2002 Maxwell. Maxwell's Guide To Authority Work

M
axwell’
GUIDE TO s
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
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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., 1957-
Maxwell’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 05 04 03 02 5 4 3 2 1
CONTENTS
ACKNOWLEDGMENTS ix
GLOSSARY OF ACRONYMS xi
1 Introduction 1
Headings 1
Authority Files 3
Why Do Authority Work? 6
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 33
Changes to Established Headings 35
Creation of the Authority Record 37
The Heading 38
Sources 38
The 670 field 38
The 675 field 44
iii
iv CONTENTS
References 46
General principles 46
4XX fields 48
5XX fields 52
The 663 field 59
Other Parts of the Record 61
The 010 field 61
The 040 field 64
The 053 field 64
The 083 field 66
The 667 field 66
Fixed-Length Data 69
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 95
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 v
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
vi 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 216
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 222
Latest Entry 225
Hierarchy in LCSH 226
CONTENTS vii
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 265
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 con-
stant 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
ix
GLOSSARY OF ACRONYMS
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 <http://www.getty.edu/research/tools/
vocabulary/aat/index.html>.
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 Cata-
loger’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.
Service, 2001).
MARC, MARC 21 Machine-Readable Cataloging. The system of
encoding catalog records in electronic form.
xi
xii GLOSSARY OF ACRONYMS
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 Online Public Access Catalog.
PCC 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 The Subject Authority Cooperative Program. See chapter 12.
SAF The Subject Authority File.
SCM Subject Cataloging Manual: Subject Headings, 5th ed.
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.
INTRODUCTION
1
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 cata-
loging, Mark Twain will always be identified as “Twain, Mark, 1835-
1910” 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 autho-
rized name form are not part of Mary’s name—Mary certainly never
1
2 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 Mag-
dalene, Saint.” Further, these various Marys must be distinguished from
ships called Mary (for ships are also given access points, as subject head-
ings 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 simi-
lar 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 call-
ing 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 Kenkyūkai (Japan),” even though it also sometimes calls itself
“Shigaku Kenkyu-kwai.”2
In addition to names, subjects, and form terms, titles may also be con-
trolled 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 3
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 (Anglo-
American 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 respon-
sibility, 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 bio-
graphical 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, 1835-
1910.” 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 proce-
dures for forming and recording access points, not with descriptive por-
tions 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 cat-
aloger judgment in the choice of form for a given name or subject, so dif-
ferent 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
4 INTRODUCTION
instructs the cataloger to add dates if one name heading is otherwise iden-
tical 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,” formu-
late 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, par-
ticularly 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 main-
tain 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, particu-
larly 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 indi-
vidual 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
INTRODUCTION 5
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 contain-
ing 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 cata-
log 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 con-
taining a cross-reference for the attempted but unauthorized form.
In addition to its function of recording authorized forms and cross-
references, authority records contain much other information of use both
to the library patron and the librarian. It is the authority record, for exam-
ple, 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 accord-
ing 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 Renais-
sance manuscripts held by the Harold B. Lee Library, search the genre/
form index under Manuscripts, Renaissance.” When this same user re-
executes 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
6 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 head-
ing applies to the item being cataloged.
WHY DO AUTHORITY WORK?

A persistent charge leveled against the consistent performance of author-
ity 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 cer-
tainly 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 author-
ity control. What would a catalog be like if no attempt at authority con-
trol were made? Speaking only of the headings (the access points), cata-
logers 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 cata-
loger 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 dis-
tinguish 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.
INTRODUCTION 7
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 cata-
log 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 sin-
gle 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 dif-
ferent users to find a given name or subject will more than offset the ini-
tial 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 author-
ity practices, more than likely needless duplicates will be ordered, an
added expense to the library that could have been avoided.8 Worse, sub-
ject selectors trying to build up collections in certain areas will have great
difficulty determining the scope of their collections without authority con-
trol. 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 fig-
uring 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 intel-
lectual 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 nec-
essarily require authority control. But the gathering function of the cata-
log does require that the gathering points be consistent and unique—that
is, they must consist of a controlled vocabulary. Thus, another cost to the
8 INTRODUCTION
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 main-
tenance. 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, usu-
ally requires a functioning authority structure underlying the database, so
that when authorized forms are changed in authority records the corre-
sponding 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. How-
ever, 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 Anglo-
American 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 Cata-
loguing Concepts,” Cataloging & Classification Quarterly 28, no. 2 (1999): 9.
INTRODUCTION 9
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 for-
mulated 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 sec-
tion 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.
2 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 unques-
tionably 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 man-
ual 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
10
STANDARDS GOVERNING AUTHORITY CONTROL 11
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 poli-
cies 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 Con-
gress 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 biblio-
graphic 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, includ-
ing 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 STANDARDS GOVERNING AUTHORITY CONTROL
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 large-
scale 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 author-
ity 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 num-
ber 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 cer-
tain 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 pos-
sibilities.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 pos-
sibilities 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.
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 cre-
ated or contributed to the record),12 050 (Library of Congress call num-
ber used on series classed together), and 053 (Library of Congress classi-
fication 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 clas-
sified 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 can-
not be given using 4XX or 5XX fields and typically give catalogers infor-
mation 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 search-
ing under the terms given in the 400 fields will be directed to the form in
the 100 field.
FIGURE 2-1 Cataloging source, LC classification number, and authorized heading

(topical term)
040 ‡a DLC ‡c DLC

053 ‡a GR830.U6
150 ‡a Unicorns
FIGURE 2-2 Complex subject reference describing subdivision practice
150 ‡a Firearms
360 ‡i subdivision ‡a Firearms ‡i under armies, navies, etc., e.g. ‡a United States. Army--
Firearms; United States. Navy--Firearms
FIGURE 2-3 See from tracing fields
100 0 ‡a Mary, ‡c Blessed Virgin, Saint

400 0 ‡a Maria, ‡c Blessed Virgin, Saint
400 0 ‡a Virgin Mary, ‡c Saint
400 0 ‡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 cat-
alog 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 num-
ber, 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 See also from tracing fields
100 1 ‡a Eberhardt, Anna

