualifier is not year of first issue. Rather, it is a parenthetical qualifier, usually the publisher. For example, C. S. Lewis’s Chronicles of Narnia has been issued by many different publishers. A separate series authority record has been made in the NAF for each of these headings: 130 0 ‡a Lewis, of Narnia 130 0 ‡a Lewis, of Narnia 130 0 ‡a Lewis, of Narnia 130 0 ‡a Lewis, of Narnia 130 0 ‡a Lewis, of Narnia 130 0 ‡a Lewis, of Narnia 130 0 ‡a Lewis, of Narnia

C. S. ‡q (Clive Staples), ‡d 1898-1963. ‡t Chronicles (Academy Sound and Vision) C. S. ‡q (Clive Staples), ‡d 1898-1963. ‡t Chronicles (Bonneville Worldwide Entertainment (Firm)) C. S. ‡q (Clive Staples), ‡d 1898-1963. ‡t Chronicles (Caedmon (Firm)) C. S. ‡q (Clive Staples), ‡d 1898-1963. ‡t Chronicles (Collier Books (Firm)) C. S. ‡q (Clive Staples), ‡d 1898-1963. ‡t Chronicles (HarperCollins (Firm)) C. S. ‡q (Clive Staples), ‡d 1898-1963. ‡t Chronicles (Large print) C. S. ‡q (Clive Staples), ‡d 1898-1963. ‡t Chronicles (Macmillan (Firm))

This seems overly confusing to users and logical only from the point of view of cataloging theory, not from common sense. Unlike “Works” and “Selections,” these are not different series. Book one of the Chronicles of Narnia is The Lion, the Witch, and the Wardrobe in all the printed versions, and the text is the same.8 Other types of series that need to be qualified because of conflict with another series of the same title are in fact different series. The items published in “Global issues series (New York, N.Y.)” have nothing to do with the items published in “Global issues series (Austin, Tex.)” or “Global issues series (Macmillan Press).” But the


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items in all of these supposedly different Chronicles of Narnia series are identical. They are the same series, and pretending that they are different makes no logical sense and is confusing to the user of the catalog, who normally just wants a copy of “the third book in the Narnia Chronicles series” and could hardly care less which is the publisher. This practice also causes conflict with uniform titles for monographs. Lewis’s work has been published more than once as a single monograph, for example, The Complete Chronicles of Narnia (New York: HarperCollins, c1998). Because the uniform title for this work published as a whole logically should be the same as the title being used for the work published in series as separate monographs, one would expect the uniform title to be established 130 0 ‡a Lewis, C. S. ‡q (Clive Staples), ‡d 1898-1963. ‡t Chronicles of Narnia

This, of course, is impossible because it now conflicts with all those series titles. Because this particular edition happens to be published by HarperCollins, should the cataloger use the heading established for the series published by HarperCollins (Lewis, C. S. (Clive Staples), 18981963. Chronicles of Narnia (HarperCollins (Firm))), even though this particular book is not a part of the series? What if the work is published again as a single monograph by another publisher? In any other situation, this would not be considered a conflict for a uniform title—Moby Dick uses the uniform title “Melville, Herman, 1819-1891. Moby Dick” without qualification no matter who publishes it. What should the uniform title be if used in a subject heading, as needed for the book The Narnia Trivia Book (New York: HarperTrophy, 1999) or The Narnia Cookbook (New York: HarperCollins, 1998) or in related works headings, for the many adaptations of the work? None of these qualified headings would be appropriate there. This problem could easily be solved by appealing to common sense and stopping the practice of considering these to be conflicting titles needing qualification.

Series-Like Phrases All series are transcribed in the bibliographic record, and most are indexed in the library’s indexes. But not all presentations on bibliographic items appearing to be series statements are considered series for cataloging purposes. William M. Gaines’s The Bedside Mad (New York: Signet Books, 1959) has the following phrases on it: “D2316 SIGNET BOOKS,” “A Signet Book” (front cover), “More of William M. Gaines’s MAD Humor from SIGNET” followed by a list of titles (page facing the title page—a series title page?), “N.A.L. Signet Books,” “A Signet Book” (title page), and “Published as A Signet Book” (title page verso). Is any of these a series

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statement? How about the phrase “Multicultural Studies” at the upperleft-hand corner of the back cover of Creole: The History and Legacy of Louisiana’s Free People of Color (Baton Rouge: Louisiana State University Press, 2000)? Or the phrase “American History/African American Studies” in the same position on David Walker’s Appeal to the Coloured Citizens of the World (University Park: Pennsylvania State University Press, 2000)? All of these could possibly be interpreted as series under the AACR2 definition (“a group of separate items [intended to be continued indefinitely] related to one another by the fact that each item bears, in addition to its own title proper, a collective title applying to the group as a whole”; see above under “Definitions”), yet most of the phrases mentioned above seem unlikely candidates for series treatment. The LCRIs give guidance. North American catalogers will “distinguish between phrases that are true series and those that are not, with the latter sometimes included elsewhere in the bibliographic record (e.g., given as a quoted note) and sometimes not transcribed at all” (LCRI 1.6, “Series or Phrases”). The following guidelines are given: 1. An unnumbered phrase that simply gives the name of the issuing body is not a series. For example, Corrosion of Metals in Concrete (Houston, Tex.: National Association of Corrosion Engineers, 1987) has the phrase “An official NACE publication” on its cover. This is not a series statement (see figure 7-19). 2. A numbered phrase giving the name of the issuing body is considered a series, so long as the body is not a commercial publisher. Map of the County of Monmouth (Barry Island, Wales: South Wales Record Society, 1985) bears the phrase “South Wales Record Society Vol. 3.” This is a series statement and will be transcribed and established as “South Wales Record Society (Series)” (see figure 7-20 and text above under “Formulation of the Heading”).

FIGURE 7-19

Unnumbered phrase naming issuing body

130 0 ‡a Official NACE publication 410 2 ‡a National Association of Corrosion Engineers. ‡t Official NACE publication 430 0 ‡a Official N.A.C.E. publication 643 ‡a Houston, Tex. ‡b National Association of Corrosion Engineers 667 ‡a Give phrase as a quoted note if National Association of Corrosion Engineers does not appear in the publication, etc., area 670 ‡a User's guide to hot dip galvanizing for corrosion protection in atmospheric service, 1983: ‡b t.p. (An official NACE publication)

SERIES: GENERAL INFORMATION FIGURE 7-20 130 0 410 2 530 0 642 643 644 645 646 670 675

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Numbered phrase naming issuing body

‡a South Wales Record Society (Series) ‡a South Wales Record Society. ‡t South Wales Record Society ‡w b ‡a Publications of the South Wales Record Society ‡a v. 1 ‡5 DPCC ‡5 [Library's MARC code] ‡a Cardiff ‡b South Wales Record Society ‡a f ‡5 [Library's MARC code] ‡a t ‡5 DPCC ‡5 [Library's MARC code] ‡a s ‡5 [Library's MARC code] ‡a Morganiae archaiographia, 1983: ‡b t.p. (South Wales Record Society ; v. 1) ‡a Llandaff Episcopal acta, 1140-1287, 1989: ser. t.p. (Publications of the South Wales Record Society)

3. Most statements of commercial publishers, whether numbered or unnumbered, are not considered series. “D2316 SIGNET BOOKS” is an example of such a statement. This is often a judgment call: “Penguin books” has been established as a series-like phrase in the NAF, but “Penguin classics” has been established as a series (see figures 7-21a or b).

FIGURE 7-21A

Commercial publisher statement as series-like phrase

130 0 ‡a Penguin books (Series) 530 0 ‡a Penguin book 643 ‡a Melbourne ‡a Baltimore ‡b Penguin Books 667 ‡a Give as a quoted note if Penguin Books does not appear in the publication, etc., area 670 ‡a Out of Africa, 1954: ‡b cover (Penguin books)

FIGURE 7-21B

Commercial publisher statement as series

130 0 ‡a Penguin classics 642 ‡a L72 ‡5 DPCC ‡5 [Library's MARC code] 643 ‡a Harmondsworth, England ‡a New York ‡b Penguin Books 644 ‡a f ‡5 [Library's MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library's MARC code] 646 ‡a s ‡5 [Library's MARC code] 667 ‡a Some vols. unnumbered 670 ‡a Parzival, 1980: ‡b cover (Penguin classics) 670 ‡a Wind, sand and stars, 2000: ‡b (Penguin classics [unnumbered])

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4. Phrases giving the name of an in-house editor, etc., are not considered series. “A Tom Doherty Associates Book,” found on the title page of The Chantry Guild, by Gordon R. Dickson (New York: TOR, 2000), is such a phrase (see figure 7-22). 5. Named lecture series pose problems. If such a series is given in a formal series statement not extracted from another context (e.g., the text of the work or preface) and such a statement remains constant from issue to issue, it will be transcribed and established as a series. Otherwise, it will not. The phrase “The Ethel M. Wood Lecture” appears prominently and consistently on publications of this annual lecture series published by the University of London, so it will be considered a series (see figure 7-23). On the other hand, Here, the People Rule: A Constitutional Populist Manifesto, by Richard Parker (Cambridge, Mass.: Harvard University Press, 1994), is a “revised version of the Seegars Lecture given in October 1992 at the Valparaiso University School of Law,” as noted in the preface. “Seegars Lecture” does not qualify as a series statement.

FIGURE 7-22

Phrase naming in-house editor

130 0 ‡a Tom Doherty Associates book 430 0 ‡a Doherty Associates book 643 ‡a Various places ‡b various publishers 667 ‡a Effective Jan. 1, 1997: give phrase as a quoted note if Tom Doherty Associates does not appear in the publication, distribution, etc., area 667 ‡a Undifferentiated phrase record: Covers all instances when this character string used by any publisher is considered to be a series-like phrase; if character string is considered to be a series, separate SAR has been made 670 ‡a High frontier, c1983: ‡b t.p. (A Tom Doherty Associates book) 670 ‡a Tor home page, via WWW, Feb. 6, 1997 ‡b (In 1980, a publishing company was set up with legal name Tom Doherty Associates, Inc., with subsequent imprints: Tor Books or Tor, Forge Books or Forge, and Orb Books or Orb)

FIGURE 7-23

Named lecture series

130 0 ‡a Ethel M. Wood lecture 430 0 ‡a Wood lecture 642 ‡a 1977 ‡5 DPCC ‡5 [Library's MARC code] 643 ‡a London ‡b The Athlone Press, University of London 644 ‡a f ‡5 [Library's MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library's MARC code] 646 ‡a s ‡5 [Library's MARC code] 670 ‡a The background of Jewish apocalyptic, 1978: ‡b t.p. (Ethel M. Wood lecture)


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6. Often items (for example, technical reports) bear numbers not associated with any phrase. These are not considered series. 7. Slogans, mottoes, etc., found on the item are not series. Second Wind, by Dick Francis (New York: Jove Books, 2000), reads “The New York Times Bestseller” on both the cover and the spine. “New York Times Bestseller” is not a series title even though it may appear consistently on qualifying books. It is simply an announcement. 8. An unnumbered characterizing word or genre term appearing only on the cover or container is not a series. Robert Ludlum’s Apocalypse Watch (New York: Bantam Books, 1996) says “Novel” at the head of the spine. Even though all novels published by Bantam Books probably say “Novel” at the head of the spine, this is not a series statement. 9. As an aid to organization of bookstores, which are frequently laid out by broad standardized subject areas, commercial publishers often put words at the top of the back cover of books that denote these subject categories. The phrases on Creole and David Walker’s Appeal to the Coloured Citizens of the World, noted above (“Multicultural Studies,” “American History/African American Studies”), are examples of this practice. These are not considered series statements. 10. Publishers sometimes list all (or a selection) of their in-print items at the end or beginning of a book. These are sometimes subdivided with broad categorizations. These are not considered series. Hard Times, by Charles Dickens (New York: Signet Modern Classic, 1961), has two title listings at the end, one called “SIGNET CLASSICS by Charles Dickens” and the other “SIGNET CLASSICS by British Authors.” Neither of these is a series statement. The ten categories are not meant to be all-inclusive, but simply to give guidance, so there will be instances of “series-like phrases” that do not fit into one of the categories. Much is left to the judgment of the cataloger, and some phrases could be declared either series or series-like phrases. The first person to establish the phrase makes the decision. Series authority records are usually made for categories 1 through 5 above, because these are genuinely questionable (or at least the decision may not be obvious to those unfamiliar with the LCRIs). In the interest of uniform practice, decisions made about these phrases need to be recorded. Additionally, a series authority record should be made for any series-like phrase outside of these categories if the cataloger thinks it is likely that someone will think it represents a series. Authority records for series-like phrases look similar to records for other series, but they are coded as a series-like phrase (fixed field position 008/12 “Type of series” [OCLC

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“Series,” RLIN “SRT”] is coded “c”), which prevents the phrase from authorizing in systems that have authority validation. The phrase is established exactly as any other series heading, either under title or author, as appropriate. If the phrase as established conflicts with another title (under the same rules of conflict as explained above for other series), it must be qualified. Series-like phrase records always include at least one 667 note field explaining what the cataloger should do when the phrase is encountered. Other information about the phrase is also sometimes given in 667 fields. Some examples include: 667 667 667 667

667

667 667

‡a Give phrase as a quoted note and make an added entry for the museum ‡a Considered as series previous to AACR2 ‡a Give as quoted note if ADB Institute does not appear in the publication, etc., area ‡a Not to be considered a series. Give as a quoted note if Euromoney Institutional Investor PLC does not appear in the imprint ‡a To be considered a series title if the following conditions apply: the words “A ticket to” are given by the publisher on a source other than the title page (will probably be on series title page) and title of volume given on title page is simply name of country ‡a Ignore these words unless presented as publisher ‡a Phrase is an imprint, not a series

If the series-like phrase conflicts with another series-like phrase, instead of qualifying the new phrase, it is simply added to the existing record, which is changed to an “undifferentiated phrase record” by changing the 643 field to read “Various places ‡b various publishers” and adding two 667 notes, the first with a variation on “Give phrase as a quoted note” or “Do not give phrase as a quoted note,” and the other saying “Undifferentiated phrase record: Covers all instances when this character string used by any publisher is considered to be a series-like phrase; if character string is considered to be a series, separate SAR has been made” (see Descriptive Cataloging Manual, “Introduction: How Many SARs Should Be Made?” and LCRI 25.5B, “Series-Like Phrases”) (see figure 7-22).9 The record for a series-like phrase has no treatment fields (contrast the two authority records illustrated in figures 7-21a and 7-21b). (For an explanation of MARC fields in series authority records, see chapter 8.)

Republications Bibliographic items are commonly republished, and frequently, such items were originally in series. Occasionally, whole series are reprinted, either by


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the same or by a different publisher. This particularly occurs with certain series that are never allowed to go out of print, such as the Loeb Classical Library, a standard publication of Greek and Latin authors with English translation. The Loeb Classical Library has been around for a century and has had a succession of different publishers. If a new publisher reprints the first volume of the series, does this constitute a title change, requiring a new series authority record? In North American practice, the answer is no. Records for reprinted volumes (including republications in microform) will use the same heading for the series as that of the originals, so long as the series statement remains on the reprinted volume. In LC practice, a series statement given in a republication that relates to the original publication is not transcribed in a 4XX field but rather is given in a 534 Original Version Note (see LCRI 1.6, “Republications”). Hector Munro Chadwick’s The Heroic Age (Cambridge: At the University Press, 1967) is a reprint of an earlier Cambridge University Press title, originally published in 1912. The only difference between the two is the addition of a new date on the title page and a new title page verso. The original series statement is reproduced on the series title page: “Cambridge Archaeological and Ethnological Series.” Under the LC procedure, this series statement would be recorded in a 534 note: 534

‡p Reprint. Originally published: ‡c Cambridge : At the University Press, 1912. ‡f (Cambridge Archaeological and Ethnological Series).

In this situation LC will also trace the series in an 8XX field (see LCRI 21.30L, “Republications”): 830 0 ‡a Cambridge archaeological and ethnological series.

Republications frequently are in their own series as well as the series of the original, and under LC policy series statements pertaining to the republication are transcribed in 4XX fields. The title page verso of The Heroic Age contains the publisher’s note “Cambridge University Press Library Editions are reissues of out-of-print standard works from the Cambridge catalogue.” This includes a new series statement, which will be transcribed: 440 0 ‡a Cambridge University Press library editions

Republications that do not include the original series statement are not considered by LC to belong to the original series. The original series statement will not be given at all in the record for the republication; the only transcription of a series in such a publication would be a series relating to the reprint (see LCRI 1.6, “Republications”). For example, Some Imagist Poets (New York: Kraus Reprint, 1969) is a reprint of a three-volume work originally published by Houghton Mifflin in 1915 to 1917. The original work had the series statement “The

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New Poetry Series” on its covers, but the covers are not reproduced in the reprint, so the series statement is not included. Therefore, no series statement will be transcribed, and no indication that the original belonged to a series will be found in the bibliographic record for the reprint. The following note will be included, without ‡f for the original series (cf. the note for The Heroic Age above): 534

‡p Reprint. Originally published: ‡c Boston : Houghton Mifflin, 1915-1917.

No 8XX tracing will be given for the original series if it does not appear on the republication (see LCRI 21.30L, “Republications”). This practice seems unduly harsh and less than useful to the library user, who may well look for a title by series and not particularly care whether he or she finds the original or the reprint. It seems excessive to refuse to record any information about the original series, much less to trace it, especially if this information is readily available to the cataloger. And if the cataloger has gone to the trouble of finding out enough information to compose a complete 534 field, he or she usually will also be aware of any series the original was a part of, whether the series statement is reproduced on the reprint or not. Non-LC catalogers might consider including this useful information, both transcribed in a 534 field and indexed in an 8XX field, especially for facsimile editions, i.e., editions that the new publisher produces by making photographic reproductions of the pages of the original, except perhaps the preliminaries.10 Series can be established from a republication just as well as from an original edition if the series statement is reproduced in the republication. However, in the series authority record, the numbering pattern field, the publisher field, and the treatment fields will have additional information about the treatment or publisher of the reprint beyond what would have been given for the original. For further information on MARC fields, see chapter 8. If cataloging a republication for which the original series has already been established, this information about treatment and publisher of the reprint can be added to the existing authority record. This is particularly important if a reprint publisher is reprinting the entire series. It would seem less important if an occasional volume in a series happens to be reprinted by this or that publisher. NOTES 1. This and the following chapter draw heavily on Judith A. Kuhagen, Series Training for NACO Participants: Series Statements and Authority Records (Washington, D.C.: Library of Congress, Cataloging Policy and Support Office, 1999). 2. These definitions will appear in the forthcoming revision of The Anglo-American Cataloguing Rules.


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3. The principle that entry of series is governed by AACR2 21.1 seems to be largely misunderstood by catalogers producing authority records in the Name Authority File, some of whom appear to enter all series under title without considering 21.1. Numerous examples of series that would clearly appear to fall under 21.1B2, including many called “Annual report” (21.1B2a) or “Position paper” (21.1B2c), etc., have been established under title but should probably have been established under the corporate body instead. 4. Descriptive Cataloging Manual: Z1, Name and Series Authority Records, available outside the Library of Congress only on Cataloger’s Desktop. 5. Conflict may also occur with series entered under author, but this is rare. If it does occur, such titles must also be qualified. 6. Note that in LC/NACO practice, the appearance of a series title and its subseries in the same source overrides the order of precedence in the prescribed sources of information (AACR2 2.0B2, 3.0B3, etc.). For example, if the series title page of a book presents only the main series, and the cover gives both the main series and the subseries, the cover will be the source for transcription and establishment of the statement, even though under 2.0B2 the series title page would have precedence (see LCRI 1.6A2). 7. For a critique of current practice and some suggestions for alternative methods of responding to this sort of query, see Maureen Nimmo, “Tracing Adult Fiction Series,” Technicalities 19, no. 10 (Nov./Dec. 1999): 4-5. 8. The order in one of the film versions (Academy Sound and Vision) is in fact different, but it is doubtful that this series (and that of Bonneville Worldwide) should have been established under Lewis’s name anyway. Because authorship in films is diffuse, they are nearly always entered under title, as these two series probably should have been. They are, indeed, different series from C. S. Lewis’s work. 9. In this context, SAR means series authority record. 10. LC practice for “facsimiles, photocopies, and other reproductions” is different from its practice for “republications.” “Facsimiles, photocopies, and other reproductions” are treated under AACR2 1.11 and LCRI 1.11, but LC defines this group as “reproductions of previously existing materials that are made for: preservation purposes in formats other than microforms; non-microform dissertations and other reproductions produced ‘on demand’; and electronic reproductions.” For these, the bibliographic record does contain series information for the original—in fact, for the most part, such items are cataloged as though they were the original. But the group does not include facsimile republications produced by commercial publishers, which are governed by 1.6 and 21.30L.

8

SERIES AUTHORITY RECORDS

This is the second of two chapters in this book dealing with series. The first, chapter 7, gives general information about the treatment of series in both bibliographic and authority records. This chapter deals specifically with the MARC (Machine-Readable Cataloging) authority record.

OVERVIEW OF THE SERIES AUTHORITY RECORD Series authority records have the same purposes as other authority records: they record the authorized form of the series title; they record and generate references from variant forms and from other related authorized headings; and they record notes, both to document sources used in establishing the heading and variants and to inform later catalogers of special instructions about the heading, as for example with notes on records for series-like phrases, described in chapter 7. Because of the special characteristics of series, however, series authority records contain more information than most other types of authority records. For example, a series may be numbered or unnumbered. If it is numbered, a standardized numbering pattern must be used, and this is recorded in the authority record (see below, discussion of the 642 field). Other characteristics of series are also recorded in authority records. First, because a series is a group of separate related items, a library may choose either to record its holdings in a single record for the series (rather like a serial record) or to create individual records for each item in the series. This is called “series analysis practice.” The library’s decision about series analysis must be given for each established series: it may choose not to analyze at all (i.e., everything on a single record), analyze only some of the individual items (this is the usual decision with a serial that publishes an occasional analyzable issue), or analyze every item in the series (see below, discussion of the 644 field).

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189

A library may analyze individual items in a given series, but choose not to index the series. This is called the “series tracing practice.” If the library chooses not to index a series, all bibliographic records containing the series would give the series in a 490 field with the first indicator coded “0.” This field is not indexed. If the library chooses to index a series, the series will either be recorded in a 440 field or in a combination of a 490 field with the first indicator coded “1” and an 8XX field. The 440 and 8XX fields index. It would be possible for catalogers encountering new items in a series to divine the library’s tracing practice by examining the library’s treatment of other items in the series already cataloged, but it is much more efficient simply to record the decision in the authority record (see below, discussion of the 645 field). As a group of related but independent items, series can be classified (given call numbers) by libraries in different ways. If they are numbered, they can all be given the same basic call number and shelved together; or a library may choose to classify each individually, which would put individual volumes closer to other items on the same subject in the library’s collection. Even unnumbered series can have classification instructions (e.g., all in the same basic call number, with individual cutter numbers based on main entry). Decisions made about classification of series are given in the series authority record (see below, discussion of the 646 field). Any of these three practices (analysis, tracing, classification) may change over time in a given library, and rather than go back and change all the cataloging that has been done previously, a library may instead choose to begin a new practice prospectively only. Such decisions are also recorded in series authority records. Finally, series authority records also record the publisher of the series, something other authority records generally do not do. This is because the publisher is an important identifier of the series, particularly when the series title conflicts with another title (see below, discussion of the 643 field). In series authority records established in the NAF, the following variable fields are required (see below for discussion of fixed fields): 040 (cataloging source)1 1XX (established heading) 642, if applicable (series numbering example) 643 (series place and publisher/issuing body) (not required for serieslike phrase) 644 (series analysis practice) (not required for series-like phrase) 645 (series tracing practice) (not required for series-like phrase) 670 (source data found for the work being cataloged that initiates creation of the series authority record)

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670 (source data found for other works giving information needed to create the series authority record) Other commonly found fields include: 010 (Library of Congress control number) 022 (ISSN) 050 (LC call number if series is classified together) 090 (local call number if series is classified together) 4XX (see references) 5XX (see also references) 667 (nonpublic note, usually giving instructions about the heading)

DETAILED TREATMENT OF MARC AUTHORITY FORMAT FIELDS The Heading: 1XX Field The authorized series heading is recorded in the 1XX field, just as authorized headings are recorded for other types of authority records. If the series is entered under its title, the heading will be recorded in the 130 field. Europe in Change is an example of such a series (see figure 8-1). Authorized headings can also be established under author (personal, corporate body, meeting). Works of personal authorship published in series (multipart items) are examples of series headings established under personal name (see figure 8-2). An annual report series issued by a corporate body would normally be entered under corporate name (see figure 8-3). Series publishing the proceedings of a conference are entered under meeting name (see figure 8-4).