500 1 ‡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
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 chap-
ters 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 lit-
erary 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 (“non-
public 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 indi-
cates 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 head-
ings 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 Complex name reference fields
100 1 ‡a Dodgson, Charles Lutwidge, ‡d 1832-1898

500 1 ‡w nnnc ‡a Carroll, Lewis, ‡d 1832-1898
663 ‡a For literary works of this author, search also under ‡b Carroll, Lewis, 1832-1898.
667 ‡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 Source of data note
110 2 ‡a Brigham Young University Singers

410 2 ‡a Brigham Young University. ‡b Brigham Young University Singers
670 ‡a We sing of Christ [SR], p1997: ‡b label (Brigham Young University Singers;
Ronald Staheli, conductor)
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 repre-
sentations 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 mean-
ings. 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 con-
tains the authorized form of a uniform title (see figure 2-10). Because
FIGURE 2-8 Author-title uniform title
100 1 ‡a Twain, Mark, ‡d 1835-1910. ‡t Adventures of Tom Sawyer

400 1 ‡a Twain, Mark, ‡d 1835-1910. ‡t Tom Sawyer
FIGURE 2-9 Conference name
111 2 ‡a International Conference of the North American Fuzzy Information Processing

Society
511 2 ‡w a ‡a Conference of the North American Fuzzy Information Processing Society
FIGURE 2-10 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 unautho-
rized form of a topical subject term (see figure 2-11).
X51 signifies a geographic name. A 551 field contains a related autho-
rized 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 Topical term
150 ‡a Infants
450 ‡a Babies
FIGURE 2-12 Geographic name
151 ‡a Eurasia
551 ‡a Asia
551 ‡a Europe
FIGURE 2-13 Geographic name––political entity
151 ‡a United States

451 ‡a U.S.A.
451 ‡a USA
451 ‡a US
FIGURE 2-14 Genre/form term
155 ‡a Large type books

455 ‡a Large print books
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 pre-
liminary data (some of which are invisible to the cataloger) contain infor-
mation 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, fig-
ures 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 par-
ticular 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 twenty-
four 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 (system-
generated 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.
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])
FIGURE 2-16B Full series record, including fixed fields (OCLC)
Rec stat: c Entered: 19850917

Roman: | Ref status: a Mod rec: Name 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 summa-
rizes appropriate values for this field. Most of the values vary depending
on the type of authority record (e.g., name, subject, series).
FIGURE 2-17B Full subject record, including fixed fields (OCLC)
Rec stat: c Entered: 19860211

Roman: | Ref status: a Mod rec: Name use: b
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 Leader
Position RLIN OCLC System-

No. Name Valid Values Mnemonic Mnemonic Generated
00-04 Record [not shown] [not shown] *
length
05 Record a - increase in encoding level MS Rec stat *
status c - corrected or revised
d - deleted (other)
n - new
s - deleted (split)
x - deleted (replaced)
06 Type of z - authority data [not shown] Type *
record
07-08 Undefined [not shown] [not shown] *
09 Character blank - MARC-8 [not shown] [not shown] *
coding a - UCS/Unicode
scheme
10 Indicator 2 (number of character positions [not shown] [not shown] *
count used for indicators)
11 Subfield 2 (number of character positions [not shown] [not shown] *
code length used for each subfield code)
12-16 Base [position of first variable field [not shown] [not shown] *
address in record]
of data
17 Encoding n - complete authority record EL Enc lvl
level (meets national-level requirements)
o - incomplete authority record
18-19 Undefined [not shown] [not shown] *
20-23 Entry map [not shown] [not shown] *
TABLE 2-2 008 Field

00-05 Date numeric string in the pattern DF Entered *

entered yymmdd
on file
06 Direct/ blank - heading may not subdivide DID Geo subd
indirect geographically
geographic d - heading may subdivide geo-
subdivision graphically directly
i - heading may subdivide geo-
graphically indirectly
n - not applicable
| - coding not attempted
07 Romaniza- a - international standard ROM Roman
tion scheme b - national standard
c - national library association
standard
d - national library / biblio-
graphic agency standard
e - local standard
f - unknown standard
g - conventional romanization
n - not applicable
08 Language blank - no information LCT [not shown]
of catalog b - English and French
e - English only
f - French only
09 Kind of a - established heading (100-151) KRC Auth/ref
record 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]
10 Descriptive a - pre-AACR1 CRC Rules
cataloging b - AACR1
rules used c - AACR2
to formulate d - AACR2 compatible
the heading/ n - not applicable
references z - other

11 Subject a - Library of Congress Subject SBC Subj

heading Headings (LCSH)
system/ b - LCSH for children
thesaurus 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
12 Type of a - monographic series SRT Series

series b - multipart item
c - series-like phrase
n - not applicable
z - other
13 Numbered a - numbered SRN Ser num

or b - unnumbered
unnumbered c - numbering varies
series n - not applicable
14 Heading use a - appropriate NMU Name use

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

–Subject b - not appropriate
16 Heading use a - appropriate SRU Ser use

–Series b - not appropriate
17 Type of a - topical TSS Subdiv tp

subject b - form
subdivision c - chronological
d - geographic
e - language
n - not applicable
18-27 Undefined *
(continued)
TABLE 2-2 008 Field (continued)

28 Type of blank - not a govt. agency TGA Govt agn

government a - autonomous / semiautonomous
agency 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
29 Reference a - tracings consistent with heading RFE Ref status
evaluation b - tracings not necessarily consistent
with heading
n - not applicable
30 Undefined *
31 Record a - record can be used UIP Upd status *
update in b - record being updated
process | - coding not attempted
32 Undiffer- a - differentiated UPN Name
entiated b - undifferentiated
personal n - not applicable
name | - coding not attempted
33 Level of a - fully established STH Auth status
establish- b - memorandum
ment c - provisional
d - preliminary
n - not applicable
34-37 Undefined *
38 Modified blank - not modified MOD Mod rec
record s - shortened
x - missing characters
39 Cataloging blank - national bibliographic CSC Source
source agency
c - cooperative cataloging program
d - other
u - unknown
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 geo-
graphically, 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 Coopera-
tive 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 con-
current 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” (“estab-

lished 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
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” (ear-
lier 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 defin-

ing 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 series-
type 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 sys-
tems 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 bib-
liographic 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” (“appro-
priate”). 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
“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 dis-
play 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 sub-
ject 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 dis-
play 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 bibli-
ographic 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 author-
ity 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
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” (“differ-

entiated 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 distinguish-
ing 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 avail-
able, 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 appropri-
ate 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-
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 lan-
guage 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 conver-
sion 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 “head-
ing” 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 numer-
ical order. Local system displays in commercial library systems tend not to
display these positions in order either, and all have different mnemonic
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 creat-
ing, 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 rep-
resents 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 Envi-
ronment,” in The Principles and Future of AACR: Proceedings of the Interna-
tional 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 periodi-
cally]). 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, avail-
able outside the Library of Congress only on Cataloger’s Desktop.
6. The text of Z39.19 is available through the NISO website <http://www.
niso.org>. 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).
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 loose-
leaf 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 <http://lcweb.loc.
gov/marc/authority/ecadhome.html> 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 <http://www.ifla.org/VI/3/p1996-1/
uniafull.htm> (full version) and <http://www.ifla.org/VI/3/p1996-1/ucaf.htm>
(concise version).
10. A list of these national formats has been made available at the IFLA website at
<http://www.ifla.org/VI/3/p1996-1/appx-h.htm>.
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 <http://lcweb.loc.gov/marc/organizations/>.
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 obvi-
ous 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 (Med-
ical 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.
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 Uni-
versity 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 gener-
ated, 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 subdi-
vided 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 cre-
ation 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 head-
ing 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 cata-
loger 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 con-
tradict the application of AACR2 to the particular item in hand. As a mat-
ter 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 dis-
covers that C. S. Lewis has not yet been established in the library’s author-
ity file (or the NAF if the library uses it), the next step is not to take the
33
34 BASIC AUTHORITY CONTROL PROCEDURES
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 bib-
liographic 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 sub-
ject 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 infor-
mation 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 dis-
tinguish 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
BASIC AUTHORITY CONTROL PROCEDURES 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 estab-
lish 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 appar-
ently 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 exam-
ple, when Frank Sinatra died in 1998. Nevertheless, under most libraries’
policy, the singer’s heading will remain “Sinatra, Frank, 1915- .” The phi-
losophy 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 hun-
dreds 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 flex-
ible as the possibilities of global change become more readily available to
libraries, but for the moment most libraries will not change a heading sim-
ply to add fuller information, particularly if such a change will mean using
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 con-
trolled 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 head-
ings from the NAF, any change to a heading can affect headings in biblio-
graphic 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 opera-
tions 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 con-
sistent and unique headings. However, given the constraints detailed
above, the opposite is not necessarily the case—that is, it is perfectly pos-
sible 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 direc-
tions 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
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 tech-
nological 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 alter-
ing headings will change much.
CREATION OF THE AUTHORITY RECORD

Once the name has been chosen and the heading has been formed, the cat-
aloger 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 activ-
ity 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 non-
numeric devices. This follows AACR2 21.5C, which instructs the cata-
loger 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)
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 punctua-
tion (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 prac-
tice 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 cit-
ing sources (usually in footnotes), so the creator of an authority record
FIGURE 3-1 Authorized heading (personal name)
053 ‡a PR4870 ‡b PR4874

100 1 ‡a Landor, Walter Savage, ‡d 1775-1864
400 1 ‡a Landor, Savagius, ‡d 1775-1864
670 ‡a The complete Latin poetry of Walter Savage Landor, 1999
670 ‡a RLIN, June 12, 2000 ‡b (hdg.: Landor, Walter Savage, 1775-1864; usage: Walter
Savage Landor, Savagius Landor)
670 ‡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 Authorized heading (geographic name)
151 ‡a Fayette (Iowa)

670 ‡a Pictorial souvenir album of the City of Fayette, Iowa, U.S.A., 1898
670 ‡a BGN, June 16, 2000 ‡b (Fayette, Iowa, 425031N 0914807W)
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 ref-
erences should be formed in the nominative case. In figure 3-4, for exam-
ple, 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 3-3 670 field citing work being cataloged
100 1 ‡a Z
u bieta, Alberto
670 ‡a Carmen, mi barrio, 1997: ‡b t.p. (Alberto u
Zbieta)
FIGURE 3-4 Name in language using case
110 2 ‡a Kastl (Abbey : Kastl, Oberpfalz, Germany)

410 2 ‡a Abbey of Kastl (Kastl, Oberpfalz, Germany)
410 2 ‡a Kloster Kastl (Kastl, Oberpfalz, Germany)
410 2 ‡a Kloster Kastl in der Oberpfalz (Kastl, Oberpfalz, Germany)
410 2 ‡a Monasterium Sancti Petri in Castello (Kastl, Oberpfalz, Germany)
410 2 ‡a Castl (Abbey : Kastl, Oberpfalz, Germany)
410 2 ‡a Castellum (Abbey : Kastl, Oberpfalz, Germany)
410 2 ‡a Castelbergensis (Abbey : Kastl, Oberpfalz, Germany)
670 ‡a Consuetudines Castellenses, 1996- : ‡b v. 1, p. x (Kloster Kastl in der Oberpfalz;
Kloster Kastl) p. xlv (Monasterii Sancti Petri in Castello)
670 ‡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 author-
ity 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 head-
ing was found in the title proper itself.
2. A title, particularly one citing additional research, may be abbrevi-
ated, 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 per-
sons. 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 cita-
tion 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 alpha-
betical 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
FIGURE 3-5 670 field citing additional research
100 1 ‡a Johnson, Samuel, ‡d 1649-1703