FIGURE 8-1

Entry under title

130 0 ‡a Europe in change 643 ‡a Manchester ‡a New York ‡b Manchester University Press 644 ‡a f ‡5 [Library’s MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library’s MARC code] 646 ‡a s ‡5 [Library’s MARC code] 670 ‡a Committee governance in the European Union, 2000: ‡b ser. t.p. (Europe in change)

SERIES AUTHORITY RECORDS FIGURE 8-2 100 400 430 430 643 644 645 646 670

1 1

‡a ‡a 0 ‡a 0 ‡a ‡a ‡a ‡a ‡a ‡a

FIGURE 8-3 110 2 430 0 642 643 644 645 646 670

Entry under personal name Pratchett, Terry. ‡t Discworld series Pratchett, Terry. ‡t Discworld novel Discworld series Discworld novel London ‡b Gollancz f ‡5 [Library’s MARC code] t ‡5 DPCC ‡5 [Library’s MARC code] s ‡5 [Library’s MARC code] Pyramids, 1989: ‡b ser. t.p. (The Discworld series) jkt. (A discworld novel)

Entry under corporate name

‡a Worcester Agricultural Society. ‡t Annual report ‡a Annual report (Worcester Agricultural Society) ‡a 65th ‡5 DPCC ‡5 [Library’s MARC code] ‡a Worcester, Mass. ‡b Worcester Agricultural Society ‡a f ‡5 [Library’s MARC code] ‡a t ‡5 DPCC ‡5 [Library’s MARC code] ‡a s ‡5 [Library’s MARC code] ‡a Transactions of the Worcester Agricultural Society for the year ... 1883: ‡b t.p. (Annual report)

FIGURE 8-4 111 2 430 0 642 643 644 645 646 670

191

Entry under meeting name

‡a Coinage of the Americas Conference. ‡t Proceedings ‡a Proceedings (Coinage of the Americas Conference) ‡a no. 1 ‡5 DPCC ‡5 [Library’s MARC code] ‡a New York ‡b American Numismatic Society ‡a f ‡5 [Library’s MARC code] ‡a t ‡5 DPCC ‡5 [Library's MARC code] ‡a s ‡5 [Library’s MARC code] ‡a America's copper coinage, 1783-1857, c1985: ‡b ser. t.p. (Proceedings)

References: 4XX Fields References from unauthorized variants of the heading are given in 4XX fields. Basic guidelines for references have already been given in chapter 3 (e.g., the form of a reference is based on the AACR2 form it would have had if it had been chosen for the heading; normally do not make references for variants of variants, etc.). Series references follow these basic guidelines. In addition, there are some aspects of references specific to series.

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References to series headings are governed by various rules throughout AACR2, but particularly 26.5A and its corresponding LCRI. The basic rule is to “refer to the heading for the series from different forms of the heading under which it might reasonably be sought.” This rule covers a multitude of situations. Some of the more important follow (see LCRI 26.5A for a detailed discussion of many more). SERIES ENTERED UNDER AUTHOR: REFERENCES FROM THE TITLE

If the series is entered under author, users who know that series are usually entered under title might “reasonably seek” the series under title, so a reference should be given from the title. An example is figure 8-4, the proceedings of the Coinage of the Americas Conference. An exception is made in series authority practice to the guideline not to make variants of variants. If the heading is established under a name, and the title portion is not given as found on the item (e.g., a collective title is used, or the heading is for a translation and is based on the title in the original language), a name-title reference is given with the title as found on the item (the variant), and a second reference is given from the title as found on the item alone (this would be a variant of the variant). Note that if the main heading is qualified by date, all references are also qualified by date (see figures 8-5 and 8-6). Reference from the title is the usual practice for series established under author-title. This is not the case for other types of authority records, although it is sensible and might warrant application, e.g., to records for uniform titles. Few current systems will give the library user a reference if he or she searches under a title represented in an authority record only by FIGURE 8-5 050 100 400 400 430 430 642 643 644 645 646 670

1 1 1

Name-title and title references (collective title)

‡a PS1300b.F22 1922 ‡a Twain, Mark, ‡d 1835-1910. ‡t Works. ‡f 1922 ‡a Twain, Mark, ‡d 1835-1910. ‡t Writings of Mark Twain. ‡f 1922 ‡a Twain, Mark, ‡d 1835-1910. ‡t Works of Mark Twain. ‡f 1922 0 ‡a Writings of Mark Twain. ‡f 1922 0 ‡a Works of Mark Twain. ‡f 1922 ‡a v. 1 ‡5 [Library’s MARC code] ‡a New York ‡b Gabriel Wells ‡a f ‡5 [Library’s MARC code] ‡a t ‡5 DPCC ‡5 [Library's MARC code] ‡a c ‡5 [Library's MARC code] ‡a The innocents abroad, or, The new pilgrim's progress, 1922: ‡b v. 1, ser. t.p. (The Writings of Mark Twain) spine (The Works of Mark Twain)

SERIES AUTHORITY RECORDS FIGURE 8-6

193

Name-title and title references (translation)

100 1 ‡a Card, Orson Scott. ‡t Tales of Alvin Maker. ‡l Polish ´ ´ o Alvinie Stwórcy 400 1 ‡a Card, Orson Scott. ‡t Opowiesc ´ ´ o Alvinie Stwórcy 430 0 ‡a Opowiesc ´ 643 ‡a Warszawa ‡b Prószynski i S-ka 644 ‡a f ‡5 [Library’s MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library’s MARC code] 646 ‡a s ‡5 [Library’s MARC code] ´´ o Alvinie Stwórcy) 670 ‡a Uczán Alvin, 1999: ‡b t.p. (Opowiesc

subfield ‡t in a given field. Most systems instead need the title repeated in another (430) field in order to produce a reference. North American practice is explicitly to provide such references for series authority records (see figures 8-2, 8-3, and 8-4). SERIES ENTERED UNDER TITLE: NAME-TITLE REFERENCES

If the series emanates from a corporate body and is established under title, a name-title reference is given formed as though the heading had been established under corporate name, unless the corporate body is a commercial publisher. Qualifiers, if any, are removed from the title in the reference (see figure 8-7). The guideline to make reference from corporate name in such cases includes cases where the series title consists solely of a form of the corporate body’s name (see figure 8-8). REFERENCE FROM OTHER NAMES

If more than one person is responsible for a series established under name, a name-title reference will be made from the name of the person not chosen as the main entry point, in addition to the reference from the title (see figure 8-9). FIGURE 8-7

Name-title reference (series established under title)

130 0 ‡a Research bulletin (Edgar Cayce Foundation) 410 2 ‡a Edgar Cayce Foundation. ‡t Research bulletin 643 ‡a Virginia Beach, Va. ‡b Edgar Cayce Foundation 644 ‡a f ‡5 [Library’s MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library’s MARC code] 646 ‡a s ‡5 [Library’s MARC code] 670 ‡a Pilgrimage into the light, c1987: ‡b cover (Research bulletin)

194 FIGURE 8-8

SERIES AUTHORITY RECORDS Name-title reference (series established under title––form of corporate body's name)

130 0 ‡a Accademia San Marco (Series) 410 2 ‡a Accademia San Marco. ‡t Accademia San Marco 642 ‡a 2 ‡5 DPCC ‡5 [Library’s MARC code] 643 ‡a Pordenone ‡b Accademia San Marco 644 ‡a f ‡5 [Library’s MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library's MARC code] 646 ‡a s ‡5 [Library’s MARC code] 670 ‡a Memorie del viaggio in Italia, 1779-1780, 2000: ‡b p. 3 of cover (Accademia San Marco)

FIGURE 8-9

Name-title reference from coauthor

100 1 ‡a Card, Orson Scott. ‡t Mayflower trilogy 400 1 ‡a Kidd, Kathy H. ‡t Mayflower trilogy 430 0 ‡a Mayflower trilogy 642 ‡a v. 1 ‡5 DLC 643 ‡a New York ‡b TOR 644 ‡a f ‡5 [Library’s MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library's MARC code] 646 ‡a s ‡5 [Library’s MARC code] 670 Lovelock, 1994: ‡b t.p. (The Mayflower trilogy; co-authors: Orson Scott Card, Kathryn H. Kidd)

T I T L E VA R I A N T S

Just as with uniform titles, variants of titles are given as 4XX references in series authority records. Series and multipart item headings differ from other types of established headings, however, because their titles are prone to change. Title change has already been discussed in chapter 7. Any variant from the established series title that does not constitute a title change is given in a 4XX field. These include, for example, references from parallel titles (see figure 8-10). If a subseries title is distinctive, reference is given from it (see figure 8-11). If other title information might be mistaken for a subseries title or another series title, a reference should be made from it (see figure 8-12). If a series title begins with a person’s forename, initial, or title, a form of the title beginning with the surname is given as a variant reference (see figure 8-13).


195

Reference from parallel titles

130 0 ‡a Veröffentlichungen der Paul Sacher Stiftung 410 2 ‡a Paul Sacher Stiftung (Basel, Switzerland). ‡t Veröffentlichungen der Paul Sacher Stiftung 430 0 ‡a Publications of the Paul Sacher Foundation 430 0 ‡a Paul Sacher Stiftung (Series) 642 ‡a Bd. 1 ‡5 DPCC ‡5 [Library’s MARC code] 643 ‡a Winterthur/Schweiz ‡b Amadeus 644 ‡a f ‡5 [Library’s MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library’s MARC code] 646 ‡a s ‡5 [Library’s MARC code] 670 ‡a Pierre Boulez, John Cage, correspondance et documents, 1990: ‡b ser. t.p. (Veröffentlichungen der Paul Sacher Stiftung ; Bd. 1 = Publications of the Paul Sacher Foundation ; v. 1) spine (Paul Sacher Stiftung I) p. 5 (Mit dem vorliegenden ersten Band wird eine Schriftenreihe eröffnet)

FIGURE 8-11

Reference from subseries

130 0 ‡a Department of State publication. ‡p General foreign policy series 410 1 ‡a United States. ‡b Dept. of State. ‡t Department of State publication. ‡p General foreign policy series 430 0 ‡a General foreign policy series 642 ‡a 254 ‡5 DPCC ‡5 [Library’s MARC code] 643 ‡a Washington, D.C. ‡b Dept. of State, Bureau of Public Affairs, Office of Public Communication 644 ‡a f ‡5 [Library's MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library’s MARC code] 646 ‡a s ‡5 [Library’s MARC code] 670 ‡a United States foreign policy, 1969-1970: ‡b t.p. verso (Department of State publication 8575 / General foreign policy series 254)

FIGURE 8-12 100 1 400 1 430 0 643 644 645 646 667 670

Reference from other title information

‡a Chaiet, Donna. ‡t Get prepared library ‡a Chaiet, Donna. ‡t Violence prevention for young women ‡a Get prepared library ‡a New York ‡b Rosen Pub. Group ‡a f ‡5 [Library’s MARC code] ‡a t ‡5 DPCC ‡5 [Library’s MARC code] ‡a s ‡5 [Library’s MARC code] ‡a Subtitle: Violence prevention for young women ‡a Staying safe on dates, 1995: ‡b t.p. (The get prepared library / Violence prevention for young women)

196


FIGURE 8-13

Reference from surname

130 430 400 530 643 644 645 646 670 675

0 ‡a Tom Everett series for brass 0 ‡a Everett series for brass 1 ‡a Everett, Thomas G. ‡t Tom Everett series for brass 0 ‡a Thomas G. Everett series for brass ‡a Waltham, Mass. ‡b Nichols Music Co. ‡a f ‡5 [Library’s MARC code] ‡a t ‡5 DPCC ‡5 [Library’s MARC code] ‡a s ‡5 [Library’s MARC code] ‡a Ross, W. Brass quintet no. 1, c1998: ‡b cover (The Tom Everett series for brass) ‡a Rosner, A. Sonata in B flat for trombone and pianoforte, c1998: cover (The Thomas G. Everett series for brass)

If a genuine title change occurs, a new record is made and the two headings are connected by reciprocal 5XX fields (see below). However, if within a few issues the title reverts to the original title, North American practice is not to view the intermediate title as a title change. The two series authority records are merged into one, and the “new” title is considered a variant and given in a 4XX field (see chapter 7 on change of title).

Q U A L I F I C AT I O N O F R E F E R E N C E S

If a reference conflicts with another title, it must be qualified. Qualifiers for references are governed by the same rules as qualifiers for authorized headings (see chapters 3, 6, and 7). In figure 8-4, since the title “Proceedings” would clearly conflict with many other titles and is generic, it is qualified by the name of the issuing body. A user looking up this series by title would be presented with a reference similar to the following, generated by the library’s system from the 430 field: Proceedings (Coinage of the Americas Conference) search under Coinage of the Americas Conference. Proceedings

Conversely, if a reference conflicts with a reference in another authority record, it is not qualified. For example, there are two series referred to as “Cliffhanger series” and “Cliffhanger read-along,” as shown by the typography on items in the series. Neither was established under these names, but reference is made under each from the two variant titles. Even though this creates a conflict between the references, they are not qualified (see figure 8-14). A library user searching the series with the title “Cliffhanger series” would be given the message:


197

Conflicting references not qualified

130 430 430 430 643 644 645 646 670

0 0 0 0

‡a Middle grade cliffhanger series ‡a Cliffhanger series ‡a Cliffhanger read-along ‡a Listening Library middle grade cliffhanger read-along series ‡a Old Greenwich, CT ‡b Listening Library ‡a f ‡5 [Library’s MARC code] ‡a t ‡5 DPCC ‡5 [Library’s MARC code] ‡a s ‡5 [Library’s MARC code] ‡a Socks, p1992: ‡b booklet (Middle grade cliffhanger series; Cliffhanger read-along; Listening Library middle grade cliffhanger read-along series)

130 430 430 430 643 644 645 646 670

0 0 0 0

‡a Young adult cliffhanger series ‡a Cliffhanger series ‡a Cliffhanger read-along ‡a Listening Library young adult cliffhanger read-along series ‡a Old Greenwich, CT ‡b Listening Library ‡a f ‡5 [Library’s MARC code] ‡a t ‡5 DPCC ‡5 [Library’s MARC code] ‡a s ‡5 [Library’s MARC code] ‡a The cat ate my gymsuit, p1990: ‡b booklet (Young adult cliffhanger series; Cliffhanger read-along; Listening Library young adult cliffhanger read-along series)

Cliffhanger series search under Middle grade cliffhanger series Young adult cliffhanger series

This message is generated by the library’s system from the “conflicting” 430 fields in the two series authority records.

References: 5XX Fields Related series headings are connected to one another by 5XX “search also under” references. The most common use of such references is to connect a series whose title has changed to the series heading for the changed title. If there is a chronological relationship (one title is a later heading than the other), the 5XX field will begin with subfield ‡w, which allows the system to distinguish between different types of related headings. Subfield ‡w contains up to four coded characters in four “positions.” The first of these (position “0”) is most used with series headings. Value “a” in position 0 indicates that the contents of the 5XX field represent an earlier heading;

198


“b” is for a later heading. For example, the series title South Wales Record Society, discussed in chapter 7 (see figure 7-20), changed to Publications of the South Wales Record Society. The 530 field containing the heading for the new title is coded “‡w b,” meaning it is the later heading. This field will produce the following reference for the user searching the later heading: Publications of the South Wales Record Society search also under the earlier heading South Wales Record Society (Series)

The authority record for “Publications of the South Wales Record Society” contains a reciprocal 530 field: 530 0 ‡w a ‡a South Wales Record Society (Series)

which produces the following reference: South Wales Record Society (Series) search also under the later heading Publications of the South Wales Record Society

If there is no chronological relationship between the headings, or if the relationship is unknown, the 5XX fields are given without subfield ‡w. Because of the difficulty of ascertaining chronological relationship for related unnumbered series, subfield ‡w is rarely used for them. The relationship between the two unnumbered series in figure 8-13 is unclear. The 530 field in this record would produce the following reference: Thomas G. Everett series for brass search also under Tom Everett series for brass

Numbering: 640-642 As discussed in chapter 7 on series numbering, it is important that series numbering be recorded in a consistent way in bibliographic fields that produce indexes so that library indexes that take the numbering into account produce a list in the correct order. If a series sometimes gives the numbering as “No. 1” and other times as “Bd. 26,” one form or the other must be chosen, and the decision must be recorded in the authority record so that the numbering for all items in the series will be recorded consistently. This information is recorded in the 642 field. For most series, the form chosen is whatever form is on the item being cataloged that instigated the creation of the authority record, so the designation given will not necessarily be that of the first number (see figure 8-11). In certain instances, notably foreign-language editions, the heading must be established from the first item in the series. In such cases the standardized form of numbering will also be established from the first number of the series (see figure 8-10).


199

Numbering patterns of series must be consistently applied within a catalog, but since there is some leeway as to which pattern will be chosen (depending on which item is used to establish the series), different libraries might use different patterns. Therefore, the library’s MARC code is added to the numbering pattern in subfield ‡5 to show who is using the pattern.2 Additionally, records produced under the auspices of the PCC (Program for Cooperative Cataloging) BIBCO (Bibliographic Record Cooperative) program must all follow the same pattern so that libraries can accept them for copy cataloging with little or no revision. Therefore, the MARC code DPCC has been assigned to the PCC, and it will appear in the 642 field of new series authority records produced by BIBCO participants, signifying that all BIBCO records should follow the established pattern. In this book all 642 fields contain first subfield ‡5 DPCC and then ‡5 [Library’s MARC code], signifying that an individual library would give its own code here. If the authority record for a numbered series is being used for a republication (see chapter 7 on republications), the numbering pattern to be used with items in the republication will be included in the 642 field. The Loeb Classical Library is such a series (see figure 8-15). As explained above, the same heading and record are used for original series and republication. However, treatment of the two might differ. In the case of The Loeb Classical Library, the coding of field 642 shows that the numbering pattern “132” is to be used both for the original series (this is represented by ‡5 DPCC and the first ‡5 for a library MARC code) and for the republication (this is represented by the final subfield ‡5, which contains both the

FIGURE 8-15

Republication

130 0 ‡a Loeb classical library 642 ‡a 132 ‡5 DPCC ‡5 [Library’s MARC code] ‡5 [Library’s MARC code] photo-offset reprint 643 ‡a Cambridge, Mass. ‡b Harvard University Press ‡a London ‡b W. Heinemann 643 ‡a New York ‡b AMS Press ‡d photo-offset reprint 644 ‡a f ‡5 [Library’s MARC code] ‡5 [Library’s MARC code] photo-offset reprint 645 ‡a t ‡5 DPCC ‡5 [Library’s MARC code] ‡5 [Library’s MARC code] photo-offset reprint 646 ‡a s ‡5 [Library’s MARC code] ‡5 [Library's MARC code] photo-offset reprint 667 ‡a Do not regard associated phrases found with series listing of publications as subseries, e.g., Greek authors, Latin authors; those are merely phrases denoting the subject. 670 ‡a Menander, 1979-2000: ‡b ser. t.p. (The Loeb classical library) 670 ‡a Photo-offset reprint/LC data base, 5/15/84 Augustine, Saint. Select letters, 1983 ‡b (Loeb classical library)

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library MARC code and the words “photo-offset reprint”). It is possible that the numbering for the republication might be recorded differently from that of the original. In such a case, a second 642 field would be in the record, with ‡5 [Library’s MARC code] photo-offset reprint; the 642 field pertaining to the original series would not contain these words. Terms other than “photo-offset reprint” can be used to describe the republication, as appropriate, e.g., “microfiche.” If the series authority record has been created from a republication only (without consulting items in the original series), a subfield ‡5 dealing with treatment of the original will not be in the record. If later the library acquires items from the original series, a subfield ‡5 showing its treatment may be added. Fields 640 (Series Dates of Publication and/or Sequential Designation) and 641 (Series Numbering Peculiarities) are also used to give information about numbering of series, but they are rare. For more information, see MARC 21 Format for Authority Data.

Identification of the Publisher: 643 Because it is an important part of the identification of a series, series authority records always record information about the publisher of the series. This is done in the 643 field. The information is given in the format “Place ‡b Publisher” exactly as it would be given in field 260 of the bibliographic record (minus the colon). All figures in this chapter contain examples of field 643. Once the heading has been established, changes in place are generally ignored unless there is also a change of publisher. If there are multiple publishers for a series during the same period, they can all be recorded in a single 643 field. Figure 8-15 shows two publishers in its first 643 field. If different entities publish the series during different time periods, this is recorded in separate 643 fields, the most recent given first. Each field will contain subfield ‡d, showing which volumes of the series are associated with the publisher: “‡d no. 73- ,” shows that the publisher began publishing the series with no. 73. If there are more than three successive changes of publisher, all but that cited in the first 670 field are removed from the record, and a 667 note is added. Some examples follow: 667 667 667

‡a Publisher varies ‡a Imprint varies ‡a Issued by various agencies of the French government

The publisher of a republication is recorded in a separate 643 field from that of the original. Figure 8-15, The Loeb Classical Library, is an example. In order to distinguish between the two 643 fields, subfield ‡d is added to that for the republication, with the text “photo-offset reprint” (or other term, as appropriate).


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The Library’s Treatment of the Series: 644-646 Individual libraries’ decisions about analysis, tracing, and classification are recorded in authority fields 644-646. A N A LY S I S ( 6 4 4 )

Analysis decisions are recorded in the 644 field. Subfield ‡a contains a code representing the decision: “f” means the series is “analyzed in full,” i.e., a separate record will be made for every item in the series. Code “p” means “analyzed in part,” meaning separate records are made only for certain items in the series. This code is frequently used with partially analyzable serials. Code “n” means not analyzed. This would record a library’s decision to catalog an entire series on a single bibliographic record without making separate records for any of the individual items. Field 644 subfield ‡b records exceptions to the analysis decision. For example, if a series was not analyzed, but the library had exceptionally made an analytic record for no. 55, the field would appear: 644

‡a n ‡b except no. 55 ‡5 [Library’s MARC code]

This technique may be used with records for partially analyzable serials. For an example, see figure 8-16. Subfield ‡d is the opposite of subfield ‡b and is more common. It shows which items in the series the analysis practice applies to. For example, suppose a series begins life in the library “not analyzed.” Later it was decided to analyze items in the series, but for manpower reasons the library decided it could not go back and analyze the already-cataloged items in the series. The series authority record for such a series might have the following pair of 644 fields: 644 644

FIGURE 8-16

‡a n ‡d items received by the library before January 1, 2001 ‡5 [Library’s MARC code] ‡a f ‡d items received by the library after December 31, 2000 ‡5 [Library’s MARC code]

Partially analyzable serial

090 ‡a HQ814.J68 130 0 ‡a Journal of divorce 642 ‡a v. 5, no. 1 ‡5 DPCC ‡5 [Library’s MARC code] 643 ‡a Binghamton, NY ‡b Haworth Press 644 ‡a n ‡b except v. 5, no. 1-2; v. 6, no. 1-2; v. 8, no. 3-4; v. 10, no. 1-2 ‡5 [Library’s MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library’s MARC code] 646 ‡a c ‡5 [Library's MARC code] 670 ‡a Impact of divorce on the extended family, 1981: ‡b t.p. (Journal of divorce)

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Another possibility would be: 644 644

‡a n ‡d v. 1-43 ‡5 [Library’s MARC code] ‡a f ‡d v. 44- ‡5 [Library’s MARC code]

With the record for the partially analyzable serial Journal of Divorce (see figure 8-16), if the library does not wish to record every instance of analysis in the authority record, a more general type of 644 field may be used, with subfield ‡d: 644

‡a f ‡d analyzable parts ‡5 [Library’s MARC code]

Lack of subfield ‡b or ‡d in 644 means that the decision coded in subfield ‡a applies to all items in the series. Because treatment of a given series can vary from library to library, the 644 field always ends with a subfield ‡5 giving the MARC code for the library that made the decision. A library’s decision about analysis practice for republications might differ from its decision for the originals. Therefore, treatment of a republication is given in the appropriate subfield ‡5. See figure 8-15, which has the same analysis practice for the original as for the republication. The default coding of the 644 field, to be used in NACO-produced series authority records, is “f,” “analyzed in full.” However, this default practice is not required on BIBCO records. Therefore, NACO authority records may vary in the coding of 644. Individual libraries are free to depart from the practice recorded in these records. TRACING (645)

Field 645 records the tracing (indexing) practice of the library with respect to the series. Like 644, field 645 subfield ‡a contains a code showing the practice. There are two: “t” (“traced,” i.e., the library wants the series to index) and “n” (“not traced,” i.e., the library does not want the series to index). In practical terms, “t” means the series will be recorded either in a 440 or an 8XX field (depending on the transcription); “n” means the series will be recorded in the unindexed 490 field (with first indicator “0”). Until recently an elaborate set of guidelines was applied to decide whether or not to trace a series. This was because of difficulties in card production: every decision to trace a series meant at least one more card set had to be produced to file in the card catalog for every item in the series, and for some types of series it was felt that it just wasn’t worth the effort. With the advent of online cataloging this problem is no longer acute, and so within the last few years these guidelines have been dropped and a national default to trace all series has been implemented. Catalogers creating BIBCO records are not free to depart from this default: series coded in NAF 645 fields as “traced” must be traced in BIBCO records,


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whatever the local library’s practice, and all new NACO records contributed to the NAF will be so coded. For this reason, all 645 fields in the NAF created since implementation of the default have, as a first subfield ‡5, the PCC code “DPCC.” NACO catalogers producing authority records are required to include this treatment field with this default (the other treatment fields are not required). All figures in this chapter follow the national default decision and are coded “t.” As with other treatment fields, subfield ‡5 is added to show which library’s decision the code represents; a separate ‡5 is given for treatment of a republication (see figure 8-15). Subfield ‡d records the volumes or dates to which the tracing practice applies and is used in the same way as field 644 subfield ‡d (see above). C L A S S I F I C AT I O N ( 6 4 6 )

Libraries are free to choose whether to classify a series together (i.e., assign all individual items the same basic call number) or separately. This decision is recorded in the 646 field. Subfield ‡a may be coded “s” (each volume in the series is classified separately without reference to the other items in the series), “c” (each volume in the series is classified using a common base call number), or “m” (used for a subseries that is classified together within the number for a main series, or a series classified within the numbering of some other series). If “c” or “m” is used, the record will also contain a call number field (050, 060, 070, 082, or 090) showing the base call number. If a library has more than one classification practice (e.g., it receives two copies of all items in the series, and one is classified together in a particular call number, the other classified separately) or if more than one library’s practice is recorded in a single series authority record, multiple 646 fields are used. Details may be given in subfield ‡d (which is used in the same way as for fields 644 and 645). For example: 090 646 646

‡a BR60.C48 ‡a s ‡d General Reference copy ‡5 [Library’s MARC code] ‡a c ‡d Special Collections copy ‡5 [Library’s MARC code]

This configuration shows that the copy that comes in for General Reference will be assigned a call number according to its own subject, while the copy that comes in for Special Collections will be assigned a call number beginning BR60.C48. Classification as a collection is generally only done if the series is numbered, but a library can classify an unnumbered series together as well, if it desires. Instructions can be given in the authority record in the call number field, for example, to use the base number and add a Cutter number based on the main entry of the item. Because classification varies from library to library (and sometimes within the same library), subfield ‡5 is added to show which library’s

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decision the code represents; a separate ‡5 is given for treatment of a republication (see figure 8-15). The default for 646 fields in NAF records is “s” (classify separately), but individual libraries are free to depart from it, and BIBCO records do not need to reflect the default.