670 ‡a An account of the proceedings against Samuel Johnson, 1686
670 ‡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 ele-
ments, 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 for-
mat is as follows:
670 ‡a RLIN, [date consulted] ‡b (hdg.: [data]; usage: [data])
or
670 ‡a OCLC, [date consulted] ‡b (hdg.: [data]; usage: [data])
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
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, 1749-
1784; 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 revolu-
tion 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 Sys-
tem must be cited, from <http://www-nmd.usgs.gov/www/gnis/gnisform.
html>. The citation should appear as follows:
670 ‡a BGN, [date consulted] ‡b (data)
BGN stands for Board of Geographic Names. For an example, see fig-
ure 3-2. Records for geographic names outside the United States, Canada,
and Great Britain must cite the GEOnet Names Server (GNS) <http://
164.214.2.53/gns/html/index.html>; the citation appears as follows:
670 ‡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 coun-
terproductive 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 infor-
mation 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 cat-
aloger 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 bib-
liographic 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 justi-
fying 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 Citing an Internet page
100 1 ‡a Schialvino, G. ‡q (Gianfranco)

400 1 ‡a Schialvino, Gianfranco
670 ‡a Luca Pacioli da'l Borgo San Sepolcro, 1999: ‡b p. [102] (G. Schialvino)
670 ‡a Quotazioni delle opere degli incisori italiani, via WWW, July 25, 2000 ‡b
(Gianfranco Schialvino)
FIGURE 3-7 Authority records containing supplemental information
100 1 ‡a Phillips, Ann

670 ‡a Make money from woodturning, 1994: ‡b t.p. (Ann Phillips) p. 155 (former
research scientist; member New eZaland Tree Crops Assoc.)
675 ‡a NZnat. bibl., 1981-82; ‡a NZBIP, 1986-94; ‡a WW in NZ , 1978
100 1 ‡a Phillips, Ann, ‡d 1930-

670 ‡a The multiplying glass, 1981: ‡b t.p. (Ann Phillips)
670 ‡a A haunted year, c1994: ‡b t.p. (Ann Phillips) jkt. (b. and raised in England)
670 ‡a Brit. nat. bibl., 1992 ‡b (Phillips, Ann, 1930- [entry for A haunted year])
100 1 ‡a Phillips, Ann, ‡d 1941-

670 ‡a Literature on the move, 1993: ‡b t.p. (Ann Phillips)
670 ‡a Phone call to pub. 10-08-92 ‡b (b. 12-29-1941)
Supplemental information about the person or entity used for identi-

fication 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 cita-
tion 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 Supplemental information given in English
100 1 ‡a Lanskoy, André, ‡d 1902-1976

670 ‡a André Lanskoy, 1960
670 ‡a Dict. de biog. française, 1933- : ‡b fasc. 122, p. 803 (Lanskoy, André; painter, b.
Moscow March 31, d. Paris Aug. 22, 1976)
dates the records were created in the NAF reveals that the heading with-
out 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 num-
ber 4 (and others!) will have to be distinguished from. Further research is
likely to concentrate on getting more information about Ann Phillips num-
ber 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 nonrepeat-
able 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 illus-
trates. 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 documen-
tation 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
FIGURE 3-9 Use of 675 in successive entries
110 2 ‡a Burroughs Adding Machine Company

510 2 ‡w b ‡a Burroughs Corporation
670 ‡a Handbook of instruction for operators of Burroughs adding and listing machines,
1911: ‡b t.p. (Burroughs Adding Machine Company)
675 ‡a Annual report, 1965: cover (Burroughs Corporation)
110 2 ‡a Burroughs Corporation

410 2 ‡a Burroughs (Firm)
510 2 ‡w a ‡a Burroughs Adding Machine Company
510 2 ‡w b ‡a Unisys Corporation
670 ‡a Annual report, 1965: ‡b cover (Burroughs Corporation)
670 ‡a Unisys Corporation, c1988: ‡b t.p. (Unisys Corporation) p. i (Burroughs-Sperry
merger) p. iii (1986 merger)
675 ‡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., differ-
ent 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.
There are basically two types of references: (1) those from unused
forms and (2) those from other related forms, which themselves are autho-
rized. 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 infor-
mation is known about the name.
If a 4XX reference is needed and no qualifier is possible, a 5XX ref-
erence 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 corpo-
rate 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 pro-
posed 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.
FIGURE 3-10 Headings producing conflicting cross-references
110 2 ‡a International Business Machines Corporation

410 2 ‡a IBM
670 ‡a Moody's, 1983 ‡b (International Business Machines Corporation)
670 ‡a IBM, via WWW, July 14, 2000
110 2 ‡a Instituto de Biologia Marítima (Portugal)

410 2 ‡a IBM
670 ‡a Notas e estudos do Instituto de Biologia Marítima, abril 1952: ‡b t.p. (Instituto de
Biologia Marâitima; Lisboa; IBM)
110 2 ‡a Instytut Budownictwa Mieszkaniowego (Poland)

410 2 ‡a I.B.M.
410 2 ‡a IBM
670 ‡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, 1926-
search 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., 1926-
search 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.
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. Pierson, Abraham, 1608-1678
2. Pierson, Alan, 1974-
3. Pierson, Caleb, 1738-1801
4. Pierson, Charles F., 1920-
5. Pierson, Chesley N. (Chesley Nels), 1928-
6. Pierson, Chesley Nels, 1928-
search under Pierson, Chesley N. (Chesley Nels), 1928-
7. 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 pri-
mary 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 Primary elements of the name
100 1 ‡a Pierson, Chesley N. ‡q (Chesley Nels), ‡d 1928-

670 ‡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 Primary elements rule disregarded
100 1 ‡a Johnson, Charles A. ‡q (Charles Alfred), ‡d 1922-

400 1 ‡a Johnson, Charles Alfred, ‡d 1922-
670 ‡a Denver's Mayor Speer, 1970: ‡b t.p. (Charles A. Johnson)
670 ‡a RLIN, Feb. 25, 1998 ‡b (hdg.: Johnson, Charles A. (Charles Alfred), 1922- ;
Johnson, Charles Alfred, 1922- ; usage: Charles A. Johnson)
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 cat-
aloger 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 cat-
aloged “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 sur-
name, 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 refer-
ences. 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 refer-
ence for the unused portion.
FIGURE 3-13 Variant formulated according to AACR2 practice (Church)
110 2 ‡a Church of the Good Shepherd (Punta Gorda, Fla.)

410 2 ‡a Good Shepherd Church (Punta Gorda, Fla.)
670 ‡a Church of the Good Shepherd, Punta Gorda, Florida, c1996: ‡b p. 5, etc. (Good
Shepherd Church; founded 1896)
FIGURE 3-14 Surname with separately written prefix
100 1 ‡a La Chapelle, Ariane de

400 1 ‡a De La Chapelle, Ariane
400 1 ‡a Chapelle, Ariane de La
670 ‡a 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 vari-
ants”; 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 trans-
lated many times, varies according to the language. The authorized form
of his name is “Le Bon, Gustave, 1841-1931.” As a name with a sepa-
rately 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, 1841-
1931.” 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 cross-
reference will be qualified, but the qualifier will, under current NACO poli-
cies, 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 pres-
ence 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.
FIGURE 3-15 Term of incorporation not given in cross-reference
110 2 ‡a Clarian Health (Firm)

410 2 ‡a Clarian Health Partners
670 ‡a The Clarian, Mar. 6, 2000: ‡b t.p. (Clarian Health)
670 ‡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 unautho-
rized 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 estab-
lished: “Jones, Albert R.” Unfortunately, this heading conflicted with the
400 field in the earlier record. If this had been allowed to stand, the cata-
log user doing the same search would now be given a confusing search
result similar to the following:
Jones, Albert R.
search under
[list of works by Albert R. Jones]
Because nothing more was known about either name to further qual-
ify, 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
[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 suc-
cessive, 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 Cor-
poration, 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 ‡a Jones, A. R. ‡q (Albert R.)

500 1 ‡a Jones, Albert R. [Note: this was originally a 400 field]
670 ‡a God in prison, 1977: ‡b t.p. (A.R. Jones)
670 ‡a Data from Nat. Lib. of Australia ‡b (Jones, Albert R.)
100 1 ‡a Jones, Albert R.

500 1 ‡a Jones, A. R ‡q (Albert R.)
670 ‡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)
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 rela-
tionship 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,” indicat-
ing 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.
When the relationship between corporate bodies is not known, is not

sequential, or is too complex, the cataloger may make a simple 5XX ref-
erence without ‡w. See figure 3-17.
A similar technique using subfield ‡w is used to link broader and nar-
rower 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 Bodies not sequentially related
110 2 ‡a American Indian Higher Education Consortium

410 2 ‡a AIHE Consortium
410 2 ‡a AIHEC
510 2 ‡a American Indian College Fund
670 ‡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))
670 ‡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)
110 2 ‡a American Indian College Fund

510 2 ‡a American Indian Higher Education Consortium
670 ‡a Annual report, 1993: ‡b t.p. (American Indian College Fund) t.p. verso (non-profit
est. 1989, located in New York, N.Y.)
670 ‡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)
FIGURE 3-18 Performing group containing the names of performers
110 2 ‡a Donny & Marie

410 2 ‡a Donny and Marie
500 1 ‡a Osmond, Donny
500 1 ‡a Osmond, Marie, ‡d 1959-
670 ‡a The all-time greatest hits of the Osmond family, p2000: ‡b label (Donny & Marie)
booklet (Donny Osmond, Marie Osmond)
100 1 ‡a Osmond, Donny

400 1 ‡a Osmond, Donald Clark
670 ‡a Life is just what you make it, c1999: ‡b t.p. (Donny Osmond)
670 ‡a New Rolling Stone enc. of rock & roll: ‡b p. 735 (Donny Osmond; b. Donald
Clark Osmond, 9 Dec. 1957, Ogden, Utah)
100 1 ‡a Osmond, Marie, ‡d 1959-

400 1 ‡a Osmond, Olive Marie, ‡d 1959-
670 ‡a Marie Osmond's Guide to beauty, health, and style, c1980
670 ‡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 head-
ings 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
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 per-
sonal heading.” In other words, works entered under this person’s corpo-
rate heading will always contain, in addition to the corporate main entry,
an added entry for the personal heading; but works entered under this per-
son’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 (assum-
ing 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 gov-
ernor of Virginia (Virginia. Governor (1779-1781 : Jefferson)), because all
works will be gathered under the heading “Jefferson, Thomas, 1743-
1826.” 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 follow-
ing (or similar) display appears:
United States. President (1801-1809 : Jefferson)
search also under
Jefferson, Thomas, 1743-1826
FIGURE 3-19 Government official
100 1 ‡a Jefferson, Thomas, ‡d 1743-1826

510 1 ‡a United States. ‡b President (1801-1809 : Jefferson)
510 1 ‡a Virginia. ‡b Governor (1779-1781 : Jefferson)
670 ‡a Speech of Thomas Jefferson, president of the United States, delivered at his instal-
ment, March 4, 1801, at the city of Washington, 1801?
670 ‡a By His Excellency Thomas Jefferson, Esq., governour of the Commonwealth of
Virginia : a proclamation, 1781
670 ‡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)
110 1 ‡a United States. ‡b President (1801-1809 : Jefferson)

670 ‡a Speech of Thomas Jefferson, president of the United States, delivered at his instal-
ment, March 4, 1801, at the city of Washington, 1801?
670 ‡a Enc. of world biog., 1998: ‡b 8:238-241 (Thomas Jefferson; U.S. pres. 4 March
1801, reelected 1804)
110 1 ‡a Virginia. ‡b Governor (1779-1781 : Jefferson)

670 ‡a By His Excellency Thomas Jefferson, Esq., governour of the Commonwealth of
Virginia : a proclamation, 1781
670 ‡a Enc. of world biog., 1998: ‡b 8:238-241 (Thomas Jefferson; Va. gov. June 1779-
1781)
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 sup-
posed 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, 1743-
1846,” 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.
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 refer-

ences 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 indi-
vidual 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 prac-
tice 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 per-
sonal name is coded “‡w nnnc” at the beginning of the string, which sup-
presses 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 corpo-
rate 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 ‡a Iran. ‡b Shah (1941-1979 : Mohammed Reza Pahlavi)