Notes: 667, 670, 675 Note fields are included in series authority records, just as in other authority records, to record information about the heading, including the sources of information used to establish the heading. As with other authority records, required is a 670 field for the item being cataloged that caused the creation of the authority record. This will always appear as the first 670 field, and all figures in this chapter have such 670 fields. 670 FIELDS

670 fields for series authority records are formed in exactly the same way as already explained in chapter 3, with one exception. In NACO practice a second 670 field is required in addition to the field for the item being cataloged, showing usage of the series in the cataloger’s database (RLIN or OCLC), if usage is found there. (Most figures in this chapter and chapter 7 do not show this 670 field, either because they were created before this practice began or because no usage was shown in the database at the time the record was created.) This note is given in the form 670

‡a RLIN, February 19, 2001, Title, date of publication ‡b (ser. stmt.: [usage])

670

‡a OCLC, February 19, 2001, Title, date of publication ‡b (ser. stmt.: [usage])

or

Additional titles with a parenthetical data group can be given in subfield ‡b if more than one usage is found for the series in the database, or a phrase such as “other usages found in bib. records published [date][date] ([usages])” may be used. Usage is taken from bibliographic 4XX fields or series statements in 534 fields, which presumably represent an exact transcription from the item represented. For an example, see figure 8-17. 670 fields in series authority records should include the usage of the title, but are not required to show numbering usage or publisher information. If this information would clarify the record, however, it may be included. Additionally, if page layout is helpful in determining the heading or references or both, line division may be indicated by a slash (“/”). On both of these points, see figure 7-9.


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NACO 670 field reporting database series usage

130 0 ‡a Sammlung historischer Bildnisse 643 ‡a Freiburg im Breisgau ‡b Herder 644 ‡a f ‡5 [Library’s MARC code] 645 ‡a t ‡5 DPCC ‡5 [Library's MARC code] 646 ‡a s ‡5 [Library’s MARC code] 670 ‡a Prinz Eugen von Savoyen, 1899: ‡b ser. t.p. (Sammlung historischer Bildnisse) 670 ‡a RLIN, Feb. 16, 2001, Charitas Pirkheimer, 1878 ‡b (ser. stmt.: Sammlung historischer Bildnisse)

675 FIELDS

As for other authority records, the 675 field is used to show sources not giving information about the heading. It is most commonly used to justify 5XX “search also under” references (see figure 8-13). For a full discussion of the 675 field, see chapter 3. 667 FIELDS

667 fields are used to convey information about the series to the cataloger, including information about the title (see figures 8-12 and 8-15) or about the publisher (see discussion above, under 643 field). They are particularly important in records for series-like phrases, because they tell the cataloger what to do with the phrase, which will not be transcribed in a series field in the bibliographic record. For an example, see figure 8-18 (note that series-like phrase records do not contain series treatment fields).

FIGURE 8-18

Series-like phrase

130 0 ‡a Penguin book 530 0 ‡a Penguin books (Series) 643 ‡a Various places ‡b various publishers 667 ‡a Give phrase as a quoted note if Penguin Books is not present in the publication, distribution, etc., area of the bibliographic record. 667 ‡a Undifferentiated phrase record: Covers all instances when this character string used by any publisher is considered to be a series-like phrase; if character string is considered to be a series, separate SAR has been made. 670 ‡a Tandia, 1998: ‡b cover p. [4] (Penguin book) 675 ‡a Out of Africa, 1954: cover (Penguin books)

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Fixed Fields A full discussion of fixed fields in authority records is in chapter 2. A few of these are particularly important to series authority records. These are positions 008/12, which distinguishes between monographic series, multipart items, series-like phrases, and other types of series; 008/13, which shows whether the series is numbered or unnumbered; 008/16, which shows whether the heading is appropriate for use in bibliographic series fields (440 and 8XX); and 008/33, which shows whether the heading is fully or provisionally established (in some cases series must be established provisionally if certain information is unavailable: see chapter 7 on language editions). For complete details on fixed field coding, see chapter 2. NOTES 1. Because they will be different for every library, 040 fields are not given in most of the figures in this book. For examples of how the 040 field is formulated, see figures 2-15, 2-16, and 2-17. 2. MARC codes are assigned to individual libraries by the Library of Congress Network Development and MARC Standards Office, which will assign a code to any library requesting one. The current list is published in MARC Code List for Organizations, available on Cataloger’s Desktop and at .

AUTHORITY CONTROL OF TERMS Thesaurus Building

9

Terms are a type of heading not yet encountered in this book. Headings for names and titles, discussed in chapters 4 to 8, have this in common: in most cases, the preference of the “owner” of the name (e.g., the person, corporate body, country) or that of the originator of the title (e.g., the author or publisher) is a deciding factor in choice of heading. The form in which the name or title appears in items published in the language of the author is nearly always the form chosen for the basic heading. This is not the case with term headings, i.e., subject and genre/form headings. Subject terms tell what an item is about (e.g., “horses,” “architecture,” “Buddhism”). Genre/form terms tell what an item is (e.g., “ghost stories,” “passion plays,” “almanacs,” “websites”), tell what it contains (e.g., “woodcuts,” “watercolors,” “Batik papers,” “autographs”), or describe some other nonsubject aspect of the item (e.g., “vellum bindings,” “untrimmed edges”). These terms are chosen not from the usage of a particular author, but from standard usage in the language of the cataloging agency and the terminology of the field from which the term is drawn. Therefore, a subject or genre/form term used to describe an item might not appear at all in the item being cataloged. Subject and genre/form terms (also called descriptors) work best under the same circumstances as any other authorized heading: they should be both consistent and unique. Where there are differing terms for the same topic (synonyms), one and only one should be chosen for the heading; conversely, differing topics that share the same or a similar term should be distinguished in some way. This is called “controlled vocabulary.” Databases that use controlled vocabulary are much more user-friendly than those that do not. Without controlled vocabulary, the user must think of all the possible terms that might have been used to describe a particular subject or genre/form and use them all in searching to ensure that everything has been found. This is a discouraging task. If the database uses con-

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AUTHORITY CONTROL OF TERMS: THESAURUS BUILDING

trolled vocabulary, the only thing the user has to do is discover what the authorized term is and then use it. There are two ways of approaching authority work for terms: the creation of authorized lists and the creation of thesauri. A list is simply a list of authorized terms, with little structure other than (usually) alphabetic order. Thesauri are characterized by a hierarchical structure. Current thinking favors the thesaurus structure over simple lists as being more useful to the user. The standard for single-language thesaurus building and use is ANSI/ NISO Z39.19, Guidelines for the Construction, Format, and Management of Monolingual Thesauri (Bethesda, Md.: NISO Press, 1994) (hereinafter referred to as Z39.19).1 This standard was developed for the American National Standards Institute and is now used as a guide by organizations that maintain thesauri. Because there are many thesauri (see chapters 10 and 11), it is useful to have a standard so they can be used together. A thesaurus is a controlled vocabulary arranged in such a way that various relationships between terms are easily seen. The three main relationships are “equivalence” relationships, “hierarchical” relationships, and “associative” relationships.

EQUIVALENCE RELATIONSHIPS Equivalence relationships exist when the same concept can be expressed by two or more terms (see Z39.19 5.2). For example, in most thesauri the terms “edifices” and “buildings” would be considered equivalent. The two words are synonyms. Lexical variants are also considered to have an equivalence relationship. “Encyclopedia” and “encyclopaedia” are equivalents, as are “AIDS” and “acquired immunodeficiency syndrome.” Additionally, phrases in natural word order share an equivalence relationship with inverted forms. “Cellars, wine” is equivalent to “wine cellars.” The relationship is symbolized by “U” or “USE” and “UF” or “USED FOR.” For example, the relationship between “cellars, wine” and “wine cellars” would be expressed: cellars, wine USE wine cellars

Equivalence relationships are always reciprocal. Whenever one term is shown with “USE,” the equivalent term shows the opposite relationship. Thus, the entry for “wine cellars” would be expressed: wine cellars UF cellars, wine


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The purpose of the entry showing UF is to ensure that if a change is ever made to the term “wine cellars,” all other affected entries will also be noted and changed. This is particularly important in a manual environment. In MARC (Machine-Readable Cataloging) authority records for individual terms, the chosen term is given in a 1XX field. The variant that was not chosen is given in a 4XX field. “Wine cellars” would be given in a 150 field; “cellars, wine” would be given in a 450 field (see figure 9-1).2 Most databases will generate from the MARC record a display similar to the USE display shown above if the unauthorized term is searched for; some (particularly authority files) will also generate the UF display. The equivalence relationship is not always the same in different thesauri. As mentioned, most thesauri would consider “edifices” and “buildings” equivalent, but a very specialized thesaurus giving construction terms might not. Even general thesauri might differ in some instances. For example, Library of Congress Subject Headings (LCSH) considers “infants” and “babies” equivalent. Another general subject thesaurus might reasonably disagree. If near equivalents are separated into individual authorized terms, it is a good idea to provide a scope note explaining the distinction between the two. In the MARC authority record, these are normally given in a 680 field, which may display to the public. For example, the LCSH terms “bathrooms,” “restrooms” and “public comfort stations” are close to synonymous. Therefore, a scope note is provided (see figure 9-2). Sometimes opposite concepts are gathered under one term. Although this is not at all intuitive, in such cases antonyms are considered to have an equivalence relationship. For example, in LCSH “questions and answers” have an equivalence relationship (see figure 9-3). Another LCSH example is “prologues and epilogues.” FIGURE 9-1 150 450 550

‡a Wine cellars ‡a Cellars, Wine ‡w g ‡a Storage facilities

FIGURE 9-2 150 550 680

Subject authority record showing equivalence relationship

Scope note distinguishing between nearly equivalent terms

‡a Bathrooms ‡w g ‡a Rooms ‡i Here are entered works on rooms equipped with a bathtub or shower, and usually also a toilet and lavatory. Works on rooms in office buildings, stores, etc., equipped with toilets and lavatories for use by visitors or employees are entered under ‡a Restrooms. ‡i Works on buildings designed to provide toilets and lavatories for use by the general public are entered under ‡a Public comfort stations.

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FIGURE 9-3 150 360 450 450 450 450 450 450 450 550

Opposite concepts in equivalence relationship

‡a Questions and answers ‡i subdivision ‡a Examinations, questions, etc. ‡i under subjects, e.g., ‡a History-Examinations, questions, etc. ‡a Answers to questions ‡a Facts, Miscellaneous ‡a Miscellaneous facts ‡a Queries ‡a Question boxes ‡a Quiz books ‡a Trivia ‡w g ‡a Encyclopedias and dictionaries

HIERARCHICAL RELATIONSHIPS The hierarchical relationship shows how authorized terms relate to one another within a subordinate-superordinate hierarchy (see Z39.19 5.3). Thesauri are distinguished from word lists by the fact that they are organized in hierarchies. The relationships are usually shown by the relationship indicators BT (“broader term”) and NT (“narrower term”). Three main types of hierarchical relationships are recognized: generic relationships, whole-part relationships, and instance relationships.

Generic Relationships Generic relationships link a class with its members. They can be recognized by formulating the statement “[narrower term] is a [broader term].” For example, “an ostrich is a bird.” The hierarchical relationship between “ostriches” and “birds” is generic. This would be shown in thesaurus structure as follows: ostriches BT birds

Hierarchical relationships are always given reciprocally. If “birds” is a broader term to “ostriches,” that means that “ostriches” is a narrower term to “birds.” Thus, in addition to the display for “ostriches,” there should always be a reciprocal display for “birds”: birds NT ostriches

Broader and narrower terms are given in MARC authority 5XX fields. The appearance of a term in a MARC 5XX field simply means that the term there is related to the term in the 1XX field in some way; the exact relationship is given in subfield ‡w of the 5XX field. If the term is a


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broader term, subfield ‡w will contain “g”; if it is narrower, it will contain “h.” For example, in figure 9-4, “birds” is a broader term than “ostriches,” so subfield ‡w contains “g.” This will generate a display similar to the following: Birds see also the narrower term Ostriches

According to the standard, hierarchical term relationships are always reciprocal. Therefore, technically the record for “birds” should also contain a 550 field containing “ostriches” coded “h” in subfield ‡w as a narrower term. In practice, however—because this reciprocity is a given— some systems by policy only give one or the other in their records, depending on the system to create the reciprocal link. For example, LC subject authority records do not contain narrower terms. However, records for narrower terms contain links to records for broader terms. The system, in turn, assumes the reciprocal link from the broader term record to the narrower, and it generates displays going both ways. Thus, LC’s record for “ostriches” contains the broader term “birds,” as seen in figure 9-4, but its record for “birds” does not contain the narrower term “ostriches.” The relationship is understood by the system, however. (This policy causes problems for systems that import these authority records but are not equipped to make the reciprocal link from the unexpressed narrower term to the broader term.)

Whole-Part Relationships In a whole-part relationship, one concept is inherently included in another. For example, Salt Lake City is a part of Utah; electrons are a part of atoms. These relationships are also indicated by BT (broader term) and NT (narrower term), and they are always given reciprocally: Utah NT Salt Lake City (Utah) Salt Lake City (Utah) BT Utah

FIGURE 9-4 150 450 550

Hierarchical relationship (generic)

‡a Ostriches ‡a Struthionidae ‡w g ‡a Birds

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For an example of an authority record showing the whole-part relationship, see figure 9-5. Note that this figure shows “electrons” in both a whole-part relationship with “atoms” and a generic relationship with “particles.”

Instance Relationships The instance relationship shows the relationship between two terms, one of which is an “instance” (or example) of the other (a class). Most commonly the instance is expressed as a proper noun. For example, the White House is an instance of the class “dwellings.” Salt Lake City, in addition to being in a whole-part relationship with Utah, is also an instance of the class “state capitals.” If these were included in a thesaurus, they might be expressed as follows: White House BT dwellings dwellings NT White House Salt Lake City (Utah) BT state capitals state capitals NT Salt Lake City (Utah)

Not all thesauri admit instance relationships. The Art and Architecture Thesaurus (AAT) (see chapter 10), for example, does not list individual paintings as instances of the term “paintings.” LCSH does, in some circumstances, show instance relationships. For example, if the name of a lake is established, it is given as an instance of the broader term “lakes” (subdivided geographically). Lake Arrowhead is an example. Note that this lake is also an instance of the class “reservoirs” (see figure 9-6). FIGURE 9-5 150 550 550

‡a Electrons ‡w g ‡a Atoms ‡w g ‡a Particles (Nuclear physics)

FIGURE 9-6 151 451 550 550

Hierarchical relationship (whole-part)

Hierarchical relationship (instance)

‡a Arrowhead, Lake (San Bernardino County, Calif. : Lake) ‡a Lake Arrowhead (Calif. : Lake) ‡w g ‡a Lakes ‡z California ‡w g ‡a Reservoirs ‡z California


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Interhierarchical Relationships All the terms in a thesaurus normally link to each other in broader and narrower term relationships; this structure culminates in a single, or a few, very broad terms at the top of the hierarchy.3 Conversely, all terms except those at the bottom of the structure will have narrower terms. Although it is perfectly possible (and indeed normal) for a given term to have only one broader term, if a term has any narrower terms, there should normally be at least two. If a term has only one narrower term, the thesaurus builder should consider subsuming the unique narrower term into the broader in an equivalence relationship. Although a term may have only one broader term, it may also have more than one and thus exist in more than one hierarchy. We have already seen two examples of this: Lake Arrowhead exists both in the hierarchy of lakes and in the hierarchy of reservoirs; electrons exist both in the hierarchy that contains atoms and the one that contains particles. This is called a polyhierarchical relationship (see Z39.19 5.3.4). Thesauri present themselves in different ways (see Z39.19 section 6), but because they all have this broader-narrower term structure, it should be possible to follow the links in the relationship chain to construct a tree structure. For example, in the AAT, “woodcuts” fits into the overall hierarchy of “visual works.” The single branch of the AAT “tree” containing “woodcuts” would appear as follows: | | prints | <prints by process or technique> | <prints by process: transfer method> | relief prints | woodcuts

In this diagram each lower level is narrower than the one above it. At each level there are many other branches aside from the one shown. For example, under “prints by process: transfer method,” there are, in addition to “relief prints,” the branches (narrower terms) “intaglio prints,” “planographic prints,” and “screen prints.” The bottom term in this diagram, “woodcuts,” itself branches out into a number of narrower terms, some of which branch out into even narrower terms.

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Some of the terms in the branch illustrated above are surrounded by angle brackets. These are called “guide terms.” Not all the terms in the “tree” are authorized for use as descriptor terms—some are made up to give structure to the hierarchy. These guide terms should not be used in indexing. For example, “prints” may be used in a database using the AAT to describe an item, but “prints by process or technique” may not. AAT distinguishes guide terms from descriptors by the use of angle brackets. Other thesauri distinguish them in other ways (e.g., by italicizing). Z39.19 refers to guide terms as “node labels” (see, e.g., Z39.19 5.3.5, 5.4.3).

ASSOCIATIVE RELATIONSHIPS Frequently, authorized terms are related to one another in some way, but the relationship is not hierarchical. This is called an associative relationship (see Z39.19 5.4). For example, the concept “investment clubs” is related to the concept “mutual funds,” but neither is broader or narrower than the other, and so they are not in a hierarchical relationship to one another. Yet it would be useful to the database user or builder who looks up one of these terms to know that the other might be of interest, too. Associative relationships are shown by the relationship indicator RT (“related term”). The reciprocal displays for investment clubs and mutual funds would appear investment clubs RT mutual funds mutual funds RT investment clubs

Associative relationships are shown in MARC authority records in 5XX fields with no subfield ‡w coding. Figure 9-7, an authority record for a term from the Thesaurus for Graphic Materials II: Genre and Physical Characteristic Terms (TGM II), contains a broader term, a narrower term, and a related term. FIGURE 9-7 155 555 555 555 680

Associative relationship

‡a Envelopes ‡w g ‡a Packaging ‡w h ‡a Pictorial envelopes ‡a Stationery ‡i Flat, usually paper containers, as for mailing a letter. Typical illustrations include patriotic themes or business advertisements; introduced for common use in the 1840s.


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To avoid inconsistent establishment of associative relationships, Z39.19 gives guidelines. The general rule is that an associative relationship should be recognized if a term is always implied whenever another term is used.

Descriptors within the Same Hierarchy Related terms can either belong to the same hierarchy (i.e., “sibling” terms, the set of narrower terms to another term) or different hierarchies. An associative relationship should be recognized between sibling terms if their meanings overlap; that is, they can be defined precisely, but they are sometimes used interchangeably (see Z39.19 5.4.1.1). An example of such a relationship is that between bathrooms, public comfort stations, and restrooms (see figure 9-2). This relationship might be shown in a thesaurus as follows: bathrooms RT public comfort stations restrooms

The LC subject authority record illustrated in figure 9-2 does not, in fact, contain 550 fields for “restrooms” and “public comfort stations.” This is because the relationship was adequately shown in the scope note. The other sibling relationship that should be noted is a derivational relationship, i.e., a concept linked to another by a familial or derivational tie (see Z39.19 5.4.1.3). For example, the term “citrus” has a number of narrower terms, e.g., “orange,” “lemon,” “grapefruit,” “mandarin orange,” “tangelo.” These latter are all sibling terms. However, “tangelo” shares a special relationship with “grapefruit” and “mandarin orange” because it is created by crossing these two citrus fruits. Therefore, they share a derivational relationship. The thesaurus entry for “tangelo” would look something like this: tangelo BT RT

citrus grapefruit mandarin orange

Because “grapefruit” shares a derivational relationship only with “tangelo,” not with “mandarin orange,” its record will not include “mandarin orange” as a related term: grapefruit BT citrus RT tangelo

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Sibling terms that neither overlap nor have a derivational relationship with another do not need to be interrelated by recognizing an associative relationship.

Descriptors Belonging to Different Hierarchies There are numerous cases where an associative relationship should be recognized between terms that are not sibling terms. For example, an associative relationship may be recognized 1. between a discipline and its practitioners: library science RT librarians librarians RT library science

2. between an action and its product: cataloging RT library catalogs library catalogs RT cataloging

3. between an action and its target: cataloging RT books books RT

cataloging

It is impossible to make an exhaustive list of these cases (for more details, see Z39.19 5.4.2).

CHOICE OF DESCRIPTORS The main rule for choosing a descriptor or term is literary warrant (see Z39.19 section 3). The term chosen to represent a concept must be found in the literature of the field being described. This means that the person choosing a term should do research in specialized dictionaries and encyclopedias, normally in the language of the cataloging agency. Additionally, if the term is to be used in a general thesaurus (such as LCSH), encyclo-


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pedias and general dictionaries should be consulted, such as Webster’s Third. The results of this research should be recorded, and the term most commonly used to represent the concept should be chosen. Descriptors should represent a single concept and if possible should use a single word to express the concept. If this is not possible, more than one word may be used. Such descriptors are called “compound terms.” Details on dealing with compound terms are found in Z39.19 section 4. If the same word is used for different concepts within a thesaurus, it must be qualified to distinguish between the meanings. Term qualifiers are formed in the same way as qualifiers for names, that is, a cataloger-chosen descriptive word within parentheses. For example, in a general thesaurus the following would need to be qualified: logos (Christian theology) logos (philosophy) logos (symbols)

However, in a thesaurus devoted to corporate terms, the descriptor would not need to be qualified, because it would be clear that the term did not refer to philosophy or theology, but to symbols representing corporate entities or products. The preferred form of descriptor is a noun or noun phrase, for example, “French literature,” “indigestion,” “koalas.” Verbs or participles should not be used alone. To express a verbal notion, a verbal noun should be used: “respiration,” not “breathe”; “refrigeration,” not “freeze”; “teaching,” not “teach.” The general rule for choice between singular and plural (in English) is that “count nouns” are given in the plural; “noncount” and abstract nouns are given in the singular. However, there are many exceptions, usually based on user warrant in a particular field. Count nouns are “names of objects or concepts that are subject to the question ‘how many?’ but not ‘how much?’” (Z39.19 3.5.1). These are usually expressed as plural: “desks,” “airplanes,” “atomic clocks.” Other terms are usually given in the singular. Some examples of noncount nouns are “gasoline,” “gold,” “ice”; examples of abstract nouns are “science,” “cooling,” “Islam.”