663 ‡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]
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 sit-
uation 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 cross-
reference in a 400 field from the person’s real name if it is known (see fig-
ure 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 Pseudonym only used
100 1 ‡a Wayne, John, ‡d 1907-1979

400 1 ‡a Morrison, Marion Michael, ‡d 1907-1979
400 1 ‡a Wayne, Duke, ‡d 1907-1979
670 ‡a The films of John Wayne, 1970
670 ‡a Enc. Britannica, 1992 ‡b (Wayne, John; byname Duke, original name Marian
Michael Morrison; b. May 26, 1907; d. June 11, 1979)
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 pseudo-
nym 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 sev-
eral 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 mathemat-
ical works under his real name, Charles Dodgson. The text of the explana-
tory 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 pre-
fix: records originally contributed by the LC begin with the prefix “n”;
FIGURE 3-22 Contemporary author writing under more than two names
a. The basic record

053 ‡a PS3553.A655
100 1 ‡a Card, Orson Scott
500 1 ‡w nnnc ‡a Bliss, Frederick
500 1 ‡w nnnc ‡a Green, Bryan
500 1 ‡w nnnc ‡a Gump, P. Q.
500 1 ‡w nnnc ‡a Walley, Byron
663 ‡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
670 ‡a A storyteller in iZon, 1993: ‡b t.p. (Orson Scott Card)
670 ‡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)
675 ‡a Friend, Oct. 1977: p. 38 (Byron Walley) ‡a The rag mission, 1979 (Bryan Green)
b. The other records

100 1 ‡a Bliss, Frederick
500 1 ‡w nnnc ‡a Card, Orson Scott
663 ‡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
100 1 ‡a Green, Bryan

670 ‡a The rag mission, 1979 ‡b (Bryan Green; pseud. used by Orson Scott Card)
100 1 ‡a Gump, P. Q.
100 1 ‡a Walley, Byron

670 ‡a Friend, Oct. 1977: ‡b p. 38 (Byron Walley; pseud. used by Orson Scott Card)
FIGURE 3-23 Separate bibliographic identities
100 1 ‡a Dodgson, Charles Lutwidge, ‡d 1832-1898

400 1 ‡a Dodgson, C. L. ‡q (Charles Lutwidge), ‡d 1832-1898
400 0 ‡a D. C. L., ‡d 1832-1898
500 1 ‡w nnnc ‡a Carroll, Lewis, ‡d 1832-1898
663 ‡a For literary works of this author, search also under ‡b Carroll, Lewis, 1832-1898
667 ‡a SUBJECT USAGE: This heading not valid for use as a subject. Works about this
person are entered under Carroll, Lewis, 1832-1898.
670 ‡a Euclid and his modern rivals, 1879: ‡b t.p. (Charles L. Dodgson)
670 ‡a The new belfry of Christ Church, Oxford, 1872: ‡b t.p. (D.C.L.)
670 ‡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.)
053 ‡a PR4611 ‡b PR4612

100 1 ‡a Carroll, Lewis, ‡d 1832-1898
500 1 ‡w nnnc ‡a Dodgson, Charles Lutwidge, ‡d 1832-1898
663 ‡a For mathematical works of this author, search also under ‡b Dodgson, Charles
Lutwidge, 1832-1898
670 ‡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 field
010 ‡a nr 97036483
100 1 ‡a Vittet, Judith
670 ‡a La cité des enfants perdus, 1995: ‡b credits (Judith Vittet)
670 ‡a Internet movie database, via WWW, Sept. 15, 2000 ‡b (Judith Vittet, French
actress; b. 1986)
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 con-
tain 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 tex-
tual portions of the entry, not the language or country of origin of the per-
son 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 fre-
quently 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 appro-
priate to the author or work. Full instructions for this procedure are given
at the PCC website, <http://lcweb.loc.gov/catdir/pcc/litauthno.html>. A
form at the same site is used for requesting 053 fields: <http://lcweb.loc.
gov/catdir/pcc/053/053prop.html>. 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 field
040 ‡a UPB ‡b eng ‡c UPB

100 1 ‡a Smith, William, ‡d 1813-1893
670 ‡a A concise dictionary of the Bible, 1880: ‡b t.p. (William Smith)
670 ‡a RLIN, Sept. 15, 2000 ‡b (hdg.: Smith, William, 1813-1893; usage: William Smith)
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 iden-
tification 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 field showing the LC classification number for a literary author
053 ‡a PS3513.E2
100 1 ‡a Seuss, ‡c Dr.
400 0 ‡a Dr. Seuss
500 1 ‡w nnnc ‡a Geisel, Theodor Seuss, ‡d 1904-
500 1 ‡w nnnc ‡a LeSieg, Theo., ‡d 1904-
500 1 ‡w nnnc ‡a Stone, Rosetta
663 ‡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-
670 ‡a The cat in the hat, c1957: ‡b t.p. (Dr. Seuss)
670 ‡a Contemp. auth., new rev. ser., v. 13 ‡b (Geisel, Theodor Seuss; b. Mar. 2, 1904)
670 ‡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 field showing a span of numbers
053 ‡a PR4200 ‡b PR4248

100 1 ‡a Browning, Robert, ‡d 1812-1889
670 ‡a Select poems of Robert Browning, 1905
670 ‡a RLIN, June 10, 2000 ‡b (hdg.: Browning, Robert, 1812-1889; usage: Robert
Browning)
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 edi-
tion (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 num-
ber. For an example of how this might look in an authority record, see fig-
ure 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 some-
thing 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 field for literary author
083 04 ‡a 882.01 So66 ‡2 21

100 0 ‡a Sophocles
670 ‡a Oedipus tyrannus, c2000: ‡b t.p. (Sophocles)
670 ‡a Oxford classical dict., 1996: ‡b p. 1422 (Sophocles; Athenian tragic playwright,
5th c. B.C.)
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 instruc-
tions 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 cat-
aloger’s thinking process. See figure 3-31.
FIGURE 3-30 “Cannot identify with” note
100 1 ‡a Hall, Thomas, ‡d fl. 1789

667 ‡a Cannot identify with Hall, Thomas, 18th/19th cent.
670 ‡a Sensibility : a poem, 1789: ‡b t.p. (Thomas Hall, author of Benevolence and other
poems)
FIGURE 3-31 Tentative identification (personal name)
100 1 ‡a Hall, Al, ‡d 1915-1988

667 ‡a Bassist and trombonist judged to be the same person.
670 ‡a Mr. Wilson [SR], 1955?: ‡b container (Al Hall, bass)
670 ‡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)
670 ‡a Gambler's life, p1974: ‡b container (Al Hall, trombone)
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 stat-
ing that it does not represent the same person or entity as another is some-
what redundant.
Such notes can be made for tentative identification of corporate bod-
ies 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 fre-
quently this has involved machine generation of records with little direct
human intervention. These records are identified by the 667 note “Machine-
derived 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 Tentative identification (corporate body)
110 2 ‡a Balé da Cidade de São Paulo

410 1 ‡a São Paulo (Brazil). ‡b Secretaria Municipal de Cultura. ‡b Balé da Cidade de São
Paulo
410 1 ‡a São Paulo (Brazil). ‡b Balé
510 1 ‡w a ‡a São Paulo (Brazil). ‡b Corpo de Baile Municipal
667 ‡a Appears to be later name of: Corpo de Baile Municipal (São Paulo, Brazil)
670 ‡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)
675 ‡a Corpo de Baile Municipal, 1980: t.p. (Corpo de Baile Municipal)
FIGURE 3-33 Machine-derived authority record
100 1 ‡a Prescott, John

667 ‡a Machine-derived authority record
670 ‡a LCCN 92-760047: Prescott, J. Sonata for tuba and piano opus 23, 1990?: ‡b
(usage: John Prescott)
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 punc-
tuation (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 “Marie-
Antoine” (name consisting solely of forenames) because the first normalizes to
MARIE, ANTOINE and the second to MARIE ANTOINE. To summarize, head-
ings 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 mech-
anisms 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
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 cor-
porate 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 edi-
tion 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 cho-
sen 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 com-
monly 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
72 AUTHORITY CONTROL OF NAMES
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 com-
monly 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 publish-
ing? 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 bet-
ter-known form (22.2C1). Thus, the form “Jacqueline Kennedy Onassis”
is chosen for this person.
AUTHORITY CONTROL OF NAMES 73
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 “predomi-
nates” 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 “com-
monly known,” but under the above interpretation it might not be cho-
sen), 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 com-
monly 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 ency-
clopédique,3 and it might even make sense to consult a specialized ency-
clopedia 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 bio-
graphical 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
practice, even by LC catalogers. At least a brief examination of the NAF

(Name Authority File) for artists’ names turns up little evidence of search-
ing 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 lan-
guage or country of residence. More work for the cataloger, yes, but per-
haps 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 “com-
monly 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 “com-
monly identified.” In the first place, AACR2 always favors forms found
on chief sources of information over those found elsewhere in the item,
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 can-
not be determined, the cataloger is next to choose the predominant form
(this would again be determined by a simple usage sample of the cata-
loging 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 cata-
loger 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 cor-
porate 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
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 bod-
ies for the purpose of discussing and/or acting on topics of current inter-
est, 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 sym-
posium 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 search-
ing gazetteers and reference sources published in English-speaking coun-
tries. 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
<http://www-nmd.usgs.gov/www/gnis/gnisform.html>; 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 cata-
logers 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 <http://164.214.2.53/gns/html/index.html>, which contains the
National Imagery and Mapping Agency’s database of foreign geographic

feature names, or “an appropriate gazetteer” when the Web is unavail-
able. 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 (Machine-
Readable Cataloging) coding (which has separate fields for the two con-
cepts: 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 terri-
tory covered by the United States. The confusion arises in coding the bib-
liographic 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.
or
However, if this name is used as a subject, it is always coded as fol-

lows, whether the subject covers the entity as a government or a place, e.g.,
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:
Authority record:
110 1 ‡a United States. ‡b Marine Corps
Bibliographic records:
110 1 ‡a United States. ‡b Marine Corps.
On the other hand, many place names do not correspond to a juris-
diction. Examples include the names of mountains, deserts, and rivers, all
coded in X51 fields:
Authority records:
151 ‡a Rocky Mountains
151 ‡a Sonoran Desert
151 ‡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 ‡a New England
151 ‡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 sub-
ject entry, they are coded in a 651 field:
Bibliographic records:
651 ‡a Nile River.
651 ‡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
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 qual-
ifier of geographic names are among the few instances under current prac-
tice where changes to established headings are routinely made.
FIGURE 4-1 Change in jurisdictional name (new authority record created)
151 ‡a Leningrad (R.S.F.S.R.)

451 ‡a Leninnkrant (R.S.F.S.R.)
551 ‡w a ‡a Petrograd (R.S.F.S.R.)
551 ‡w b ‡a Saint Petersburg (Russia)
667 ‡a SUBJECT USAGE: This heading is not valid for use as a subject. Works about this
place are entered under Saint Petersburg (Russia)
667 ‡a DESCRIPTIVE USAGE: For items and imprints pertaining to the 1924-1991 period
only
670 ¯
‡a Rosia, 1977 ‡b t.p. (Leninnkrant)
670 ‡a USSR gaz., 1970 ‡b (Leningrad; 59° 55' N 30° 15' E)
670 ‡a LC PreMARC file ‡b (hdg.: Leningrad; earlier names: Saint Petersburg, Petrograd)
675 ‡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 [conven-
tional]; ppl.)
151 ‡a Saint Petersburg (Russia)

451 ‡a Peterburi (Russia)
451 ‡a Sankt-Peterburg (Russia)
451 ‡a Sanktpeterburg (Russia)
551 ‡w a ‡a Leningrad (R.S.F.S.R.)
670 ‡a Peterburi Eesti seltside teatritegevus, c1991
670 ‡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 Change in jurisdictional qualifier (authority record modified)
151 ‡a Moscow (Russia)