NOTES 1. The text of Z39.19 is available through the NISO website, at <www.niso.org>. The standard for multilingual thesauri (e.g., English-Spanish) is Documentation: Guidelines for the Establishment and Development of Multilingual Thesauri (Geneva: International Organization for Standardization, 1985) (ISO 59641985).

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AUTHORITY CONTROL OF TERMS: THESAURUS BUILDING 2. LC (Library of Congress) capitalization conventions are used in the examples of MARC (Machine-Readable Cataloging) authority records in the figures. Capitalization conventions of Z39.19, which differ from LC, are used in the text of this chapter. 3. Terms that do not fit into the hierarchy in any way are called “orphan terms.” Ideally, a thesaurus should not contain any orphan terms; that is, all terms in the thesaurus except the top terms should be related to broader terms, and all top terms should have narrower terms. See Z39.19 5.1.1.

AUTHORITY CONTROL OF TERMS Subjects

10

SUBJECT THESAURI Just as most libraries no longer do original cataloging for all items entering their collection, instead sharing the cataloging of others if available, and just as more and more libraries are sharing the authority records existing in the Name Authority File (NAF) rather than doing authority work for every heading themselves, so most libraries will not create a thesaurus of subject terms from scratch for general use in their catalog. Rather, they will turn to existing thesauri, possibly supplemented by authority records for locally needed terms not included in the chosen thesaurus or thesauri. There are hundreds of subject thesauri. Some of the more commonly used general thesauri in English are listed here. Art and Architecture Thesaurus (AAT), 2nd ed. (New York: Oxford University Press, for the Getty Art History Information Program, 1994), also available at . Canadian Subject Headings, 3rd ed. (Ottawa: National Library of Canada, 1992), also available at . Library of Congress Subject Headings (LCSH), 24th ed. (Washington, D.C.: Library of Congress, Cataloging Distribution Service, 2001), also available on Cataloger’s Desktop and in the LC, Research Libraries Information Network (RLIN), and OCLC Subject Authority File. Medical Subject Headings (MeSH) (Bethesda, Md.: National Library of Medicine, 1960- [annual edition]), also available at .

219

220

AUTHORITY CONTROL OF TERMS: SUBJECTS

NASA Thesaurus (Washington, D.C.: NASA, 1967- [triennial edition]), also available at . Sears List of Subject Headings, 17th ed. (New York: Wilson, 2000). TGM: Thesaurus for Graphic Materials (Washington, D.C.: Library of Congress, Cataloging Distribution Service, 1995) (part I, “Subject Terms”), also available at . All of these thesauri evolve as language changes and as new concepts require new terms. Some of them allow and even encourage new and changed term suggestions from interested outside parties. The AAT, for example, solicits contributions.1 The biggest cooperative subject authority project is the Subject Authority Cooperative Program (SACO), through which non-LC librarians can contribute to LCSH.2 Each thesaurus has its own rules for descriptor formation and subdivision practice, and once a library has chosen a thesaurus, it should follow the rules of the thesaurus as it builds heading strings for its own database. There is not space in this book to examine the rules to all or even the most prominent thesauri. Because it is in such widespread use, however, some of the basic rules for use of LCSH will be examined, including areas where LCSH does not establish headings, authorizing both headings and heading strings through patterns and rules.

LIBRARY OF CONGRESS SUBJECT HEADINGS Library of Congress Subject Headings (LCSH) is published in book format (currently five massive volumes), but it is also available on Cataloger’s Desktop, and the MARC (Machine-Readable Cataloging) authority records on which the paper and electronic formats are based are available in the Subject Authority File (SAF), a parallel file to the NAF, accessible at LC, and in the utilities RLIN and OCLC. These subject authority records are also available for purchase, and many libraries download LCSH, in whole or in part, into their own catalogs. Subject authority records shown in the figures in this book are based on the authority records in the SAF. In addition to the heading list itself, a second essential tool for using LCSH is LC’s Subject Cataloging Manual (SCM).3 This is the library’s policy manual for implementing LCSH, widely used by other North American libraries using LCSH. LCSH began a century ago as a term list, and although it is evolving toward becoming a thesaurus (for example, since 1985 most new subject authority records have been required to contain a broader term, i.e., the new term must become part of a hierarchy), it has not quite become one yet. This is partly because of the way it came into being, with terms added


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as needed under differing policies ever since 1898. The list has become so large that it is probably an impossible task for any person or group to go through the entire publication and massage it to conformity, for example, with Z39.19 (see chapter 9). Nevertheless, an attempt is being made to make LCSH more thesauruslike. LCSH contains terms for every subject that has been needed to describe items cataloged by the Library of Congress or other participating libraries with the following exceptions: (1) name headings may be used as subjects, but they are not found in LCSH; rather, they are established in the NAF; (2) certain “free-floating” phrase headings for geographic headings are generally not established, including headings for regions, metropolitan areas, and suburban areas (because these follow a routine pattern, it is presumed unnecessary to establish every one); and (3) certain music headings. Any heading not falling under one of these exceptions must be individually established in LCSH (for further details, see LCSH vol. 1, p. xvi). LCSH also contains many subject “term + subdivision” strings, but many more combinations can be used in bibliographic records than are established in LCSH. These follow patterns and rules given in the SCM.

Choice of Term Terms in LCSH are formed for the most part as suggested by Z39.19, but there are some differences owing to the century-long development of the list: Terms represent “discrete, identifiable concepts.” Terms and references are established in English unless there is no English term for the concept (e.g., “Ultra vires”). They reflect current American usage (“Soccer” not “Football”). Cross-references from foreign-language equivalents to English terms are not routinely made. Terms may consist of single words or phrases. If the term is a single word, it is usually a noun. Concepts are generally singular, objects plural. Initial articles are removed or inverted (“State, The”). Phrase terms are usually established in natural word order, but the following are generally inverted: • Terms with adjectives denoting language, ethnicity, or national-

ity (“Adventure stories, Russian”) • Terms qualified by a time period (“Altars, Renaissance”) • Terms qualified by an artistic or musical style (“Furniture, Baroque”)

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Certain music terms (“Tar (Lute) and piano music, Arranged”) Battles (“Britain, Battle of, 1940”) Fossils (“Mudminnows, Fossil”) The names of legendary or fictitious characters (“Tracy, Dick (Fictitious character)”) • Royal houses (“Bourbon, House of”) • Names of geographic features are inverted to bring the significant word to the front (“Saint Helens, Mount (Wash.)”)4 • • • •

Phrase terms may use conjunctions (“Libraries and the blind”) or prepositions (“Narcotics, Control of”). Terms (whether the heading or a cross-reference) that are identical to a term expressing a different concept are distinguished with a parenthetical qualifier containing • the name of the discipline (“Way (Chinese philosophy),”

“Stitches (Sewing)”) or • the category of the object (“Drills (Planting machinery)”). However, phrase terms, if available, are preferred to qualified words (“Ideal gas law” rather than “Gas law (Physical chemistry)”).

Geographic Names Established as Subjects As discussed in chapter 4, certain geographic names are established as subjects in the SAF, and others are established as names in the NAF. Briefly, if the name is that of a political jurisdiction (e.g., a city), it is established in the NAF; if it is a nonjurisdictional geographic name (e.g., that of a river), it is established in the SAF. Headings for entities having geographic extent are also treated as nonjurisdictional geographic names. The following is a partial list of such entities (cf. SCM H690): Archaeological sites, historic sites, etc. Areas and regions (when not free-floating) Canals Dams Extinct cities (pre-1500) Farms, ranches, gardens Forests, grasslands, etc. Geographic features (for example, caves, deserts, nonjurisdictional islands, lakes, mountains, ocean currents, plains, rivers, seas, steppes, undersea features) Geologic basins, geologic formations, etc. Mines


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Parks, reserves, refuges, recreation areas, etc. Reservoirs Roads, streets, trails Valleys If the name is to be established in the SAF, it is established and used according to SCM H690-H1055. The rules for formation of the heading roughly parallel AACR2 chapter 23 but are not completely identical. The basic source consulted for U.S. geographic names is the Geographic Names Information System database of the U.S. Board on Geographic Names and the U.S. Geological Survey, found at . For non-U.S. names, the English form found in the (U.S.) National Imagery and Mapping Agency’s GEOnet Name Server, found at , is used. The names of geographic features are established in English unless the foreign-language form is in common use in the United States (e.g., Rio Grande); and English-language forms found in these two databases are preferred to forms found in other sources. If one of these databases does not contain the name, however, other sources may be used. If no Englishlanguage form is available anywhere, at least the generic term (“Lake” “Mount,” etc.) is translated into English. For example, the Moscow Canal was found in the GEOnet Name Server under the Russian heading “Imeni Moskvy, Kanal” but with several English-language variants. After consulting other English-language reference sources, “Moscow Canal” was chosen as the heading (see figure 10-1).

FIGURE 10-1 151 451 451 451 451 451 550 670 670 670 670

Geographic feature

‡a Moscow Canal (Russia) ‡a Kanal imeni Moskvy (Russia) ‡a Kanal Moskva-Volga (Russia) ‡a Moscow-Volga Canal (Russia) ‡a Volga Canal (Russia) ‡a Volga-Moscow Canal (Russia) ‡w g ‡a Canals ‡z Russia (Federation) ‡a Work cat.: Soviet Union. Glavnoe upravlenie geodezii i kartografii. Pokanalu im. Moskvy i reke Moskve ... 1972. ‡a BGN, 2/24/86 ‡b (Kanal imeni Moskvy, canal, 56°43'N, 37°08'E; variants: Kanal Moskva-Volga, Moscow Canal, Volga-Moscow Canal, Volga Canal) ‡a Lippincott ‡b (Moscow Canal, Rus. Kanal Imeni Moskvy; called Moscow-Volga Canal until 1947) ‡a Web. geog. ‡b (Moscow-Volga Canal)

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Geographic names are qualified, whether they conflict with other names or not.5 The names of geographic features are qualified in the same way geographic names are qualified in AACR2, that is, by the current form of the name of the country in which the feature is situated, except for Australia, Canada, Great Britain, Malaysia, the United States, and Yugoslavia.6 Geographic features in these countries are qualified by the next jurisdiction below the country level (e.g., by the state in the United States, by the province in Canada, by the constituent country in Great Britain). Thus, Moscow Canal is qualified by “(Russia).” The qualifier is the latest name of the jurisdiction; in most cases this means that if the jurisdiction name changes, qualifiers for headings qualified by the earlier form of the jurisdiction name must be changed to the later form. Features in cities are qualified by the name of the city (see figure 10-2). If the “significant” part of the name (versus the “generic” part, e.g., “lake,” “river,” etc.) is not given first in the source, it is inverted so it appears first in the established form. For example, Lake Mead is inverted to give “Mead, Lake” (see figure 10-3). Cross-references are given from all English-language variants and, if the name has been inverted, from the natural word order. Because this type of geographic name is established as a subject (SAF) rather than a

FIGURE 10-2 151 550 670 675

‡a Penn Township Industrial Park (Hanover, York County, Pa.) ‡w g ‡a Industrial districts ‡z Pennsylvania ‡a Work cat.: 93-685045: York County Industrial Development Authority. Penn Township Industrial Park, 1992 ‡b (postal address: Hanover, Pa.) ‡a BGN, 7/9/93; ‡a Rand McNally; ‡a Omni gaz. USA

FIGURE 10-3 151 451 451 550 550 550 550 670 670

Geographic feature in a city

Inverted form

‡a Mead, Lake (Ariz. and Nev.) ‡a Lake Mead (Ariz. and Nev.) ‡a Mead Reservoir (Ariz. and Nev.) ‡w g ‡a Lakes ‡z Arizona ‡w g ‡a Lakes ‡z Nevada ‡w g ‡a Reservoirs ‡z Arizona ‡w g ‡a Reservoirs ‡z Nevada ‡a Work cat.: Lake Mead-Hoover Dam, 1980 ‡a BGN, March 15, 2001 ‡b (Lake Mead, 36°01'N 114°44'W (at Hoover Dam), in Mohave County, Ariz. and Clark County, Nev.)


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name (NAF), at least one broader term is always given in a 550 or 551 field to promote the thesaurus structure of LCSH. Headings for regions, metropolitan areas, and suburban areas are formed by inserting the appropriate word or phrase (“Region,” “Metropolitan Area,” or “Suburban Area”) between the established name of the city (or geographic feature, in the case of regions) and the geographic qualifier.7 For example, London Metropolitan Area (England) Seine River Region (France) Sydney Suburban Area (N.S.W.)

Under current LC policy, these headings are “free-floating,” i.e., they can be formed ad hoc as needed and are not established in LCSH unless an authority record needs to be made for some other reason (e.g., crossreferences are needed). This policy, of course, does not stop other libraries from establishing these headings locally if desired. For further information, including information about forming headings for river valleys, estuaries, and watersheds, see SCM H362.

Latest Entry Under AACR2 practice, if a jurisdictional geographic name changes, a new heading is created parallel to corporate body practice (because jurisdictions are in fact corporate bodies). For example, when Southern Rhodesia became Zimbabwe, a new heading was authorized, and either could be used in descriptive cataloging, as appropriate. Subject practice differs from this. Nonjurisdictional names, established in the SAF under subject practice, are established using the latest entry, with references from earlier forms of the name. And if a jurisdictional name is needed for a subject heading in a bibliographic record (versus an added entry), the latest heading is used. Thus, “Zimbabwe” would be used even for items that covered the period when the jurisdiction was known as “Southern Rhodesia.” Because this can be confusing, a note is added to the authority record of the heading that is not valid for subject use, as in figure 10-4. This practice makes sense, because geographic subject headings need to bring together all items in a library’s catalog about a given area, and the area itself does not change just because the name changes. However, because the name of the geographic area is shared by the name of the jurisdiction that covers that area, and jurisdictional names do change, latest entry practice can get rather complex, especially when the old and the new jurisdictions do not cover exactly the same geographic areas. What does one do, for example, with works about Czechoslovakia, because now the area is covered by two jurisdictions, Czech Republic and Slovakia? The SCM covers unusual and complicated situations, with both general rules

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FIGURE 10-4

Latest entry: subject usage note

151 451 451 551 667 670 670

‡a Southern Rhodesia ‡a Rhodesia (1964-1980) ‡a Zimbabwe Rhodesia ‡w b ‡a Zimbabwe ‡a SUBJECT USAGE: This heading is not valid for use as a subject. Works about this place are entered under Zimbabwe. ‡a Rhodesia, Southern. Central Statistical Office. Monthly digest of statistics, Jan. 1979: ‡b t.p. (Rhodesia); Apr. 1979: t.p. (Zimbabwe Rhodesia) ‡a Africa S. of the Sahara, 1990 ‡b (Zimbabwe: Zimbabwe came into existence 418-80 as the successor to the colony of Southern Rhodesia)

(for jurisdictional mergers and splits, see H710) and specific rules for certain jurisdictions (Germany, H945; Soviet Union, H1023; and Yugoslavia, H1055; see also other SCM sections between H925 and H1055). In addition, detailed subject usage notes are frequently added to the authority records for the parties to complicated jurisdictional changes. A variation on latest entry practice applies to nonjurisdictional corporate names. Rather than using the actual latest entry for subject headings in bibliographic records (as one does with jurisdictional names), subject headings for corporate bodies use the heading appropriate to the latest period covered by the item represented by the bibliographic record. For example, J. & J. Harper, Printers became Harper & Brothers in 1833. When Harper & Brothers merged with Row, Peterson & Company in 1962, the new company was called Harper & Row, Publishers. A history of this company covering the period before 1962 would use the subject heading “Harper & Brothers.” A work dealing with the entire history of the company, including the period after 1962, would use the subject heading “Harper & Row, Publishers.” If the body is well known by an earlier name, and that name is prominently featured in the work being cataloged, the earlier name is also given in the bibliographic record as a subject heading. In the case of this publishing firm, because “J. & J. Harper, Printers” is not a well-known name of the body, it would not be used unless the work was only about the pre-1833 period.

Hierarchy in LCSH LCSH generally follows Z39.19 in linking terms hierarchically (see chapter 9), so an explanation of hierarchy will not be repeated here. The printed edition of LCSH shows both narrower and broader terms for headings. LC practice in showing these in subject authority records is only to add broader terms to authority records, not narrower terms. Because every broader term has a reciprocal narrower term (and vice versa), the


227

computer program that produces the printed version can interpret these authority records to show narrower terms as well as broader terms with the headings. Orphan terms (terms that have no broader term) are prohibited under current policy in LCSH except for top terms (the broadest term in a hierarchy, e.g., “Animals,” “Home”); geographic regions (“Volga-Ural Region (Russia)”); family names (“Smithson family”); and inverted terms qualified by names of languages, nationalities, ethnic groups, or terms that designate time periods, when the only appropriate broader term (BT) is the same term without the qualifier (“Abbreviations, German” would not be given a BT “Abbreviations”). There are a few other categories of exceptions in addition to those listed in SCM H370 (e.g., headings for fictitious characters, H1610; terms of the type “[topic] in the Bible,” H1295). It would seem that all but the exception for top terms could be prohibited, and if the makers of LCSH wish to make the list a thesaurus, this will need to be done. To control the number of related term (RT) references, LCSH gives them in the following situations only (SCM H370): To link two terms with meanings that overlap to some extent or terms used somewhat interchangeably (e.g., “Boats and boating RT Ships”) To link a discipline and object studied (e.g., “Ornithology RT Birds”) To link persons and their fields of endeavor (e.g., “Medicine RT Physicians”)

Subdivision Practice One of the particularly useful aspects of LCSH is its subdivision practice. Subdivisions may be added to subject terms as a means of limiting the scope of the term and of combining different concepts in a single subject string. The addition of subdivisions to authorized subject terms gives the cataloger the ability to give an extraordinary specificity to subject strings in bibliographic records. There are four types of subdivision in LCSH: 1. Topical subdivisions limit the concept of the term to a subtopic, e.g., “Animals—Longevity,” and are given in subfield ‡x in MARC records.

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2. Form subdivisions indicate the form in which the material is presented, e.g., “Bulgarian language—Dictionaries,” and are given in subfield ‡v in MARC records. 3. Chronological subdivisions limit a term to a particular time period, e.g., “Suites (Flute and piano)—20th century,” and are given in subfield ‡y in MARC records. 4. Geographic subdivisions limit a term to a particular geographic area, e.g., “Bears in heraldry—Poland,” and are given in subfield ‡z in MARC records. The distinction between topical subdivisions and form subdivisions is the same as that between subject terms and genre/form terms: topical subdivisions tell what the item being described is about; form subdivisions tell what it is. Most form subdivisions can also be used as topical subdivisions if appropriate. For example, “Poetry” is a free-floating subdivision that may be used with topical terms for collections of poetry and individual poems on those subjects. The record for a collection of poems about horses would contain the subject term with “Poetry” as a form subdivision (in subfield ‡v) because the work is poetry: 650 0 ‡a Horses ‡v Poetry.

A study of poems about horses would use “Poetry” as a topical subdivision (in subfield ‡x) because the work is about poetry: 650

‡a Horses ‡x Poetry.

The subfield coding distinguishing between form and topical subdivision is relatively new, and few if any systems take advantage of it yet in indexing, but there are interesting possibilities. At the least, a system ought to allow the researcher to distinguish between form and topical subdivisions when searching. Subdivisions to LCSH terms are authorized in four ways. 1. They may be independently established in LCSH in combination with a subject term. This is done when a subdivision would be applicable only to one or very few terms. Heading strings containing subdivisions authorized independently may be found attached to the appropriate term in the printed and electronic versions of LCSH, and authority records for them are also found under the main term in the SAF. 2. Many subdivisions may be applied to all, or large classes, of the terms. These are called “free-floating” subdivisions. All free-floating subdivisions are found in the SCM. Recently, LC has begun adding records for free-floating subdivisions to the SAF as well, although all have not yet appeared.


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3. A system of “pattern headings” has been developed under which subdivisions are established in LCSH under a particular term, with the understanding that these subdivisions may also be used under other like terms. Subdivisions controlled by patterns may be found both in the SCM and in the SAF under the appropriate pattern heading. They are in fact a type of free-floating subdivision. 4. Many terms are authorized for geographic subdivision. This is shown in LCSH by the phrase “(May Subd Geog)” and in the SAF by code “i” in the 008 field, position 06. I N D E P E N D E N T E S TA B L I S H M E N T O F H E A D I N G S C O N TA I N I N G S U B D I V I S I O N S

If a subdivision is applicable to very few subject terms, the term-subdivision string will be independently established. For example, it is unlikely that many subject terms other than “Greenhouses” will need the subdivsion “Carbon dioxide enrichment.” Therefore, “Greenhouses—Carbon dioxide enrichment” is established independently (see figure 10-5). Subject strings for the history of jurisdictions are among the most common headings with subdivisions established independently in LCSH. These are generally established “[Jurisdictional place name]—History— [Period subdivision].” The period subdivisions are usually applicable only to the place named in the main heading, so no pattern or free-floating subdivision is possible. Instead, the full string is established. For example, the period subdivision “Siege, 1831” is unlikely to be applicable to any heading other than “Warsaw (Poland),” and so the full string has been established (see figure 10-6). Some subject-subdivision strings are established in LCSH because the hierarchical or cross-reference structure requires it, even though the subdivision itself might be authorized as a free-floating subdivision, by a pattern, or by authorization to subdivide geographically. For example, “Sieges” may be subdivided geographically, so an authority record for “Sieges— Poland” would not normally be necessary. However, because it was given as a broader term for the string “Warsaw (Poland)—History—Siege, 1831” (see figure 10-6), it must also be established (see figure 10-7). FIGURE 10-5 053 150 450 670 670 675

Subject term––Subdivision established independently

‡a SB416 ‡a Greenhouses ‡x Carbon dioxide enrichment ‡a Carbon dioxide enrichment of greenhouses ‡a Work cat.: Hicklenton, P. R. CO2 enrichment in the greenhouse, 1988 ‡a LC data base, 8/9/88 ‡b (carbon dioxide enrichment) ‡a Biol. & agr. index. v. 40, 38

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FIGURE 10-6

Jurisdiction with history subdivision established in LCSH and SAF

151 551 550 670

‡a Warsaw (Poland) ‡x History ‡y Siege, 1831 ‡w g ‡a Poland ‡x History ‡y Revolution, 1830-1832 ‡x Campaigns ‡w g ‡a Sieges ‡z Poland . ´ ‡a Work cat.: Strzezek, T. Obrona Warszawy 6-7 wrzesnia 1831 roku, 1996

FIGURE 10-7 150

Subject term-subdivision record required for hierarchy

‡a Sieges ‡z Poland

F R E E - F L O AT I N G S U B D I V I S I O N S

A free-floating subdivision is a topical or form subdivision that may be used under many subject terms, as appropriate. Correctly formed subject heading strings containing free-floating subdivisions do not need to be established independently and so will not normally be found in LCSH or the SAF. There are five types of free-floating subdivisions (cf. SCM H1095): 1. Subdivisions that may be used after any subject (including names, titles, topics, etc.) or subject string if appropriate (subdivisions in the list at SCM H1095 with the instruction “Use under subjects”) 2. Subdivisions that may be used under classes of persons and ethnic groups (SCM H1100-H1103) 3. Subdivisions that may be used under personal, corporate, and family names (SCM H1105-H1120) 4. Subdivisions that may be used under place names (SCM H1140H1145.5) 5. Subdivisions that are controlled by pattern headings (SCM H1114H1200) There are four places to look for free-floating subdivisions: (1) lists of these subdivisions are found in SCM sections H1095-H1200 as noted above; (2) they are also conveniently indexed in the annual publication Free-Floating Subdivisions: An Alphabetical Index (Washington, D.C.: Library of Congress, Cataloging Distribution Service, 1989- ); (3) freefloating subdivisions are gradually being added as subdivision records to the SAF (see figures 10-8 and 10-9). Topical subdivisions are given in field X80; geographic subdivisions are given in field X81; chronological subdivisions are given in field X82; form subdivisions are given in field X85. Field 073 contains the SCM sections pertinent to the subdivision; and (4) authorization for free-floating subdivisions is also sometimes found in notes in LCSH term records (see figure 10-10).

AUTHORITY CONTROL OF TERMS: SUBJECTS FIGURE 10-8 073 180 480 580 667 680

681

185 485 485 485 680

681

550

Free-floating subdivision record (form)

‡a H 1095 ‡a H 1100 ‡a H 1103 ‡a H 1105 ‡a H 1110 ‡a H 1120 ‡a H 1140 ‡z lcsh ‡v Fiction ‡w nne ‡v Legends and stories ‡v Novels ‡v Stories ‡i Use as a form subdivision under names of countries, cities, etc., names of individual persons, families, and corporate bodies, and under classes of persons, ethnic groups, and topical headings for collections of stories or novels on those subjects. Also use under names of individual persons and historic events for individual works of biographical or historical fiction, and under animals for individual stories about animals. ‡i Reference under the heading ‡a Fiction

FIGURE 10-10 150 360

Free-floating subdivision record (topical)

‡a H 1095 ‡a H 1140 ‡z lcsh ‡x Colonies ‡x Colonial possessions ‡w g ‡x Territories and possessions ‡a Further subdivide headings of the type [place]--Colonies only by Africa, America, Asia and Oceania ‡i Use as a topical subdivision under names of countries, cities, etc., for works discussing collectively the colonies ruled by the country or city. Also use under headings of the type [topic]--[place] for works discussing collectively the colonies of a place in relation to those topics. ‡i Reference under the heading ‡a Colonies

FIGURE 10-9 073

231

Term record containing instructions for free-floating subdivision

‡a Larvae ‡i subdivision ‡a Larvae ‡i under individual animals and groups of animals, e.g., ‡a Fishes--Larvae ‡w g ‡a Developmental biology

The two tricks to using free-floating subdivisions are, first, to become familiar with the lists of subdivisions in order to know what subdivisions are available and, second, simply to follow the instructions. For example, the subdivision “Colonies” may only be used after jurisdictional headings or geographic subdivisions (see figure 10-8). Therefore, the string “Ants— Colonies” would not be correct.

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AUTHORITY CONTROL OF TERMS: SUBJECTS PAT T E R N H E A D I N G S

The concept of free-floating subdivisions is one way to deal with the need to use subdivisions in a variety of contexts without establishing each possibility in LCSH or the SAF. Another way is to use the concept of pattern headings, which antedates the free-floating concept and is used in other subject lists such as Sears. In reality, pattern headings are a way of authorizing free-floating subdivisions, but rather than simply list subdivisions allowed with particular classes of topics, pattern headings are based on a specific term. In LCSH, terms representing broad classes are chosen, and all possible subdivisions (with the exception of those otherwise authorized by the general free-floating list) are established for those terms. Pattern headings in LCSH appear to be in the process of being subsumed into the free-floating lists, but they still exist. One disadvantage to using pattern headings rather than free-floating subdivision lists is that if a subdivision is inappropriate to the chosen pattern term, it cannot be established for use by the class even though it might be broadly applicable to the class outside the pattern term. Such a subdivision must be independently established every time it is needed. General instructions for pattern headings are found in SCM H1146. Any subdivision established under the pattern term may be used if appropriate under any other term in its class unless a conflicting heading has been independently established in LCSH. Specific instructions for the patterns are found in SCM H1147-H1200. The pattern headings are conveniently categorized in SCM H1146:

Subject Field

Category

Pattern Heading(s)

SCM Section

RELIGION

Religious and monastic orders Religions Christian denominations Sacred works

Jesuits Buddhism Catholic Church Bible

H1186 H1185 H1187 H1188

HISTORY AND GEOGRAPHY

Colonies of individual countries Legislative bodies Military services

Great Britain—Colonies United States. Congress United States—Armed Forces United States. Air Force United States. Army United States. Marine Corps United States. Navy World War, 1939-1945 United States—History— Civil War, 1861-1865

H1149.5 H1155 H1159

Wars

H1200

AUTHORITY CONTROL OF TERMS: SUBJECTS SOCIAL SCIENCES

THE ARTS

Industries

Construction industry Retail trade Types of educational institutions Universities and colleges Individual educational institutions Harvard University Legal topics Labor laws and legislation Groups of literary authors Literary works entered under author Literary works entered under title Languages and groups of languages Literatures Musical compositions Musical instruments

SCIENCE AND Land vehicles TECHNOLOGY Materials Chemicals Organs and regions of the body Diseases Plants and crops Animals

Authors, English Shakespeare, William, 1564-1616. Hamlet Beowulf English language French language Romance languages English literature Operas Piano Automobiles Concrete Metals Copper Insulin Heart Foot Cancer Tuburculosis Corn Fishes Cattle

233 H1153 H1151.5 H1151 H1154.5 H1155.2 H1155.6 H1155.8 H1154 H1156 H1160 H1161 H1195 H1158 H1149 H1164 H1150 H1180 H1147

As an example of how pattern headings work, suppose we have a work about atrocities committed during the civil war in the former Yugoslavia in the early 1990s. There are two pattern headings for wars, “World War, 1939-1945” and “United States—History—Civil War, 18611865” (see the table above). The pattern heading “World War, 19391945” includes the subdivision “Atrocities” (see figure 10-11). This subdivision may be used under the heading for any war. The heading for the war in Yugoslavia is “Yugoslav War, 1991-1995.” The subject string for the work will be 650 0 ‡a Yugoslav War, 1991-1995 ‡x Atrocities.

FIGURE 10-11 053 150 681

Subdivision authorized by pattern

‡a D803 ‡b D804 ‡a World War, 1939-1945 ‡x Atrocities ‡i Example under ‡a Atrocities; Political atrocities; War crimes; ‡i and under reference from ‡a Military atrocities

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This subject string does not need to be established in LCSH and the SAF because it is authorized by the pattern heading for wars. If a subdivision controlled by a pattern heading is needed for a concept not covered by the pattern, the string must be established independently. For example, “Fumigation” is authorized as a subdivision under terms for plants and crops, following the pattern of “Corn.” It is not authorized, however, for use under buildings. If the cataloger encounters a book about fumigation of flour mills, he or she must establish the subdivision independently with the term “Flour mills” (see figure 10-12). GEOGRAPHIC SUBDIVISION

Most (but not all) LC subject terms may be subdivided by place name when dealing with geographical aspects of the topic. Terms are authorized for geographic subdivision “if they represent topics that could exist in a specific location or could be discussed in relation to a place” (SCM H364), with the following exceptions: Terms that have a corresponding free-floating subdivision that can be used under a place name. For example, there exist both a subject term “Gazetteers” and a free-floating subdivision “Gazetteers.” The subdivision is authorized for use under place names. Therefore, the subject term “Gazetteers” is not authorized to be subdivided geographically. The string “Gazetteers—Wyoming” is incorrect; rather, the string “Wyoming—Gazetteers” is used. Terms for general literary forms, e.g., “Poetry.” This is because literary forms are further subdivided by national adjectival qualifiers (e.g., “Haitian poetry”) to represent the form or genre originating in a specific country. Terms for literary or artistic forms qualified by regional geographic qualifiers, e.g., “Pottery, Central American.” Again, these terms are further subdivided by national adjectival qualifiers to represent the form originating in a specific country (e.g., “Pottery, Guatemalan”). Terms of the type “[Topic] in literature” and “[Topic] in art.” A number of headings representing certain types of names established in the SAF (cf. SCM H364).

FIGURE 10-12 150 550

Authority record required for subdivision used outside of pattern

‡a Flour mills ‡x Fumigation ‡w g ‡a Fumigation


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Terms that may be subdivided geographically are identified by the phrase “(May Subd Geog)” in LCSH and by the code “i” in field 008 position 06 (“DID” in RLIN, “Geo subd” in OCLC). The code “i” means “heading may subdivide geographically indirectly.” This means that when subdividing by a place located entirely within a country, the name of the country is interposed between the term and the local place name. For example, a study of cats in Paris would use the subject term “Cats,” which may be subdivided geographically. Interposing the country, the string would be “Cats—France—Paris.” Places within Canada, Great Britain, and the United States interpose the province, constituent country, or state instead of the country. A study of cats in London would be given the subject string “Cats—England— London”; a study of cats in Tucson would use the string “Cats— Arizona—Tucson” (note that abbreviations are not used for the larger jurisdiction). Note that the three countries that subdivide by a lower jurisdiction than the country name (Canada, Great Britain, and the United States) are not the same as the list of countries that qualify geographic names by a jurisdiction lower than the country level. These countries are Australia, Canada, Great Britain, Malaysia, the United States, and Yugoslavia (see above, under “Geographic Names Established as Subjects”). Subdivision by localities in Australia, Malaysia, and Yugoslavia interpose the country name, not the name used as a qualifier, although this name will appear as a qualifier at the end of the string: 650 0 ‡a Women scientists ‡z Australia ‡z Sydney (N.S.W.).

The same principle of latest entry applies to geographic subdivision practice as it does to geographic subject headings (see above, under “Latest Entry”). The book Through Matabeleland: The Record of a Ten Months’ Trip in an Ox-Waggon through Mashonaland and Matabeleland, first published in 1893, is partially described by the subject heading “Gold mines and mining—Zimbabwe—Matabeleland,” even though the book describes a time long before Zimbabwe came into existence. The effect of the practice of subdividing indirectly is to group geographic subdivisions not by city but by a larger geographic entity. There is a MARC 008/06 code “d,” meaning “heading may subdivide geographically directly.” This would mean the city rather than the larger entity would come first in the string. LC subject practice does not subdivide anything directly, so “d” is never used in this position. If a term may not be subdivided geographically, this position is left blank. This position is coded “n” (“not applicable”) for most name headings, because the concept is mainly applicable only to topical subject terms. One exception to coding name headings “n” in 008/06 is certain international corporate bodies, including the names of religions that have an

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international extent. Geographic subdivision is used with such bodies “only to bring out the actual physical presence of the corporate body or its individual members in the place indicated by the geographic subdivision.” The name authority record for “Catholic Church,” for example, is coded “i,” meaning it may be subdivided geographically when used as a subject. A study of the Catholic Church in Salt Lake City would be described by the subject string 610 20 ‡a Catholic Church ‡z Utah ‡z Salt Lake City.

Order of Subdivisions It is possible to have numerous subdivisions attached to a subject term. The effect of this is that each subdivision is further subdivided (or limited) by the subdivision to its right. Once more than a few subdivisions are added to a term, placement of the subdivisions can become confusing, and so LC has given some guidelines for the order in which they should appear. There are three basic orders for LC subject terms: (1) [Place]—[Topic]; (2) [Topic]—[Place]; and (3) [Topic]—[Topic] 1. [Place]—[Topic] is used to bring out aspects of a place. Subdivisions that may be used under place names are found in SCM H1140 and H1145.5. The general order for subject strings of this type is 651 0 ‡a [Place] ‡x [Topical subdivision] ‡y [Chronological subdivision] ‡v [Form subdivision].

For example: 651 0 ‡a United States ‡x History ‡y Civil War, 1861-1865 ‡v Almanacs.

2. [Topic]—[Place] is the pattern for terms that are authorized for geographic subdivision. There are two basic orders for such strings. One is: 650 0 ‡a [Topic] ‡z [Geographic subdivision] ‡x [Topical subdivision] ‡y [Chronological subdivision] ‡v [Form subdivision].

For example: 650 0 ‡a Tsunamis ‡z Japan ‡x History ‡y 20th century ‡v Anecdotes.

However, if the topical subdivision can be subdivided geographically (this is noted in the SCM and SAF in the same way as for headings, by “(May Subd Geog)” or code “i” in 008/06), the order changes:


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650 0 ‡a [Topic] ‡x [Topical subdivision] ‡z [Geographic subdivision] ‡y [Chronological subdivision] ‡v [Form subdivision].

For example: 650 0 ‡a English literature ‡x Censorship ‡z Ireland ‡y 19th century ‡v Bibliography.

3. [Topic]—[Topic] is used when the subject term may not be subdivided geographically. Its basic order is 650 0 ‡a [Topic] ‡x [Topical subdivision] ‡y [Chronological subdivision] ‡v [Form subdivision].

or, if the subdivision may be divided geographically, 650 0 ‡a [Topic] ‡x [Topical subdivision] ‡z [Geographic subdivision] ‡y [Chronological subdivision] ‡v [Form subdivision].

For example: 650 0 ‡a Artists ‡x Economic conditions ‡y 18th century ‡v Humor.

Variations on all of these are possible, and the orders given above are guidelines, not rules. It is useful when setting up subject strings to test their meaning by reading them backward, from right to left. For example, reading the following from right to left 650 0 ‡a Infants ‡z Belize ‡x Mortality ‡v Statistics.

represents statistics about the death rate in Belize of infants. The order makes a difference to the meaning of the string. 650 0 ‡a Rare books ‡v Bibliography ‡v Periodicals.

represents a periodical that contains bibliography of rare books. 650 0 ‡a Rare books ‡x Periodicals ‡v Bibliography.

represents a bibliography of periodicals about rare books.

MARC SUBJECT AUTHORITY RECORDS Fixed Fields Subject authority records are given in the same MARC format as name authority records. They are distinguished from name authority records by the coding in the fixed fields (for a complete description of fixed field coding, see chapter 2). Fixed fields are not shown in the figures in this chapter, but a fully coded subject authority record, including fixed fields, is given in figure 2-17.

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In subject authority records, field 008 position 14 (Heading use— Main or added entry) and position 16 (Heading use—Series added entry) will both be coded “b,” meaning the authorized heading is not appropriate for use as a main, added, or series entry. Conversely, 008/15 (Heading use—Subject added entry) should be coded “a,” for appropriate. In systems with authority control, such coding will mean that the system will only authorize the string found in the 1XX field of a subject authority record if it appears in a subject field (6XX), not if it appears in another field (e.g., 1XX, 7XX, 8XX). Subject authority records are also distinguishable by the coding of 008/06 (geographic subdivision), as explained above under “Subdivision Practice.” 008/11 should contain a code giving the thesaurus the term comes from. LC subject authority records will use the code “a” here. If a library adds a record for a locally used subject term, it should code this position “z,” for “other.”

Heading The authorized heading is given in the 1XX field. The following fields are appropriate for subject authority records: • 150 (topical subject heading) • 151 (geographic headings established in the SAF) • 180 (topical subdivision) • 181 (geographic subdivision) • 182 (chronological subdivision) • 185 (form subdivision)

In addition, a subject authority record may be made for a name heading (100, 110, 111) if the authority record is for a subject string (heading plus subdivisions). For example, the heading used for audio adaptations of Shakespeare plays is established in the SAF under the personal name heading for Shakespeare (see figure 10-13).

FIGURE 10-13 100 1 670 681

Personal name with subdivision

‡a Shakespeare, William, ‡d 1564-1616 ‡v Audio adaptations ‡a Work cat.: Kliman, B. W. Hamlet: film, television, and audio performance ... 1987. ‡i Example under ‡a Radio adaptations; ‡i and under reference from ‡a Audio adaptations


239

Only 100-15X fields authorize headings. 18X fields authorize subdivisions (see discussion above, under “Free-floating subdivisions,” with figures 10-8 and 10-9). There are no indicators in 15X authority fields. Subject authority records, as just noted, may be made both for terms and for term-subdivision strings. The term is given in subfield ‡a (see, for example, figure 10-10). The subfield in which a subdivision is given depends on its nature. Topical subdivisions are given in subfield ‡x (see figure 10-5). Chronological subdivisions are given in subfield ‡y (see figure 10-6). Geographic subdivisions are given in subfield ‡z (see figure 10-7). Genre/form subdivisions are given in subfield ‡v (see figure 10-13).

References References are given, as in name authority records, in 4XX fields for unauthorized terms and in 5XX fields for related terms. RT (related term) references are given in 5XX fields without subfield ‡w. BT (broader term) references are given in 5XX fields with subfield ‡w coded “g” (see, e.g., figure 10-3). NT (narrower term) references are given in 5XX fields with subfield ‡w coded “h.” As noted, LC subject authority records do not contain NT references, and so none are shown in figures in this chapter. A narrower term is shown on the genre/form authority record given in figure 9-7. Subfield coding in 4XX and 5XX fields is the same as for 1XX fields. For an example showing the use of several different subdivision subfields in 5XX fields, see figure 10-6.

Library of Congress Control Number LC subject authority records have an 010 field containing the LC control number (LCCN) for the record. LCCNs for subject authority records are distinguishable by the prefix “sh,” e.g., “sh 99002086.” For further information on the contents of the 010 field, see SCM H200. This field is only used in subject authority records that come from LCSH and should not be used in locally created subject authority records. 010 fields are not shown in figures in this chapter, but figure 2-17 contains an 010 field.

Library of Congress Classification Number Many LC subject authority records also have an 053 field containing the LC classification number used for the subject. Subfield ‡a contains the basic number. If there is a span of applicable numbers, the final number in the span is preceded by subfield ‡b. See, for an example, figure 10-11. If

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an explanation is needed about the classification number, it is given in subfield ‡c (see figure 2-17).

Cataloging Source The MARC code for the library creating or modifying the record is contained in the 040 field. Because this will differ depending on the circumstances of the creation and modification of the record, 040 fields have not been included in the figures in this chapter. LC subject authority records contain LC’s MARC code (DLC) in this field. For an example, see figure 2-17.

Citation of Sources As with name authority records, sources used in creating authority records are cited in 670 fields. The first 670 field in a subject authority record is for the work being cataloged that initiated the creation of the subject term. The format used by LC for this citation is 670

‡a Work cat: [LCCN]: Main entry, Title, Imprint date.

Titles may be abridged. For an example, see figure 10-2. Further 670 fields are added as needed to cite other research (e.g., figure 10-1). If it is thought useful, sources consulted that did not give any information about the heading may be cited in a 675 field (see figures 10-2 and 10-5). Current LC policy mandates the citation of sources used in creating the authority record. Early policies did not. Therefore, the majority of LC subject authority records currently do not contain 670 or 675 fields (as seen in many of the figures in this chapter).

Scope Notes Scope notes, if necessary, are given in 680 fields. The text is given in subfield ‡i. If a subject term is mentioned in the note, it is given in subfield ‡a. See, for example, figure 9-2. Guidelines on the use and contents of scope notes in LCSH are given in SCM H400.

Form of Geographic Subdivision A new field, 781, has been defined for use in authority records for geographic names. This field gives the form of the heading when it is used as a geographic subdivision. For example, as seen in the 781 field of figure 1014, a study of ants on Mount Alexander would be given the subject string 650 0 ‡a Ants ‡z Australia ‡z Alexander, Mount (Vic.).

This field has only been in use since early 1999, so the majority of geographic heading records do not have it, but it is clearly a very useful field.

AUTHORITY CONTROL OF TERMS: SUBJECTS FIGURE 10-14

241

Form of geographic subdivision

151 451 550 670

‡a Alexander, Mount (Vic.) ‡a Mount Alexander (Vic.) ‡w g ‡a Mountains ‡z Australia ‡a Work cat.: Selwyn, A. R. C. Geological sketch of the country in the vicinity of Mnt. Alexander, 1977: map recto (facsim. of 1854 ed.) 670 ‡a Aust. 1:250,000 map series gaz., 1975 ‡b (Alexander, Mount, mt, 37°00'S,144°18'E, Vic.; also lists several in other states) 675 ‡a Lippincott; ‡a Rand McNally; ‡a Web. geog.; ‡a Times world index-gaz.; ‡a BGN, Aug. 27, 1986 781 0 ‡w n ‡z Australia ‡z Alexander, Mount (Vic.)

If a geographic heading is not to be used for subdivision, this information is given in a 667 note (see figure 10-4). A term that is not valid for use as a subject heading is also not valid for use as a subject subdivision. Guidelines are given in SCM H836.

NOTES 1. For information, see the AAT website at . 2. The SACO program is explained at . 3. Subject Cataloging Manual: Subject Headings, 5th ed. (Washington, D.C.: Library of Congress, Cataloging Distribution Service, 1996, with periodic looseleaf updates), also available on Cataloger’s Desktop. 4. Numerous headings do not conform (e.g., “English diaries,” “French essays,” “German shepherd dog,” “Insurance, Nuclear hazards”). 5. An exception is made for entities in more than two political jurisdictions (“Middle East”), international bodies of water (“English Channel”), and certain entities whose jurisdiction is disputed (“West Bank”). None of these are qualified unless necessary to break a conflict. 6. This list, from SCM H810, differs slightly from the instructions found in AACR2 23.4C-D by the absence of the USSR. This is because of latest entry practice (see the next section): no subject string would contain a place-name qualified by USSR because such forms are not the latest form of the place-names there. 7. Exceptionally, no qualifier is added for Jerusalem, New York City, or Washington, D.C. For example, “Jerusalem Region,” “New York Metropolitan Area,” “Washington Suburban Area.”

11

AUTHORITY CONTROL OF TERMS Genre/Form

Genre or form terms are terms that describe materials based on what they are rather than what they are about. Although such terms are not new, the making of a distinction between subject terms and genre/form terms is still something of a novelty in the broader library world. During the 1970s certain library communities began to take serious interest in the use of genre/form terms (particularly the rare book, archival, and visual materials communities), and a push was made for MARC (Machine-Readable Cataloging) fields specifically intended to contain this type of data. Two fields were initially approved: first, 655 for form/genre terms and, later, 755 for physical characteristics terms. These two fields were combined in 1995 when 755 was made obsolete; all such terms are now coded in MARC 655 fields.1 Form subdivisions have already been discussed in chapter 10. It should simply be noted here that form subdivisions in subject strings currently coexist in bibliographic records with form headings, even though some redundancy may result. For example, a Shaker hymnal might properly have both the subject heading 610 20 ‡a Shakers ‡v Hymns.

and the form heading 655 7 ‡a Hymns. ‡2 rbgenr

The use of genre/form terms in the 655 field is still very new, and therefore few national standards are in place. LC has issued few rulings on their use, and so at the moment it is up to individual libraries to implement local policies if they desire consistency in their catalog.

USE OF APPROVED THESAURI As most libraries will not make up their own list of subject terms, rather relying on an already established subject thesaurus or list such as LCSH

242

AUTHORITY CONTROL OF TERMS: GENRE/FORM

243

(Library of Congress Subject Headings) or Sears List of Subject Headings, 17th ed. (New York: Wilson, 2000), so most libraries will not create genre/form thesauri for exclusive use in their catalog. Instead, they will use terms from established thesauri, perhaps supplemented with a few terms they need for local use not found in the thesauri. Because there is a substantial number of thesauri containing form/ genre terms, a code is required as part of the 655 form/genre string specifying the thesaurus the term comes from. This code is given in subfield ‡2. For example, in the Shaker hymn book example above, the term “Hymns” comes from Genre Terms: A Thesaurus for Use in Rare Book and Special Collections Cataloguing, whose code is “rbgenr.” If a library makes up terms not in any of the approved thesauri, the term should be coded “local” in subfield ‡2.2 A complete list of codes for thesauri approved for use in 655 fields is found in the MARC Code List for Relators, Sources, Description Conventions (Washington, D.C.: Library of Congress, Cataloging Policy and Support Office, 2000, also available on Cataloger’s Desktop and at ). The following list contains the most prominent thesauri from that list; it is not a complete list. The subfield ‡2 code for each is given in parentheses at the end of its entry.

PROMINENT THESAURI CONTAINING GENRE/FORM TERMS Art and Architecture Thesaurus, 2nd ed. (New York: Oxford University Press, for the Getty Art History Information Program, 1994), also available at (aat). Binding Terms: A Thesaurus for Use in Rare Book and Special Collections Cataloguing (Chicago: Association of College and Research Libraries, 1988) (rbbin). Genre Terms: A Thesaurus for Use in Rare Book and Special Collections Cataloguing, 2nd ed. (Chicago: Association of College and Research Libraries, 1991) (rbgenr). Guidelines on Subject Access to Individual Works of Fiction, Drama, Etc., 2nd ed. (Chicago: American Library Association, 2000) (gsafd). Library of Congress Subject Headings, 24th ed. (Washington, D.C.: Library of Congress, Cataloging Distribution Service, 2001), also available on Cataloger’s Desktop and in the LC, RLIN, and OCLC Subject Authority File (lcsh). Medical Subject Headings (Bethesda, Md.: National Library of Medicine, 1960- [annual edition]), also available at (mesh).

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Moving Image Materials: Genre Terms, Martha M. Yee, comp. (Washington, D.C.: Library of Congress, Cataloging Distribution Service, 1988) (mim). TGM: Thesaurus for Graphic Materials (Washington, D.C.: Library of Congress, Cataloging Distribution Service, 1995) (part II, “Genre and Physical Characteristic Terms”), also available at (gmgpc). Some of the publications listed above also appeared in the list of subject thesauri in chapter 10. Subject and genre/form thesauri overlap extensively because many subject terms can also represent form/genre concepts, and conversely, most genre/form terms can also represent subject concepts. For example, LCSH contains terms such as “Latvian drama,” “Manuscripts, Mexican (Pre-Columbian),” “Electronic journals,” and “Large type books.” These are all primarily genre/form terms, but can all be used as subject terms for works written about, e.g., pre-Columbian Mexican manuscripts or Latvian drama. A library making a strict division between genre/form terms and subject terms would code the term “Large type books” as a subject in a record for a study of large type books: 650 0 ‡a Large type books.

but would code the term as a genre/form in a record for a work printed in large type: 655 7 ‡a Large type books. ‡2 lcsh3

If the library indexes subject terms separately from genre/form terms, the user will be able to separate out large type books by searching for the term in the genre/form index; another user interested in the history of large type books will search in the subject index for the term and will not be presented with a result mainly consisting of examples of large type books rather than works about them. This seems very useful. However, probably because the use of form/genre terms in 655 fields is still relatively new, LC (Library of Congress) continues to code many form/genre terms as subjects in 650 fields. “Large type books” is an example. The LCSH scope note for this term reads: “Here are entered books set in a type size larger than normal for the benefit of persons with impaired vision, as well as works about such books.” In other words, LC catalogers will use this term in a 650 subject field both for examples of large type books and for works about them. The user interested in form rather than subject (or vice versa) will simply have to sort the results out for himself. Libraries wishing to realize the benefits of genre/form indexing separated from subject indexing will need to revise incoming LC (and other) records containing such headings.


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Another prominent example of LC coding form terms as subjects is the LC’s practice with literature headings. If a work is a collection of literary texts by several authors, LC will include in the record a subject heading for the literary genre (see SCM H1775 3a). For example, a work containing a selection of Chinese plays by different authors would be assigned the subject heading 650 0 ‡a Chinese drama.

As library users become more used to distinguishing between subject and genre/form terms, such practices will become confusing. A user searching the term “Chinese drama” in the subject index will expect to find there works about Chinese drama and will be surprised—and perhaps irritated—to find instead examples of Chinese drama.

MULTIPLE THESAURI IN A SINGLE DATABASE Given the fact that genre/form terms from many different thesauri appear on records in the international cataloging databases, including records emanating from LC, a library wishing to make good use of genre/form terms will need to confront the problem of how to deal with multiple thesauri in its unified catalog. There are three basic problems: disagreement over choice of the authorized term, disagreement over equivalence relationships, and disagreement over hierarchy. Thesauri frequently disagree over the authorized term to express a concept. For example, LCSH uses the term “Children’s literature” for literary works written for children. Genre Terms: A Thesaurus for Use in Rare Book and Special Collections Cataloguing (RBGENR) uses the term “Juvenile literature.” The cross-reference structure in these two thesauri demonstrates that these are genuinely equivalent terms covering the same concept: LCSH gives “Juvenile literature” as a cross-reference to “Children’s literature”; RBGENR gives “Children’s literature” as a cross-reference to “Juvenile literature.” If a library uses both LCSH and RBGENR in its catalog, it will need to choose which term its own policy will allow. If it does not make such a choice, the user of the genre/form index in the catalog may be confronted with a display such as the following: Children’s literature [records containing the term] Children’s literature search under Juvenile literature

Conversely, if the user started the search looking for “Juvenile literature,” the following display might appear:

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AUTHORITY CONTROL OF TERMS: GENRE/FORM Juvenile literature [records containing the term] Juvenile literature search under Children’s literature

This is unnecessarily confusing to the user: Why should he or she find records using a term and then be given the message that the term is not authorized and he or she should instead search under another term? The situation flies in the face of the basic principle underlying authority work that headings should be both consistent and unique: if a library does not chose one or the other, the headings will not be consistent. The “Juvenile literature” versus “Children’s literature” problem is simply a matter of choosing one term rather than another to express a concept between equivalent terms. Thesauri may also disagree on the equivalence relationship itself. For example, LCSH considers “Anthologies” and “Chrestomathies” to be equivalent and chooses “Anthologies” as the authorized term. RBGENR sees chrestomathies as a type of anthology, but does not consider the two terms equivalent. Instead, it authorizes both terms, with “Chrestomathies” a narrower term to “Anthologies.” The difference is probably because of the rare book community’s desire for more specificity than was felt necessary in LCSH. A library using both thesauri will need to make a decision: Are the terms equivalent or not? If the library does not make a decision, the cross-reference structure of the terms, one coming from LCSH and two from RBGENR, will make a confusing display similar to the following: Chrestomathies [records containing the term] Chrestomathies search under Anthologies Chrestomathies search also under the broader term Anthologies

If the library chooses the RBGENR relationship, a further problem may develop: if an incoming record contains the genre/form term “Anthologies” and it originated in LCSH (as shown by the subfield ‡2 code), should the cataloger try to determine if the work is a chrestomathy and, if so, change the heading? This may seem an excessive amount of work, but if the library specializes in rare books it might be justifiable. A third point of disagreement between thesauri is the hierarchical relationship between terms. A minor point of disagreement has to do with the specificity of the thesaurus: one thesaurus may subdivide a concept into narrower terms than another. For example, the Art and Architecture Thesaurus (AAT) has the term “Landscapes (Representations),” used for creative works depicting outdoor scenes. This term is at the bottom of the


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hierarchy and all such scenes will use it. The Thesaurus for Graphic Materials (TGM) uses the same term, but has four narrower terms: “Landscape drawings,” “Landscape paintings,” “Landscape photographs,” and “Landscape prints.” In a similar question to the one about anthologies and chrestomathies, if a library uses both AAT and TGM in its catalog, would a cataloger want to examine the incoming AAT term “Landscapes (Representations)” and change it to the more specific TGM term if appropriate? In most cases this would probably be considered wasted effort, but in an art library it might not. A more serious problem in reconciling thesauri within a single catalog is the hierarchy itself. Because the major thesauri grew up independently, the hierarchical structure of one is rarely the same as that of other thesauri. For example, the term “Diaries” appears in LCSH, RBGENR, and AAT, with three different hierarchical structures: LCSH: RBGENR: Philology NT Literature NT Record-keeping works NT Diaries NT Diaries

AAT: NT <document genres> NT <document genres by form> NT journals (accounts) NT diaries

What is the broader term to “Diaries”? Will the library choose “Literature”? “Record-keeping works”? “Journals (Accounts)”? All three? It seems important that libraries, if they wish to take advantage of the rich potential of genre/form terms in their catalog records, try to make local policy decisions vis-à-vis thesaurus reconciliation. Part of this includes making authority records for the terms. Notes could be included in these records showing conflicting terms from different thesauri, the main term in the record being the one chosen for use in the library, with others given as cross-references. A fair amount of intellectual effort needs to go into this beyond simply choosing one term over another. A library might want to create a hierarchy of thesauri for purposes of selecting terms. For example, it might want to make it the policy that if an LCSH term conflicts with an AAT term, the library will always choose the LCSH term (or vice versa). Another possibility is to create policies for classes of terms. For example, a library might decide that the AAT will always be used for art terms even if it conflicts with another thesaurus’s term; for literary forms, GSAFD or LCSH terms will always be used; and for terms having to do with physical aspects of the item (binding, etc.), the rare book thesauri (RBGENR, RBBIN, etc.) will always be favored. The actual policy the library chooses is not as important as the act of making policies. This is

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particularly crucial now, when the number of genre/form terms in catalogs is still likely to be relatively small. Another aspect of authority work with genre/form terms, one that probably does not lend itself as well to policy making as choice of terms does, is the problem of what to do with conflicting hierarchies. An example was seen above with the term “Diaries.” The best solution may be to have the library assign a single person to work out the hierarchies for the terms used in the library’s catalog. Decisions about choice of term help here. If a decision has been made, for example, to use terms from one thesaurus for literary terms—perhaps LCSH—the decision would also imply that LCSH’s hierarchy would be used for these terms. These hierarchies could coexist perfectly well in a catalog with hierarchies for art terms taken from AAT: there are few places where the hierarchies would intersect. Where they do intersect, however, some decision making will be required about which hierarchy is more logical given the content and nature of the library’s catalog. It would be possible to ignore this aspect of genre/form authority work and simply make decisions about form of terms without paying any attention to hierarchy, but doing so gives up one of the primary advantages of the thesaurus structure, that of leading the user from one term to other related terms in a logical manner. The procedures and problems described above are by no means unmanageable. The Brigham Young University Library made a decision in 1998 to index genre/form terms, which meant putting the terms under authority control. This library is a medium-sized academic research library with holdings of around 4,000,000 items. When the project began there were approximately 47,000 records containing a total of about 75,000 as-yet uncontrolled genre/form terms. It took one cataloger (namely, the author of this book), assisted by a few others, approximately two hours a week for two years to make authority records for these terms, making decisions about hierarchy and choice of term along the way. After this initial push the library settled into a maintenance mode: when a new unauthorized term enters the catalog, it is either changed to correspond to a term in the authority file or a new authority record is made for it. In other words, it is possible to bring genre/form terms under authority control. One thing that will help is the reconciliation of the major thesauri. Conflict between thesauri may be natural, but it is not a necessary state of affairs. With such a small group of approved thesauri, coordination is possible to ensure that in the future at least new conflicts are not created, and work is under way to reconcile the thesauri and iron out existing conflicts, at least for choice of terms if not hierarchical structures. In the early 1990s a reconciliation group was organized under the leadership of the Association of College and Research Libraries Rare Books and Manuscripts Section (RBMS) thesauri4 and the AAT. Representatives from most of the other “official” thesauri attended their meetings, and an attempt was


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made to eliminate differences between the thesauri. The reconciliation group has since disbanded; although the result was not total reconciliation between the thesauri, progress was made, and the editorial board of the thesauri I am most familiar with, the RBMS thesauri, has been active over the last several years in incorporating changes arising from this reconciliation project into its vocabulary. The RBMS Bibliographic Standards Committee is the institutional editor of the RBMS thesauri, actively adding new terms to the thesauri and occasionally changing existing terms. As a result of the reconciliation project, it is very conscious of the need for the thesauri to remain in sync, and so an important part of its work is to compare proposed new terms and changes with terms in the other major thesauri. The existence of a term elsewhere will usually heavily influence the choice of the term for the RBMS thesauri. Other thesauri, too, continue to move toward the goal of reconciliation. The term “Landscapes (Representations)” has been mentioned above in the context of differences in specificity of thesauri, being split in TGM into narrower terms not present in AAT. Until 1997 this term was unqualified in TGM (“Landscapes”), but in January of that year, as a result of the reconciliation, it was changed to match AAT’s “Landscapes (Representations).” Given the multiplicity of thesauri that potentially may have to coexist in a library’s catalog, the reconciliation movement is encouraging.

MARC CODING OF GENRE/FORM TERM AUTHORITY RECORDS There is as yet no mechanism for sharing authority records for genre/form terms between libraries, because there is no national database of genre/form authority records such as the NAF for names or the SAF for subjects. However, a MARC framework has been set up for these records, and many libraries have begun creating authority records on their own.5

Variable Fields The genre authority record is formatted almost exactly as subject authority records are. Because the MARC format for subject authority records was discussed in chapter 10, an extensive discussion will not be repeated here. However, there is one major difference: genre terms are given in X55 fields. The authorized term is given in a 155 field, “search under” references are given in 455 fields, and “search also under” references are given in 555 fields. X55 fields have no indicators, and subfields are the same as for subject authority records (see figure 11-1). Note in this figure that the library has chosen to follow the AAT hierarchy rather than the LCSH hierarchy. The scope note is from AAT.

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FIGURE 11-1

Genre/form authority record

155 455 555 670 670 680

‡a Jigsaw puzzles ‡a Puzzles, Jigsaw ‡w g ‡a Dissection puzzles ‡a AAT, Feb. 9, 2001 ‡b (Jigsaw puzzles, with BT Dissection puzzles) ‡a LCSH, Feb. 9, 2001 ‡b (Jigsaw puzzles, with BT Puzzles) ‡i Puzzles of irregularly shaped and tightly interlocking pieces of pasteboard or wood that when fitted together typically form pictures or designs; name derived in the 20th century from the type of saw used to create the intricate cutouts.

Like subject authority records, genre/form authority records can be made for term-subdivision strings as well as for terms alone. Subdivision practice should probably follow the rules of the thesaurus that the term was taken from, but individual libraries might make other rules. For example, if a form term was taken from LCSH, it might not be authorized in LCSH for geographic subdivision. A library might by policy choose to follow LCSH in its genre/form practice, or it might choose to make a blanket policy that all genre/form terms in its catalog may be subdivided geographically. Figure 11-2 is an example of a genre/form term-subdivision string formed according to the rules of LCSH and the SCM (Subject Cataloging Manual). Figure 11-3 is an example of such a string formed under the rules of RBGENR, which allows a topical subdivision after the term “Advertisements.” The library has chosen to use only LCSH terms for the subdivisions as a means of controlling the subdivision vocabulary. FIGURE 11-2 155 670

‡a Greek literature ‡v Translations into English ‡a LCSH, Jan. 15, 2001 ‡b (SH Greek literature; Form subdiv. --Translations into French, [German, etc.] used under individual literatures)

FIGURE 11-3 155 455 455 455 555 555 670 670

Genre/form term + subdivision (LCSH)

Genre/form term + subdivision (RBGENR)

‡a Advertisements ‡x Patent medicines ‡a Advertisements ‡x Medicines, patent, proprietary, etc. ‡a Advertisements ‡x Proprietary drugs ‡a Advertisements ‡x Proprietary medicines ‡w g ‡a Advertisements ‡x Drugs ‡a Advertisements ‡x Drugs, Nonprescription ‡a RBGENR, 1991: ‡b p. 2 (Advertisements) ‡a LCSH, Feb. 4, 2001 ‡b (hdg. Patent medicines; UF Medicines, Patent, proprietary, etc.; Proprietary drugs; Proprietary medicines; BT Drugs; RT Drugs, Nonprescription)


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Fixed Fields Coding of fixed fields is fully discussed in chapter 2. However, some discussion is necessary here because there is no standard for coding fixed fields in genre/form authority records yet. It seems likely that the fixed field coding for a genre authority record should generally follow the standards for subject authority records. For example, because there is no heading use field defined for genre/form added entry, the heading use field for subject added entry (008/15) should probably be used for this purpose, coded “a” for “appropriate” on genre/form authority records. Systemwide definitions will need to be made in individual library systems to ensure that this coding is correctly interpreted. In most systems, this coding controls both display to the public of notes and references in the various indexes and the authorization of headings in the bibliographic record. In other words (if the system definitions have been set up properly), code “a” will ensure that genre/form references and scope notes display in the library’s genre/form index and will also ensure that a correctly formed heading in a bibliographic record corresponding to a 155 form in the authority record will be interpreted by the system as authorized. The one difference in coding should be in the 008/11 field, containing the code giving the thesaurus the term comes from. If the term comes from LCSH, it could be coded “a” as most subject authority records are, but if it comes from another thesaurus, another code must be given. The most likely codes other than “a” used in genre/form records would be “c” (MeSH), “r” (AAT), and “z” (other). It is possible that other thesauri will be assigned codes for this position as more libraries begin making genre/ form authority records.

Creation of Records Based on Existing Records Because there is no sharing of genre/form authority records yet, one technique some libraries have been using to speed the process of building a genre authority file is to duplicate existing subject authority records where available and then convert them to genre authority records. This is certainly a time-saving device, but more is involved than just changing X50 fields to X55. Frequently, references and other fields in LCSH records are inappropriate for genre/form records and should be removed or modified. Additionally, comparison with other thesauri will usually require other modifications. For example, the LCSH authority record for “Science fiction” could be used as a base for a genre/form authority record but would have to be considerably modified (see figure 11-4). The 010 field would be removed, because the LCCN (LC control number) only applies to the subject

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FIGURE 11-4

Subject authority record used as base for genre authority record

Part 1: Subject authority record 010 040 053 053 053 150 450 450 550 550 550 550 680

681

‡a sh 85118629 ‡a DLC ‡c DLC ‡d DLC ‡d Uk ‡d DLC ‡a P96.S34 ‡c Mass media ‡a PN3433 ‡b PN3433.8 ‡c History ‡a PN6120.95.S33 ‡c Collections of fiction ‡a Science fiction ‡a Science ‡v Fiction ‡a Science stories ‡w g ‡a Adventure stories ‡w g ‡a Fiction ‡w g ‡a Literature and science ‡a Future in literature ‡i Here are entered collections and discussions of science fiction as realized in various media, including films, television, comic strips, etc., as well as works limited to fiction in the literary sense. Works dealing with science fiction as realized in a specific non-literary medium are entered under the specific heading, e.g., ‡a Science fiction films. ‡i Note under ‡a Fiction genres

Part 2: Genre/form authority record 053 155 455 455 455 455 555 555 555 555 555 555 555 555 670 670

670 680

‡a PN6120.95.S33 ‡c Collections of fiction ‡a Science fiction ‡a Science stories ‡a Apocalyptic fantasies ‡a End-of-the-world fantasies ‡a Fiction, Science ‡w g ‡a Adventure stories ‡w g ‡a Fiction ‡w g ‡a Fantasy literature ‡w h ‡a Star Wars fiction ‡w h ‡a Star Trek fiction ‡w h ‡a Traveller (Game) ‡w h ‡a Voyages, Imaginary ‡a Fantasy fiction ‡a LCSH, April 14, 2001 ‡b (Science fiction) ‡a GSAFD, 2000: ‡b p. 30 (Science fiction, with RT Fantasy fiction; NT Voyages, Imaginary; UFs Apocalyptic fantasies; End-of-the-world fantasies; Fiction, Science; Space flight (Fiction); Time travel (Fiction)) ‡a RBGENR, 1991: ‡b p. 57 (Science fiction, with BT Fantasy literature) ‡i Here are entered works of science fiction as realized in literary media. Works of science fiction as realized in a specific non-literary medium are entered under the specific heading, e.g., ‡a Science fiction films.


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authority record. Similarly, the 040 field should be removed because the libraries involved in the creation of the subject authority record are not involved in the creation of the genre/form record. It should be replaced with a 040 field containing the creating library’s MARC code (this has not been done in this example). Only the last 053 field applies to examples of science fiction; the first two apply only to science fiction as a subject and so are not appropriate to the genre/form authority record. They should be removed. The 450 field “Science ‡v Fiction” begins with a subject term, not a genre/form term, and so probably should not remain in the genre/form record. Similarly, the last two 550 fields contain authorized subject terms that are not also form terms, and thus references to them do not belong in a genre/form authority file. On the other hand, “Adventure stories” and “Fiction” may legitimately remain because corresponding genre/form authority records could logically be made in the genre/form authority file for each of them. The scope note in the 680 field must be modified somewhat to make it applicable to a genre/form search. Finally, the 681 field will be removed unless there actually is a term “Fiction genres” in the genre/form authority file containing a note about the term “Science fiction.” If the library desires to have narrower terms in genre/form authority records (versus LCSH’s policy of not including them in subject authority records), these will need to be added. In this example, the first three narrower terms (555 coded ‡w h) are from LCSH, but were not on the original record. Additionally, 670 fields should be added to the record giving the source of the term as well as other thesauri containing the term (or alternate terms). In this case, the term as formed in GSAFD had additional cross-references and related terms, some of which were added to the genre/form authority record. The term as formed in RBGENR appears to have a different hierarchy from that of GSAFD (BT Fantasy literature rather than RT Fantasy fiction), but this hierarchy is in fact compatible with GSAFD and LCSH, so all three are incorporated into the record. The procedure described above is a good example of the decision making necessary in reconciling three different thesauri to choose a single term and hierarchical structure for the library’s catalog.

Subfield ‡2 Subfield ‡2 is a required part of the 655 field in the bibliographic record, showing which thesaurus the term came from, as discussed above. The only codes allowed for use in this subfield are those found in the MARC Code List for Relators, Sources, Description Conventions, currently containing thirty authorized codes. In other words, these codes, like the terms themselves, are also a closely controlled vocabulary. It would seem useful,

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therefore, to include this subfield coding in the authority record to take advantage of the automatic authority functions most library systems now have, to ensure that subfield ‡2 is correctly formed, as well as the term itself. Unfortunately, the current MARC authority standard has not defined subfield ‡2 as valid for X55 fields. An individual library might choose, however, to define the subfield as authorized in its own system. The Brigham Young University Library, for example, has experimented with using subfield ‡2 in 155 and 555 fields in its genre/form authority records and has found it to be a very useful tool for controlling the entire 655 string (both the term and subfield ‡2) in its bibliographic records. For an example of such a nonstandard genre/form authority record, see figure 11-5. Note that in this instance the library did not feel it necessary to add a 670 field for the source of the term, because that information was implicit in the subfield ‡2 coding of the heading. FIGURE 11-5 155 555 680 670

Genre/form authority record containing ‡2 (nonstandard)

‡a Family histories. ‡2 rbgenr ‡a Genealogies. ‡2 rbgenr ‡i Use for narrative family histories. For family trees and other genealogical listings of family members, use ‡a Genealogies. ‡a LCSH, Sept. 30, 2000 ‡b (ref. record hdg.: Family histories; with instruction on use of subdivision Genealogy)

NOTES 1. A useful summary of the rise of form/genre terms is found in Harriette Hemmasi, David Miller, and Mary Charles Lasater, “Access to Form Data in Online Catalogs,” ALCTS Newsletter 10, no. 4 (July 1999), available at . 2. In a change to the MARC structure approved in 2002, but not yet implemented at the time of publication of this book, 2nd indicators 0-6 will be valid for the 655 field with the same meanings as for other 6XX fields. This means that terms coming from thesauri designated by these indicators will not use subfield ‡2. For example, terms from LCSH will be identified by 2nd indicator “0” rather than “‡2lcsh.” 3. After implementation of the change explained in footnote 2, this string will be coded: 650 0 ‡a Large type books. 4. The RBMS thesauri are RBBIN, RBGENR, and five other thesauri (see the thesaurus list above). 5. For example, the libraries of Brigham Young University, the University of Washington, and Harvard University have created authority records for genre/form terms in use in their catalogs, as announced at the LITA/ALCTS-CCS Authority Control Interest Group, 9 July 2000, Chicago, Illinois, during the ALA Annual Conference.

THE LIBRARY AND BEYOND

12

SOURCES OF AUTHORITY RECORDS Most of this book has focused on the creation of authority records from scratch. However, for most headings needed in bibliographic records, someone somewhere has already established the heading and created an authority record. In such cases it makes economic sense for libraries to obtain these already-created authority records and use the headings as established there, rather than doing all the authority work themselves.

The Utilities The best sources of authority records available to libraries are the Name Authority File (NAF) and the Subject Authority File (SAF). These contain millions of names and terms and reside at the Library of Congress (LC) and the two major bibliographic utilities, RLIN (Research Libraries Information Network) and OCLC Online Computer Library Center.1 Because LC is a government institution, access to its files is free. However, since implementation of LC’s new integrated library system in late 1999, system difficulties have made public access to authority records impossible. (Bibliographic records are available at .) This is said to be a temporary system problem, but in the meantime the only access to the authority files available to librarians outside LC is through RLIN or OCLC. Both RLIN and OCLC access are available to institutions for a fee. The fee structures differ between the two, but fees are generally based on the amount of time spent logged in and the number of records looked at or downloaded. Each of the utilities contains a database of bibliographic records as well as the NAF and SAF. Because each has a different group of contributing libraries, their bibliographic databases are quite different from each other,

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although they both receive all records cataloged at LC. However, the NAF and SAF databases contained in the two utilities are nearly identical because of the way these databases are distributed. To contribute a new record to the NAF or change an existing record, a NACO (Name Authority Cooperative Program) cataloger must log into the utility subscribed to by his or her library (for more on NACO cataloging, see the next section of this chapter). Each utility has its own procedures, but they both allow catalogers to work on records for a time before they are sent to the main database. Once the cataloger decides the record is finished, he or she “produces” the record. At this point the record is sent to a central database at LC. The record is added to LC’s own authority file and is then sent back out to the authority files in both utilities. Turnaround time is approximately twenty-four hours from the time of production to appearance in the authority files. Because of this procedure, it doesn’t matter whether a PCC (Program for Cooperative Cataloging) cataloger works in RLIN or OCLC, because his or her authority records are distributed to both. Once in the authority file, records are available to any subscribing library to download into its own local authority file. The SAF is also identical in the two utilities. Modifications and additions are made only at LC, and these are distributed simultaneously to RLIN and OCLC.

The Library of Congress As mentioned above, LC has traditionally given free access to both its bibliographic and authority files, but for the moment access to the authority files is unavailable to non-LC catalogers. However, LC has also always sold large groups of its records via FTP (file transfer protocol) or tape load through its Cataloging Distribution Service (CDS), and this may be a better choice for some libraries anyway. CDS’s MARC Distribution Service (see ) offers bibliographic records in hundreds of foreign languages as well as records for most current English-language publications. Of more interest to the subject of this book, however, is the availability through the MARC Distribution Service of both authority files. A library can order the complete files, download them into its catalog, and then subscribe to a weekly service that will send it all new and changed authority records. The current names file offered by CDS contains nearly 5,000,000 records and is growing by about 220,000 per year; the subject file contains approximately 260,000 records and is growing by about 7,000 records per year. It is unlikely that any but the largest libraries would need the entire names file. However, the entire subject file is more useful and is rea-


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sonably priced. Once loaded into a library’s catalog, the SAF can act as an electronic equivalent to the printed version of LCSH (Library of Congress Subject Headings). All headings and cross-references found in LCSH will display to the library user, allowing users to navigate the thesaurus even if they do not have access to the print edition. Certain other parts of LCSH, such as class numbers associated with certain subject headings, would probably not display unless the library system allowed public access to the authority records. Once the entire file has been loaded into a library’s cataloging system, subscription to the weekly update service allows the library to keep up-to-date with a minimum of difficulty.

Outsourcing A number of vendors offer outsourcing services for authority work.2 These companies can do a variety of work, from total implementation of the library’s authority control program to specific tasks, such as comparison of the library’s existing bibliographic headings and authority files against the NAF and SAF and sending the library authority records that it needs for its bibliographic record headings. Once a vendor knows what is in a library’s authority file, it can also send updated authority records as they are changed in the NAF or SAF. If desired, they can also periodically examine a library’s new headings and send back needed records. Authority vendors also offer bibliographic record correction services, including correction to indicator and subfield values in all fields, not necessarily just in heading fields. Another type of outsourcing libraries frequently engage in is the purchase of bibliographic record sets accompanying groups of materials such as government documents, microform sets, or electronic book “bundles.” Sometimes the vendor of the records will supply, in addition to the necessary bibliographic records, authority records matching headings in the bibliographic records. This can be very useful, but integrating these records into a library’s existing authority files is sometimes difficult, particularly when dealing with incoming records that duplicate records already in the file. Some systems replace the existing record with the incoming new record, but this is not always a good thing, particularly if the library has modified the original record, for example, with locally needed cross-references or notes to catalogers on how to deal with a particular series or author. On the other hand, if the matching records are not replaced, the file is inevitably left with duplicate headings. In deciding whether to use an outsourcing company for all or part of its authority work, a library must always balance competing considerations: Is it more or less expensive to have an outside company do the work than it would be to do it in-house? Often, outsourcing is not in fact

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a money saver, but libraries frequently turn to vendors even so because they do not have the personnel in-house to do the work. Is local control of the catalog of importance to the library? The library’s catalog is its face to its users, particularly remote users. Allowing outside vendors to manipulate records in a library’s catalog is not a decision to be taken lightly. How willing is the library to allow the margin of error that will occur from machine-manipulation of headings? Some vendors offer human review, but even this results in some errors simply because the outsourcing catalogers are not on the premises and therefore cannot physically examine the items producing the headings. Is the library willing to give up local practices that do not conform to national standards? Such practices run the range from adding death dates to name headings (resulting in a heading that does not match the NAF) to outright nonconformity with AACR2 rules. Although authority vendors can conform to local practices in many cases, the more idiosyncratic the library’s profile with the vendor, the more expensive the service.

COOPERATIVE CATALOGING PROGRAMS Cooperative cataloging programs have been in place in the United States for decades and have ranged from nationwide programs primarily designed to assist LC in the production of cards for its card distribution program to local or statewide consortia that share cataloging responsibilities. The rise of mutually accepted record interchange standards, i.e., the MARC formats, has greatly facilitated these efforts.

The Program for Cooperative Cataloging (PCC) The most successful of these programs to date is the Program for Cooperative Cataloging (PCC). The PCC began in 1995 as a result of planning that had taken place since the early part of the decade. It currently has four components: NACO (Name Authority Cooperative Program); SACO (Subject Authority Cooperative Program); BIBCO (Bibliographic Record Cooperative Program); and CONSER (Cooperative Online Serials Program). There is not yet a component for the creation of genre/form authority records. The most important goals of the PCC are to make more authoritative records (both bibliographic and authority records) available for sharing by all libraries and to develop mutually acceptable standards for record creation. The standards developed by the PCC for authority record creation form the basis of much of this book.


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One of the reasons for the PCC’s success is that it is self-governing. Most of the earlier national cooperative programs were controlled by LC, and participants were essentially imitating LC catalogers, as though the records they were creating were going to go into LC’s own catalog. Although LC is still a very influential member of the governing boards of the PCC, it is no longer the final decision maker, and all full PCC participating libraries have an equal voice in most decisions. In 2000 there were nearly 400 libraries participating in the PCC, including 350 participating in NACO, 42 in BIBCO, 89 in SACO, and 41 in CONSER (with many participating in more than one of the programs). Collectively, these libraries produced nearly 130,000 new name authority records, nearly 9,000 new series authority records, approximately 2,800 new subject authority records, and 64,000 new bibliographic records. Participating libraries are located in all parts of the world. The majority are in the United States, but there are also participants in Argentina, Australia, Brazil, Canada, England, Hong Kong, Ireland, Italy, Lithuania, Mexico, New Zealand, Scotland, South Africa, and Wales; and no doubt by the time this book is published, there will be libraries from other countries as well. The PCC is truly an international effort. The PCC maintains a Web page, <www.loc.gov/catdir/pcc>, where further details about the program can be found. N A C O ( N A M E A U T H O R I T Y C O O P E R AT I V E P R O G R A M )

NACO is typically the first PCC program a library joins. NACO participants are trained to create and revise name, uniform title, and series authority records and to contribute them to the Name Authority File (NAF). New participants are trained in NACO procedures at a weeklong training session, typically at their own library, during which they learn guidelines for creating a consistent and predictable authority file. The training includes a review of AACR2 heading rules and MARC formatting for authority records. After training, the library begins submitting records to the NAF, which are for a time reviewed by the person who trained them. When the trainer is satisfied with the quality of the records, the library becomes independent. The library assigns a liaison to the program, who usually becomes the NACO trainer for catalogers at the library. For more information on the NACO program, see its Web page, available at . S A C O ( S U B J E C T A U T H O R I T Y C O O P E R AT I V E P R O G R A M )

SACO participants propose new subject headings to the Library of Congress Subject Headings (LCSH), as well as changes to existing headings.

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They may also propose changes to the LC Classification schedules. Unlike the NAF, the Subject Authority File (SAF), where LCSH resides, is completely under LC control. Additions and changes proposed by SACO participants are discussed and approved (or not) at internal LC meetings, and therefore SACO participants cannot directly make changes in the SAF, as NACO participants can in the NAF. There are good reasons for this. In the first place, LCSH, as its name implies, belongs to the Library of Congress, and LC understandably wishes to retain control over its contents. Even without that consideration, the thesauruslike structure of the database is quite a bit more complex than the NAF and really needs a central body to ensure that changes do not damage that structure. Additionally, subject authority work is considerably more subjective than name authority work, as seen in chapters 9 and 10. In most cases there are less questions about choice and form of name for a person or corporate entity than with subject terms; with subject terms there are often many synonyms to choose from, and the relationships of the terms to other terms—the hierarchy of the thesaurus—is often subjective as well. It makes sense, then, that LC should retain control over the SAF. Although it is possible to be a SACO participant without participating in NACO, very few libraries do this. Normally a library becomes a NACO participant, and then when its catalogers are comfortable with NACO, it begins participating in SACO. It is also possible for individuals at libraries not affiliated with the PCC to contribute to SACO, although as a practical matter institutional support is usually necessary for an individual cataloger to receive training in SACO procedures. Training is on an as-needed basis. LC periodically gives training at the library in Washington, D.C., and usually conducts workshops in conjunction with the American Library Association’s Annual and Midwinter Conferences. The library will also send trainers out to individual libraries and consortia for regional training. The expense of this training is borne by the inviting library or institution(s). For more information on the SACO program, see its Web page at . BIBCO (BIBLIOGRAPHIC RECORD C O O P E R AT I V E P R O G R A M ) / C O N S E R ( C O O P E R AT I V E O N L I N E S E R I A L S P R O G R A M )

BIBCO and CONSER are the two PCC programs concerned with creating bibliographic records. BIBCO participants produce authoritative bibliographic records in a variety of formats at either the core or full level. These records are marked as PCC records in RLIN and OCLC, which guarantees that (1) they were


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created according to AACR2 standards; (2) they contain all the MARC fields required by either the core or full standard, including a call number from a recognized scheme (most commonly either an LC or Dewey Decimal classification number); and, most importantly, (3) all needed access points, both descriptive and subject, have been fully established in the authority files. Because of the authority component of BIBCO, participants must at a minimum be independent NACO members. Most also contribute to the SACO program. Typically a library will be a NACO member for some time before applying for BIBCO membership. New BIBCO libraries receive a two- to three-day training session from a regional trainer. Training focuses on standards, including introduction of the core standard. This standard was developed by the PCC in the hopes of offering catalogers a “less-than-full” standard that would still meet the needs of library users. Theoretically, use of this standard might allow PCC catalogers and others to produce more records than they would have otherwise. One of the major components of the training is the development of decision-making skills in catalogers, allowing them to apply their judgment in deciding issues such as which standard to apply. For more information about BIBCO, see . CONSER is the oldest PCC program. In fact, it antedates the program itself, having begun in the 1970s; it joined PCC in 1997. CONSER participants create and maintain authoritative serial records that are then used by other libraries for their serial holdings. Such a program is more than a way to create more records available to be shared. Because of the dynamic nature of serials, individual serial records are constantly changing, and it is necessary to have an authoritative record that libraries can look to for the latest information. To produce as uniform records as possible, participants follow the guidelines in the CONSER Editing Guide and the CONSER Cataloging Manual, both available on Cataloger’s Desktop. CONSER records appear in RLIN, but the principal database of CONSER records resides in OCLC, and OCLC membership is currently required for CONSER participation. For more information about the CONSER program, see its Web page, available at .

MAINTENANCE OF THE LIBRARY’S SYSTEM It was argued in chapter 1 that authority work is essential to the proper functioning of the library’s catalog system, even though at first glance it appears to be an added expense to the basic cataloging function. How,

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then, do libraries implement authority control? How are the appropriate authority records added to the library system, and how does the library ensure that the headings in bibliographic records are correct? All libraries are different, and they approach authority control in different ways. Some depend a great deal on outsourcing. Others do the work entirely in-house. Most probably lie between these two extremes. First, someone has to be in charge. Someone needs to establish policies and guide the other librarians’ work. Maintenance of the headings in the database should be at least a part of one library employee’s job description. Larger libraries typically devote an entire unit of the catalog department to this task, with a minimum of two or three full-time employees plus part-time help engaged in activities variously called authority work, database maintenance, database management, or cleanup. The authorities unit (or the person in charge of authority work at a library that does not have an authorities unit) should establish policies for how much and what type of authority work other catalogers will do. Some library systems require an authority record for every heading in the system. A policy at such a library might state, for example, that every heading on every catalog record created by a cataloger must be fully established with a full authority record. Or for certain headings, minimal records, perhaps including only a 1XX field, might be allowed—for example, for subject headings with free-floating subdivisions. Other library systems allow headings to exist in bibliographic records without a corresponding authority record. Such a library might have the same policies stated in the last paragraph, or they might be less rigid. A typical policy for name headings might be that an authority record is only required if a cross-reference is needed or if information about the name must be recorded. Otherwise, the heading in existing bibliographic records could stand for the authorized form. Many systems allow global change to headings by using authority records. That is, once a heading is established in an authority record, all headings in the database matching the authority record can be changed at once simply by changing the heading in the authority record. If a library has such a system, its policies toward how many authority records should be made are likely to be more all-inclusive than those of libraries without such systems, simply because the existence of authority records for all or as many headings as possible makes database maintenance much easier. It seems a reasonable minimum policy for required authority work in most libraries would be records for all series (because these records contain important information about the library’s treatment of series) and for all other headings that require cross-references or need to have information about the heading recorded. Larger libraries typically have paraprofessional catalogers who do “copy cataloging.” The emphasis in copy cataloging operations is usually


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on speed of catalog record production. Therefore, paraprofessionals are not usually expected to do original cataloging or make extensive changes in records they copy. Nor are they normally expected to do authority work, beyond perhaps searching the NAF or SAF for records needed by their system for bibliographic records they work on. Such libraries normally also have professional catalogers who perform original cataloging and do extensive authority work. Authority policy at such a library might be that the authorities unit will do all the authority work necessary for records imported by paraprofessionals, whereas professional catalogers are expected to do authority work for records that they create or manipulate. The authorities unit could accomplish this task either by periodic reports of unauthorized headings on newly created records or by the paraprofessionals physically giving the authorities unit items needing authority work. The latter procedure is probably more cumbersome, but it is often advantageous in establishing headings to see the item before it leaves the catalog department, particularly if the library discards dust jackets, which often contain useful information, such the author’s birth date or his or her place of residence. The authorities unit is the logical maker of policy regarding outsourcing of all or part of the library’s authority work.3 It should also make and implement library policy regarding participation in cooperative programs such as NACO and SACO. It is usually appropriate that the library’s NACO liaison be a member of the catalog department’s authorities unit.

CONCLUSION This book was written to fill the need for a summary of Anglo-American authority practice at the beginning of the twenty-first century. Its intent has been to provide practical advice and instruction to catalogers who must establish headings and create authority records of various kinds. Another intent has been to provide noncatalogers who must use the library’s catalog databases greater understanding of the heading and reference structure of the catalog. Authority work is important if a library wishes its users to have full access to its collections. Although doing authority work may seem more expensive than neglecting it, the cost of not placing headings in the library’s databases under authority control—in terms of the wasted time and ill will toward the library of users attempting to navigate an uncontrolled database, to say nothing of the difficulties library staff will have in determining the extent of their collections—is undoubtedly greater than the initial expense to the library. No library’s database of cataloged records is perfectly “clean,” under complete authority control. Database maintenance and management is an

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ongoing process because the library’s database is dynamic, changing as the library’s collections change and grow. It is important to look upon authority work as an ongoing process, not something that can be undertaken once and then considered finished. Authority work is one of the fundamental functions of librarianship. It is a professional responsibility that needs to be understood and taken seriously by libraries and librarians of all types. NOTES 1. Complete information about the utilities may be found at their websites: RLIN: ; OCLC: . 2. A useful handbook for outsourcing produced by the ALA Association for Library Collections and Technical Services Commercial Technical Services Committee is Outsourcing Cataloging, Authority Work, and Physical Processing: A Checklist of Considerations, ed. Marie A. Kascus and Dawn Hale (Chicago: American Library Association, 1995). One of the most recent reports of authority outsourcing is Susan L. Tsui and Carole F. Hinders, “Cost-Effectiveness and Benefits of Outsourcing Authority Control,” Cataloging and Classification Quarterly 26, no. 4 (1998): 43-61. The article describes the University of Dayton Libraries’ implementation and includes a review of other recent literature on the topic. 3. The Tsui and Hinders study, cited above, found that even though as much of the libraries’ authority work as possible was outsourced, it was still necessary to do a considerable amount of local maintenance to the database.

INDEX

Page numbers with “n” (e.g., 13n15) refer to notes. Notes are found at the end of each chapter. ‡ (delimiter mark), 12 80 percent rule on usage, 73

A AAAF (Anglo-American Authority File). See NAF AACR2 as standard for authority control, 10 AACR2 1.1D2 (parallel titles), 167 AACR2 1.6 (Series Area) LCRI “multipart item vs. series,” 148 LCRI “one or several series headings,” 156 LCRI “republications,” 185 LCRI “series or phrases,” 180 LCRI “supplements and special numbers to serials,” 173–74 AACR2 1.6A2 (source of series information) LCRI series statement embedded in text, 152 AACR2 1.6B-1.6E (series statement), 149 AACR2 1.6C (parallel titles of series) LCRI parallel titles, 167 AACR2 1.6G (numbering within series), 157

AACR2 1.6H (subseries), 171 LCRI “applicability” subtitles vs. subseries, 169 AACR2 1.7A4 (notes citing other editions), 128 AACR2 2.0B2 (source of information, monographs), 152 AACR2 12.1B4-12.1B5 (separately published parts of serials), 169 AACR2 21.1 (choice of entry) series entries, 151, 154 AACR2 21.1B (entry under corporate body) as author of series, 151–52 LCRI conferences and meetings, 76 named corporate bodies, 75 AACR2 21.2A (changes in title proper), 162–63 AACR2 21.2B2 (changes in monograph titles) LCRI numbered multipart items, 166 multipart items, 162, 166 AACR2 21.2C (changes in serial title), 162 LCRI “situations not considered title changes,” 163 AACR2 21.3A2 (changes in responsibility for monographs)

multipart title changes, 162 AACR2 21.3B1 (changes in responsibility for serials) LCRI place of publication changes, 162 series title change, 162 AACR2 21.4D (entry of communications of heads of state), 57, 59 AACR2 21.5C (entry of anonymous works), 37 AACR2 21.9 (entry of modification of other works), 102–4 AACR2 21.30G (related works added entries) LCRI “unnumbered supplement or special number to a serial,” 174 AACR2 21.30H (added entries) LCRI manuscripts, 138 AACR2 21.30L (series added entries) LCRI “republications,” 185, 186 LCRI subseries of numbered series, 171 AACR2 21.30M (analytical added entries) in uniform titles, 100 AACR2 21.35 (treaties, intergovernmental agreements), 120

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266

INDEX

AACR2 22.1A (choice of personal name), 71 AACR2 22.1B (commonly known usage) guidelines, 72 LCRI reference sources for nonauthors, 73 AACR2 22.2B (pseudonyms) contemporary authors, 60 LCRI pseudonyms, 66–69 AACR2 22.3A (fullness of form) LCRI fullness of form, 73 AACR2 22.4 (entry element of personal name), 85 AACR2 22.16 (additions to given names as headings), 87 AACR2 22.17 (dates in name headings), 3–4, 86 AACR2 22.18 (fullness of form for personal names), 86–87 AACR2 22.20A (undifferentiated names), 87 AACR2 23.2 (geographic names), 76 LCRI initial articles, 94 AACR2 23.5 (type of jurisdiction in geographic names), 93–94 AACR2 24.1A (headings for corporate bodies), 74 initialisms, 89 AACR2 24.1C (changes in corporate names), 45 AACR2 24.2B (source of information on corporate name), 75 AACR2 24.4 (additions to corporate names), 90 AACR2 24.4B1 (names not conveying the idea of corporate body) LCRI personal names as corporate names, 90 AACR2 24.4C (corporate bodies with similar names) dates as qualifiers in corporate names, 91 institution as qualifier, 90–91 LCRI government bodies, 92 AACR2 24.5 (omissions from corporate headings) initial articles, 89 terms of incorporation, 89

AACR2 24.5C4 (omissions from uniform titles) ships as corporate bodies, 89 AACR2 24.6 (additions to names of governments) qualifiers to geographic names, 94 AACR2 24.7 (conferences, congresses, meetings, etc.) LCRI events, 84 omissions from heading, 89–90 AACR2 24.13-24.14 (subordinate bodies), 93 AACR2 24.18 (government bodies entered subordinately), 92–93 AACR2 25.1 (uniform titles), 98 LCRI, 100–101 LCRI translations, 113 AACR2 25.1A (uniform titles), 98 AACR2 25.2C (uniform titles, initial articles), 106 AACR2 25.3A (uniform titles) commonly known form, 104 LCRI exceptions to general rule, 104–5 AACR2 25.3B (uniform titles) choice of, 106 LCRI alternative titles, 106 simultaneously published works, 107 title in 1st edition of work, 100 AACR2 25.3C (uniform titles, simultaneously published works), 107–8 language editions, 116, 164–65 serials, 115 AACR2 25.4 (works created before 1501), 136 AACR2 25.5B (additions to uniform titles) conflict resolution, 123 LCRI “change in qualifier, issuing body,” 133 LCRI “eligible titles for conflict,” 129, 154 LCRI “monographs,” 123–25 LCRI “qualifiers for serials,” 126 LCRI “series-like phrases,” 184

LCRI “unnumbered/numbered titles from same body,” 156 AACR2 25.5C (language in uniform titles) LCRI, 114 numbered series, 164 AACR2 25.6A (parts of a work, uniform title) parts of works entered directly, 109 AACR2 25.8-25.10 (collective titles) for collected works, 117 made-up collective title, 109 name-title uniform titles, 177 AACR2 25.13 (uniform titles, manuscripts) LCRI, 141 LCRI items lacking a collective title, 138 LCRI named manuscripts, 139 manuscript uniform titles, 138 unnamed manuscripts, 140 AACR2 25.15 (uniform titles, laws), 119 jurisdiction in, 120 LCRI qualifiers, 119 AACR2 25.16 (uniform titles, treaties), 120 collections of, 119 references for treaties, 122 AACR2 25.18 (uniform titles, sacred scripture), 109 AACR2 25.32 (uniform titles, music) parts of works, 109 AACR2 26.1B1 (“see” references), 10 AACR2 26.2D1 (explanatory references), 60 AACR2 26.3B-26.3C (“see also” references) (LCRI), 59 AACR2 26.4 (uniform title references), 109 LCRI international nongovernmental bodies, 122 LCRI treaties, 121 AACR2 26.4B1 (uniform title “see” references) variant titles, 109

INDEX AACR2 26.4C1 (uniform title “see also” references) related works, 109 AACR2 26.4D (uniform title explanatory references), 109 AACR2 26.5A (series and serial references) LCRI flip-flop title changes, 163 LCRI references to series entries, 192 AACR2 B.4A (abbreviations in titles) in series statement, 170 AACR2 B.5B1 (abbreviations used with numbering in series statement), 158, 170 AACR2 B.14 (abbreviations for local place names), 95 AACR2 C.2B1e (roman numerals in series numbering), 168, 171 AAT, See Art and Architecture Thesaurus (AAT) abbreviations local place names, 95 numbering terms, 158 in subseries titles, 170 abridgement of work as new work, 102 access points, 3 accession number for manuscripts, 140–41 acquisitions department and authority work, 7 acronyms or initialisms conflicts with series title, 155 form of name, 89 adaptations by the same author, 125 alternative titles, 106–7 analyzable multipart items, 148, 151 Anglo-American Authority File (AAAF). See NAF (Name Authority File) Anglo-American Cataloguing Rules, 2nd ed. See AACR2 … anonymous works, classification numbers for, 66 ANSI/NISO Z39.19, 208, 215–17

Art and Architecture Thesaurus (AAT), 219, 243 instance relationships, 212 tree structure, 213 vs. TGM, 246–47, 249 artworks, named, 104–5 Association of College and Research Libraries, Rare Books and Manuscripts Section, 248–49 associative relationships, 214–16 Australia, geographic qualifiers for, 224, 235 author-title uniform titles. See Name-title uniform titles Authority File Control Number. See Library of Congress control number (MARC 010) authority files, 3–6. See also Local authority file authority record, 37–38. See also MARC authority fields authors, commonly known usage, 72 automatic checking of authority records. See also Global changes to headings 5XX fields, 58 meetings, 92 name-title uniform titles, 100 primary elements rule, 49n5 serial headings, 129

B Bartholomew Gazetteer of Places in Britain, 76 BGN (Board of Geographic Names), 42 BIBCO (Bibliographic Record Cooperative Program), 4, 260–61 requirement for authority work, 34 series tracing practice, 202–3 standardized numbering, 199 bibliographic identities, separate, 61, 63 bibliographic record as authority record for serials, 128 series statements, 148–51 subseries of numbered main series, 171–72

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subseries of unnumbered main series, 171 Bibliographic Record Cooperative Program. See BIBCO (Bibliographic Record Cooperative Program) bibliographic utilities, 4 authority file control codes (MARC 010), 61–63 databases of authority records in, 11 display of fixed fields, 18–21 in NACO searching, 41 as source of authority records, 255–56 in work flow, 34 bilingual catalogs, 13n15, 15 Binding Terms (RBBIN), 243, 247 Board of Geographic Names (BGN), 42 British Isles, qualifiers for, 95 broader term relationship, 210

C CAN/MARC format, 12. See also MARC 21 Canada geographic qualifiers, 224, 235 subdivision by province, 235 Canadian Subject Headings, 219 “Cannot identify with” note, 67 capitalization in subject authority records, 209n2 catalog displays of references, 5, 60 Cataloging Distribution Service (CDS), 256 changes in title multipart items, 148 series, 152, 162–66 changes of name corporate bodies, 75 geographic names, 133–34, 224–26 jurisdictions, 78–79 manuscripts, 141 personal names, 72 changes to headings made locally, 35–36 in NAF, 36–37 character name subject heading as collocation device, 176

268

INDEX

“Choreographic work” as qualifier, 126 chronological subdivisions in LCSH, 228 churches, geographic subdivision, 25 classification number Library of Congress (MARC 053), 13 locally assigned (MARC 090), 64–65 series, 189 coauthors, references from, 193–94 collected works, 117–18 collective titles laws, 119–20 series titles, 177 treaties, 120–22 works by a single author, 116–19 works of personal authorship in series, 177–78 collocation function of catalog, 7 and dates in uniform titles, 118 and series, 145 and uniform titles, 98, 113–22 works of personal authorship in series, 176 common sense, 35n1 “commonly known” usage, 34 determination of, personal names, 71–74 noncontemporary authors with multiple pseudonyms, 61 uniform titles, 104–5 “Company” in corporate names, 89 compound terms, 217 “Computer file” as qualifier, 126–27 conferences and meetings names of, 76 nonrepeated, 92 omissions from name, 89–90 repeated meetings, 91–92 as series entry, 190–91 conflict resolution in 5XX fields, 52–53 among thesauri, 245–49 monographs, 123–25

and qualifiers, 47 references, 110 serial titles, 129 series authorities, 154 series references, 196–97 conflicts, anticipation of, 91, 130 conjunctions in LCSH, 222 CONSER, 127, 129, 261 consistency of headings, 1–3, 91 “contemporary” authors, pseudonyms of, 60–62 continuing resources, definition, 146 controlled vocabulary, 7, 207–8. See also Thesauri cooperative cataloging programs, 258–61 Cooperative Online Serials Program (CONSER), 127, 129, 261 copy cataloging, 263–64 corporate bodies as author of series, 151 as owner of manuscripts, 141 as qualifiers, 131–32, 155 serials entered under, language of, 115 as series entries, 151–52 in series titles, 162, 190–91, 193 subordinate bodies, 41 uncertain identification of, 68 corporate names additions to, 90–92 changes in, 45, 165 choice of name, 74–76 form of name, 89–93 latest entry practice, 226 related names, 53–55 and terms of incorporation, 51–52 costs of authority work, 6–8 cover as source, 41 creator/revisor of record note, 69 cross-references. See References Cutter, Charles A., 7n9

D date in series statement, 159–61, 177–78, 192 date in uniform titles for Works, 117–18

dates in name headings, 3–4 corporate names, 91 personal names, 86–87 DCM. See Descriptive Cataloging Manual (DCM) delimiter mark (‡), 12 derivational relationship, 215–16 descriptive cataloging, 3 Descriptive Cataloging Manual (DCM), 11 creation of authority records for serials, 127 on level of establishment, 28 on transcribing series titles, 153–56 uniform titles, 101 descriptors, 216–17. See also Genre/form terms; Subject terms; Term headings devices in names, 37 Dewey classification number (MARC 083), 66 differentiation by uniform titles, 98, 122–36 direct or indirect subdivision, 235 distinctive title for subseries, 170–71, 194. See also Generic terms as subseries

E editor in series-like phrase, 182 80 percent rule on usage, 73 electronic resources. See “Computer file” as qualifier elements of name and fullness of form, 73 ellipses in series statement, 160 encoding level (MARC Leader/17), 18, 37 equivalence relationships, 208–10 events as name or subject, 84–85 explanatory notes (MARC 667), 66–69 manuscripts, 140 series-like phrases, 184, 205 explanatory references (MARC 663) for heads of state, 59 personal names, 60–61 uniform titles, 109–10

INDEX F facsimile editions, 186 “few” issues, definition of, 163–64 fictitious characters, 227 fields, definition, 12 fixed fields (MARC authority), 18–32 genre/form, 251 series, 206 subject records, 237–38 uniform titles, 111 flip-flop title changes, 163, 196 fluctuating titles, 163–64, 196 form subdivisions in LCSH, 228 free-floating geographic headings, 225 free-floating subdivisions, 228, 230–31 Free-Floating Subdivisions, 230 fullness of form for personal names, 73, 86–87

G gathering function of catalog. See Collocation function of catalog generic relationships, 210–11 generic serial titles, 135–36 generic terms as subseries, 172–73. See also Distinctive title for subseries genre/form authority control, 242–54 adaptation of subject records, 251–53 genre/form terms indexing of, 244–45 as series-like phrase, 183 Genre Terms (RBGENR), 243, 245–46, 247 geographic features, qualifiers, 224 geographic names choice of, 76–80 formation of names, 93–95 in LCSH, 221, 222–25 as name or subject, 80 nonjurisdictional, 222 not used for subdivision, 241 as qualifier, 90, 94–95 as qualifier, changes in, 133–34, 224–26

Geographic Names Information System, 76 citations for, 42 as source for U.S. geographic names, 223 geographic subdivision, 228, 229. See also MARC authority fields: 008/06 GEOnet Names Server (GNS), 42–43, 76–77, 223 given names as headings, 87, 194 global changes to headings, 263. See also Automatic checking of authority records GNS (GEOnet Names Server), 42–43, 76–77, 223 government bodies. See also Jurisdictions qualifiers of, 92 subordinate bodies, 77, 92–93 Great Britain geographic qualifiers, 95, 224, 235 subdivision by lower jurisdiction, 235 GSAFD (Guidelines on Subject Access to Individual Works of Fiction, Drama, Etc.), 243, 247 guide terms in thesauri, 214 Guidelines for the Construction, Format, and Management of Monolingual Thesauri (ANSI/NISO Z39.19), 208 compound terms, 217 literary warrant, 216–17 types of relationships, 215 Guidelines on Subject Access to Individual Works of Fiction, Drama, Etc. (GSAFD), 243, 247

H heading in authority record (MARC 1XX), 37 heads of state, 57–59 hierarchical relationships, 210–14 disagreements among thesauri, 246–47

269

I identical headings distinguishing, 40 not differentiated, 87–89 incorporation, terms of, 89 independent establishment of subject strings, 229–30 indexing in catalog and authority records for serials, 128 for genre/form terms, 244–45, 251 series, 14, 189 and standardized numbering, 157 for titles in name-title references, 192–93 and type of subdivision, 228 indicators, definition, 12 indirect or direct subdivision, 235 initial articles corporate names, 89 geographic names, 94 series statements, 153 uniform titles, 106 instance relationships, 212 institutions government bodies as, 92 as qualifier, 90 integrating resources, definition, 146 interhierarchical relationships, 213–14 international corporate bodies, geographic subdivisions, 235–36 Internet, citations of, 43 intervening bodies in 4XX fields, 93 introductory phrases in uniform titles, 106 inverted forms. See also Equivalence relationships geographic names, 222, 224 in LCSH, 221 Ireland as qualifier, 95 ISSN in series statement, 154 issuing body as qualifier, 130 changes in, 132–33

J jurisdictions. See also Government bodies

270

INDEX

jurisdictions (continued) geographic name changes, 133–34, 224–26 history of, 229–30 in indirect subdivision, 235 in NAF, 222 types of, 93–94 in uniform titles for laws, 120 vs. place names, 77–79 justifications for decisions in serials authority record, 128

K keyword searching, 7

L language editions. See also Serials: translations of in level of establishment (008/33), 28–29, 164 standardized numbering, 198 title changes, 164 language of translation in uniform titles, 114 languages using case in 670 field, 39 languages with reformed orthography, 105 last-used name as “commonly known” form, 72 latest entry practice, 225–26 laws, 119–20 LCRI. See Library of Congress Rule Interpretations (LCRIs) LCSH. See Library of Congress Subject Headings (LCSH) leader in fixed fields, 18, 21 lecture series, named, 182 lexical variants. See Equivalence relationships library catalogs authority records in, 5 collocation function of, 7 as reference source, 35–36 Library of Congress authority records, 256–57 Library of Congress classification number (MARC 053), 13, 64–66 Library of Congress control number (MARC 010), 13, 61–63

Library of Congress Rule Interpretations (LCRIs), 10–11. See also AACR2 ... Library of Congress Subject Headings (LCSH), 219, 220–37 choice of term, 221–22 form/genre terms, 243 hierarchy in, 226–27 instance relationships, 212 narrower terms in, 211 as thesaurus, 11, 220–21 linking entries for series title changes, 165–66 lists of authorized terms. See Controlled vocabulary local authority file, 4 analyzable serials, 147 cited in 670 field, 42 creator/revisor of record note, 69 MARC X55 subfield ‡2, 253–54 and outsourcing, 257–58 uniform titles, 102 local cataloging policy genre-subdivision strings, 250 and maintenance, 262–63 series, 201–2 subject vs. genre/form terms, 244 thesaurus reconciliation, 247–48 local place names, qualifiers of, 94–95 locally assigned classification numbers (MARC 090), 64–65 location name in manuscript uniform title, 139, 141 in treaty uniform title, 121–22 loose-leaf publications, 146

M “Machine-derived authority record” note, 68 maintenance of authority files, 261–63 Malaysia, geographic qualifiers, 224, 235 manuscript as physical entity, 138

manuscript headings, 138–43 MARC 21, 11–30 MARC authority fields fixed fields, 18–32 leader/17 (encoding level), 18, 37 008, 18, 22–24 008/06 (direct or indirect geographic subdivision), 25, 235–36, 238 008/07 (romanization scheme), 25 008/08 (language of catalog), 25 008/09 (kind of record), 25 008/10 (descriptive cataloging rules), 25–26, 37 008/11 (subject heading system), 25–26, 238, 251 008/12 (type of series), 26, 183, 206 008/13 (numbered or unnumbered series), 26, 206 008/14 (main or added entry), 26–27, 111, 238 008/15 (subject added entry), 27, 238, 251 008/16 (series added entry), 27, 206, 238 008/17 (type of subject subdivision), 27 008/28 (type of government agency), 27 008/29 (reference evaluation), 27–28, 37 008/32 (personal name, undifferentiated), 28, 37, 87–88, 111 008/33 (level of establishment), 28–29, 37, 164, 206 008/38 (modified record), 29 008/39 (cataloging source), 29 0XX control fields in MARC, 13 010 (Library of Congress control number), 13, 61–63, 239 035 (system control number), 13 040 (cataloging source), 13, 64, 240 050 (Library of Congress call number for series), 13

INDEX 053 (Library of Congress classification number), 13, 64–66, 239–40 073 (subdivision usage), 230–31 083 (Dewey classification number), 66 090 (locally assigned classification number), 64–65 1XX (authorized form of heading), 13, 37, 190–91 150 (topical heading), 238 151 (geographic headings), 238 155 (genre/form headings), 249 180 (topical subdivision), 238 181 (geographic subdivision), 238 182 (chronological subdivision), 238 185 (form subdivision), 238 2XX (complex subject “see” references), 13 3XX (complex subject “see also” references), 13 4XX (see from tracing fields) (See See from tracing fields (MARC 4XX)) 410 (see from tracing, personal name), 39 455 (genre/form see from references), 249 5XX (see also from tracing fields), 37 (See See also from tracing fields (MARC 5XX)) 555 (genre/form see also references), 249 64X (series notes), 14–15 640-641 (series numbering), 200 642 (series numbering pattern), 26, 157, 198–200 643 (series publisher), 200 644-646 (local cataloging policy, series), 201–2 663-666 (references for complicated names), 15 663 (explanatory “see also” references), 59, 60–61 667-68X notes, 15, 200 667 (nonpublic explanatory notes), 66–69, 140, 184, 205

670 (note on source data) (See Note on source data (MARC 670)) 675 (sources lacking information), 44–46, 205, 240 680 (scope notes), 209, 240 7XX (linking entries), 15–16 781 (form of geographic subdivision), 240 8XX (catchall fields), 16, 185 856 (Uniform Resource Locator), 16 880 (alternate graphic representations), 16 X00 (personal names), 16 X10 (corporate name), 16 X11 (meeting or conference name), 16, 84 X30 (uniform title not linked to author), 16, 101, 108, 130 X50 (topical subject term), 17, 84 X51 (geographic names), 17, 77–78 X55 (genre/form term), 17, 249 X80 (topical subdivisions), 230–31 X81 (geographic subdivisions), 230–31 X82 (geographic subdivisions), 230 X85 (form subdivision), 230 MARC bibliographic fields 1XX/240 name-title uniform titles, 101, 108, 130 130 (uniform title), 130, 154 240 (uniform title), 100, 154 245 (title statement), 34, 154 246 (variant titles), 154 247 (former title), 154 260 (imprint), 39 4XX (series title transcription), 154, 157 440 (authorized series title), 149–50, 157 490/8XX (series traced differently from transcription), 149–50, 157, 167, 171–72, 174, 189 534 (original version note), 185–86, 204 650 (subject added entry), 244

271

655 (form/genre terms), 242, 253 730 (uniform title added entry), 154 740 (variant titles), 154 780/785 (preceding entry/succeeding entry), 128, 154 8XX (series added entry statements), 149–50 MARC code DPCC, 199 MARC Code List for Relators, Sources, Description Conventions, 243, 253 MARC Distribution Service, 256 MARC genre/form authority records, 249–54 MARC language code in 040 field, 64 MARC subject authority records, 237–41 MARC symbols for library, 64 Medical Subject Headings (MeSH), 219, 243 meetings. See Conferences and meetings metropolitan areas in LCSH, 225 modification of work as new work, 102–4 monographic series MARC coding for, 146 with multipart items, 148, 160–61 monographs, conflict resolution, 123–25 motion pictures, uniform titles, 125–26 Moving Image Materials, 244 “Mt.” in geographic names, 95 multilingual thesauri, 11n6, 208n1 multipart items. See also Series choice of entry, 151 in larger series, 148, 160–61 title changes in, 162, 166 vs. series, 147–48 works of personal authorship in series, 174–79 music headings, uniform titles in, 102, 221

N NACO (Name Authority Cooperative Program), 4, 259

272

INDEX

NACO Participant’s Manual, 11 NACO policies on bibliographic searching, 41 changes in headings, 36–37 conflicts in series statements, 154 explanatory references for pseudonyms, 60 heads of state, 59 level of establishment (008/33), 28 name headings, 37–46 reference sources for geographic names, 76 requirement for authority work, 34 series statement embedded in text, 152 series tracing practice, 203 translations, 115 uniform titles, 102 NAF (Name Authority File) in bibliographic utilities, 11, 255–56 overlap with SAF, 80 use of, 4 Name Authority Cooperative Program. See NACO (Name Authority Cooperative Program) name headings, standards for, 10–11 name-title series headings, 174–79, 192 name-title uniform titles in authority files, 2–3 collective titles, 177 MARC format for, 99–101, 108, 130 for related works, 101–2 name types, lists of, 81–82 named lecture series, 182 named manuscripts, 138–39, 142 names. See Corporate names; Geographic names; Personal names narrower term relationship, 210 NASA Thesaurus, 220 National Authority File. See NAF (Name Authority File) National Library of Canada as source for geographic names, 76

node labels in thesauri, 214 nonauthors, determination of name, 73 normalization of headings, 47n4 series statements, 154 “Not the same as:” note, 68 note on source data (MARC 670), 37–44 commonly used, 16 series, 204 subjects, 240 undifferentiated name, 88 uniform title, 110–11 notification procedures for changes, 36–37 “number.” See Terms with series numbers number phrases as series statement, 180–81 numbered multipart items, 166 numbered series and generic subseries titles, 172–73 subseries of, 171–72 title changes in, 164 numbering, standardized, 157, 188, 198 numbering embedded in series title, 160–61

O OCLC Online Computer Library Center. See also Bibliographic utilities and CONSER program, 261 fixed field displays, 29–30 omissions from headings corporate names, 89–90 geographic names, 93–94 series headings, 153–54 order of subdivisions, 236–37 original works, headings for, 116 orphan terms, 213n3, 227 orthographic reforms and uniform titles, 105 other title information in series statements, 153, 194–95 outsourcing of authority work, 4, 257–58

P parallel numbering systems, 158–59

parallel titles references from, in series, 194–95 of series, 166–68 in series statements, 153 Paris Principles collocation in, 113 differentiation, 122–23 “part.” See Terms with series numbers part numbers in subseries, 170 part-to-whole relationships, 109 pattern headings in LCSH, 229, 232–34 PCC (Program for Cooperative Cataloging), 258–61. See also BIBCO (Bibliographic Record Cooperative Program); NACO (Name Authority Cooperative Program) performing groups, 55–56 periods in initialisms, 89 personal author of series, 174–79 personal names choice of names, 71–74 as corporate names, 90 form of name, 85–87 phrase headings, 76n9 physical characteristics terms, 242 physical format of serials, 129 physical format of series, 162 place name. See Geographic names place of publication, change in, 133, 162 plural vs. singular terms, 217 polyglot texts, 114 polyhierarchical relationships. See Interhierarchical relationships position number in fixed field, 18 predecessor and successor companies, 54 predominant form of name corporate names, 75 personal names, 60 prepositions in LCSH, 222 “primary elements” rule, 48–49 Program for Cooperative Cataloging. See PCC (Program for Cooperative Cataloging)

INDEX provisional records, 28–29 pseudonyms, 52, 60–61 publisher in series authority, 178–79, 200 publisher’s listings as series-like phrase, 183 publisher’s numbers as series numbering, 181 punctuation in authority record 670 field, 39 heading, 38

Q qualifiers in 4XX cross-references, 51 change in issuing body, 133–34, 162 corporate names, 90–92, 162 geographic names, 94–95, 133–34, 224 laws, 119–20 in LCSH, 222 manuscripts, 141 personal names, 86–87 serials, 130–36 series references, 196–97 series titles, 154–56 standardized, 125–26 in thesauri, 217

R “Radio program” as qualifier, 126–27 Rand McNally Commercial Atlas and Marketing Guide, 76 RBBIN. See Binding Terms RBGENR. See Genre Terms RBMS (ACRL Rare Books and Manuscripts Section), 248–49 rearrangement of work as new work, 102 reciprocal links and imported records, 211 reference information in library catalog, 35–36 reference sources in 670 field, 40–41 information not found, 44–46 for nonauthors, 73–74 references, 46–61. See also See also from tracing fields (MARC 5XX); See from tracing fields (MARC 4XX)

for serials, qualification of, 196–97 in serials authority record, 128 in subject authority record, 239 treaties, 121 regions in LCSH, 225 related series heading, 197–98 related terms in thesauri, 214–16, 227 repository for manuscripts, 139, 140 republications of series, 184–86 local cataloging practice, 203, 204 numbered series, numbering pattern, 199 publisher of, 200 RLIN (Research Libraries Information Network), 29–30. See also Bibliographic utilities roman numerals in series numbering, 168, 170–71

S SACO (Subject Authority Cooperative Program), 259–60 SAF (Subject Authority File). See also Library of Congress Subject Headings (LCSH) in BIBCO work, 34 in bibliographic utilities, 11, 220, 255–56 overlap with NAF, 80 types of subjects, 82–85 SCM. See Subject Cataloging Manual scope notes (MARC 680), 209, 240 Sears List of Subject Headings, 220, 232 see also from tracing fields (MARC 5XX) associative relationships, 214–15 conflicts with existing headings, 47–48 construction of, 52–58 hierarchical relationships, 210–11

273

predecessor and successor companies, 53–55 series, 197–98 uniform titles, 108–10 “see also” references. See References see from tracing fields (MARC 4XX) conflicts with existing headings, 47 construction of, 48–51 uniform titles, 108–10 “see” references. See References “Selections” as uniform title, 117, 177–78 serials special issues of, 146–47 translations of, 114–16 (See also Language editions) uniform titles for, 126–36 serials, analyzable, 146–47 tracing of, 151 series, 144–87. See also Multipart items authorship, 154 choice of entry, 151–52 definition, 144–46 formulation of headings, 153–56 title changes in, 162–66 treatment decisions in authority file, 5 vs. multipart items, 148 series analysis practice (MARC 644), 188 local cataloging policy, 201–2 “(Series)” as qualifier, 155–56 series authority records, 188–206 and bibliographic record, 148–51 MARC codes in, 189–90 for series-like phrases, 183–84 usage note, 204–5 series by a single author choice of entry, 151–52 as multipart item, 148, 150 without title, 176 series classification numbers, 189 series classification practice (MARC 646), 203–4 series entered under author, 192–93

274

INDEX

series entered under title, 193 series-like phrases, 179–84, 205 series numbering, 156–61 MARC coding, 198–200 series title, standardization of, 149 series tracing practice (MARC 645), 189, 202–3 session laws, 120 ships as corporate bodies, 2, 89 sibling terms in thesauri, 215 simultaneously published works, 107 singular vs. plural terms, 217 slogans as series-like phrase, 183 sources of authority records, 255–58 sources of information (MARC 670), 38–44 in authority file, 5–6 series titles, 152–53 uniform titles, 111 special issues of serials, 146–47. See also Serials, analyzable unnumbered, 173–74 spelled-out forms of geographic names, 95 “St.” in geographic names, 95 statements of responsibility in series statements, 153 in uniform titles, 106–7 works created before 1501, 137 subdivision practice in LCSH, 227–29, 236–37 subfield ‡w (MARC 5XX) hierarchical relationships, 210–11 pseudonyms, 60 related corporate bodies, 53 series, 197–98 subfields, 12, See also specific MARC fields Subject Authority Cooperative Program. See SACO (Subject Authority Cooperative Program) Subject Authority File. See SAF (Subject Authority File) Subject Cataloging Manual geographic name changes, 225–26 and LCSH, 11, 220 pattern headings, 232

subject categories on back cover, 183 subject terms indexing of, 244–45 lists of types, 82–84 notes on use, 67 subject thesauri, 11, 219–41 subject vs. name, 80–85 subordinate corporate bodies, 41 subordinate government bodies entered under jurisdiction, 77 qualifiers, 92–93 subseries, 168–74 classification practice on, 203–4 determination of, 168–69 establishment of, 169–71 references from, 194–95 subtitles vs. subseries, 168–69 suburban areas in LCSH, 225 successive entry rule corporate bodies, 45 and manuscripts, 141–42 series titles, 162, 197–98 successor and predecessor companies, 54 supplements, numbered, as subseries, 173–74 surnames compound surnames, 50 references from in series title, 194, 196 surnames with prefixes, 50 symbols or devices in names, 37 synonyms. See Equivalence relationships

T tag, definition, 12 “Television program” as qualifier, 126 term headings, 207–18. See also Genre/form terms; Subject terms term-subdivision strings genre/form, 250 for name heading, 238 not covered by pattern headings, 234 subjects, 229–30 terms. See Genre/form terms; Subject terms terms with series numbers, 157–58

TGM: Thesaurus for Graphic Materials genre and physical characteristics terms, 214–15, 244 subject terms, 220 vs. AAT, 246–47, 249 thesauri, 207–18 conflict resolution among, 245–49 for genre/form terms, 242–43 standards for, 11 title changes references for series, 196 translated series, 164 title entries authority for, 2 conflict resolution, 124 series, 154, 190–91 title page of book as source for usage, 72 title proper MARC fields for, 154 serials, 129–30 works created before 1501, 136 titles, individual, in series, 146 titles in name-title series headings, 177, 192 topical subdivisions in LCSH, 227 tracing. See Indexing in catalog transcription of series title republished item, 185 sources of information for, 152 translations and change of title, 162 of geographic names, 223 of series, title changes, 164 uniform titles for, 2, 113–16 treaties, 120–22 tree structure in thesauri, 213 type of publication as qualifier, 130

U uncertain identity, notes on, 67 undifferentiated names, 87–89 undifferentiated phrase record, 184 uniform titles, 2–3, 97–112 authority records for, 100–102, 108–11 choice of, 102–8

INDEX general information, 97–100 LC policy on, 100–101 notes, 111 standards for, 10–11 UNIMARC, 12. See also MARC 21 uniqueness of headings, 1–3 United States geographic qualifiers, 224 local place names, 95 subdivision by state, 235 “(Unnumbered)” as qualifier, 155–56 unnumbered multipart items, 166 unnumbered phrases as serieslike phrase, 180 unnumbered series classification instructions, 189 and generic subseries titles, 172–73 in MARC format, 26 qualifier for, 155–56 subseries of, 171

translations, title changes, 164–65 unrelated works, 125 URL (Uniform Resource Locator), 43. See also MARC authority fields: 856 U.S. Census publications, qualifier for, 126 USMARC, 12. See also MARC 21

V variable fields, 12–17 genre/form authority records, 249–50 variant names in 4XX fields, 50–51 corporate names, 74–75 determination of usage, 72 manuscripts, 140 variant titles as conflicts, 154 serials, 129 series authority records, 194–96 in uniform title authority records, 109

275

variants of variants, 51 references for in series, 192 series titles, 192 “vol.” See Terms with series numbers volume numbering in series statement, 154

W Web sites, 146 whole-to-part relationships, 109, 211–12 work flow, 33–35 “Works” as uniform title, 117, 177–78 works created before 1501, uniform titles, 136–38 works in a single literary form, uniform title, 117

Y Yugoslavia, geographic qualifiers, 224, 235

Z Z39.19, 208, 215–17

ROBERT L. MAXWELL, author of the current edition of Maxwell’s Handbook for AACR2 (1997), is associate librarian at the Harold B. Lee Library, Brigham Young University. He has chaired the Bibliographic Standards Committee of the Rare Books and Manuscripts Section of the Association of College and Research Libraries. He currently represents ACRL to the ALCTS Committee on Cataloging: Description and Access. He holds a Ph.D. in classical languages and literatures from the University of Toronto (1993) and an M.L.S. from the University of Arizona (1982).

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