451 ‡a Moskva (Russia)
451 ‡a Moscou (Russia)
451 ‡a Moskau (Russia)
451 ‡a Moskwa (Russia)
451 ‡w nne ‡a Moscow (R.S.F.S.R.)
670 ‡a Where in Moscow, 1992: ‡b t.p. (Moskva)
670 ‡a BGN, per phone 1/27/84 ‡b (Moskva (Russian); Moscow (conv.); popl. 55° 45' N
37° 35' E; variants: Moscou, Moskau, Moskwa)
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 sub-
jects 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, con-
glomerates of jurisdictions), are considered subjects and must be estab-
lished 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 cur-
rently 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 distinc-
tion 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 head-
ing under consideration for establishment is a name or a subject, some
cases have historically caused problems, and LC has simply made an arbi-
trary decision in ambiguous cases (this is unofficially known as “the divi-
sion 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).
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 Convents
Academies Correctional institutions
Airplanes, Named Country clubs
Airports Crematories
Almshouses Dance halls
Aquariums, Public Denominations, Religious
Arboretums (individual)
Art works, Individual Dispensaries
Artificial satellites Ecclesiastical entities that are also
Asylums (charitable institutions) names of places, for example,
Athletic contests Basel (Switzerland :
Banks Ecclesiastical principality)
Bars Ecological stations
Biblical characters Educational institutions
Biological stations Electronic discussion groups
Boards of trade (chambers of Embassies
commerce) Events [Events appear in both
Botanical gardens lists. See below for explana-
Broadcasting stations tion.]
Cathedrals Exhibitions
Cemeteries Expeditions, Military
Chambers of commerce Expeditions, Scientific
Chapels Experiment stations
Churches (in use or ruins) Expositions
Circuses Factories
City sections (including historic Fairs
districts in cities) Festivals and celebrations
Collective settlements Folk festivals and celebrations
Colleges Forest districts
Comic strips Funds
Communes Funeral homes, mortuaries
Competitions Galleries
Computer programs Games (events)
Concentration camps Halfway houses
Concert halls Herbariums
Conservation districts Hospitals
Contests Hotels
Individual works of art Radio programs

Jurisdictions, Ancient (other than Railroads
cities) Recreation districts
Laboratories Religious denominations
Libraries Research stations
Library districts Restaurants
Markets Sanatoriums
Military installations (active; also Sanitation districts
all after 1899) Satellites, Artificial
Monasteries School districts
Morgues Schools
Motels Service stations
Motion pictures Shipyards
Museums Shows (exhibitions)
Nightclubs Software, Computer
Nursing homes Sound recording labels
Observatories Space vehicles
Old age homes Sporting events
Opera houses Stock exchanges
Orphanages Stores, Retail
Parades Studies (research projects)
Park districts Television programs
Planetariums Temples (in use; excludes temples
Plans (programs) in ruins)
Poorhouses Theater companies
Port authorities Tournaments
Prisons Tribes (as legal entities only)
Projects, plans, etc. Undertakers
Public celebrations, pageants, Universities
anniversaries Utility districts
Publisher’s imprints Water districts
Pueblos Works of art, Individual
Races (contests) 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 Armories
Apartment houses Artists’ groups
Asian conglomerate corporations Farms

Astronomical features (asteroids, Feasts
comets, galaxies, planets, Ferry buildings
etc.) Fire stations
Auditoriums Forests
Awards Fortresses (structures)
Bathhouses Gardens
Baths, Ancient Gates
Bridges Grain elevators
Building details Gymnasiums
Buildings, Private Hazardous waste sites
Buildings occupied by corporate Highways
bodies Historic sites (including historic
Bus terminals districts not in cities)
Camps Immigration stations
Canals Islands, Nonjurisdictional
Capitols Land grants
Castles Lighthouses
Celestial bodies Manors
Cities, Extinct (pre-1500) Mansions
City halls Market buildings
Civic centers Military installations (before 1900
Clans and inactive)
Clubhouses Mine buildings
Coliseums Mines
Collections, Public or Private Mints
Collective farms Monuments (structures, statues,
Community centers etc.)
Computer languages Music halls
Computer networks Office buildings
Computer systems Official residences
Convention centers Palaces
Courthouses Parks
Customhouses Playgrounds
Details, Building Plazas (open spaces, squares,
Docks etc.)
Doors Police stations
Dwellings Pools, Public
Estates Ports (physical facilities)
Events [Events appear in both Post offices
lists. See the following section Power plants
for explanation.] Presidential mansions
Exhibition buildings Public comfort stations
Families Racetracks
Railway stations Stadiums

Ranches Streets
Recreation areas Structures (nongeographic,
Refugee camps for example, towers)
Reservations, Indian Temples (in ruins)
Reserves (parks, forests, etc.) Terminal buildings
Resorts Theater buildings
Roads Theme parks
Rooms Tombs
Sanitary landfills Towers
Satellites (i.e., moons) Trails
Schools of artists Tribes (ethnic groups)
Shopping centers Tunnels
Shrines (not churches) Villas
Spas Walls
Sport arenas 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 Folk festivals and celebrations

Competitions Games (events)
Conferences Meetings
Contests Parades
Exhibitions Public celebrations, pageants,
Expeditions, Military anniversaries
Expeditions, Scientific Races (contests)
Expositions Shows (exhibitions)
Fairs Sporting events
Festivals and celebrations Tournaments
SUBJECTS (EVENTS)
The following types of events should be established in the SAF according
to subject cataloging conventions (SCM H1592):
Accidents Natural disasters

Assassinations Political incidents, affairs, scandals
Bombings, explosions Purges
Coronations Reigns, rules
Cruises, flights Riots, demonstrations
Cultural revolutions Sieges, blockades
Epidemics, famines Special days, weeks, months,
Fires years, decades, umbrella terms
Funerals for events that are composed
Hijackings of multiple individual public
Imprisonments celebrations, pageants,
Inaugurations anniversaries
Massacres Strikes
Military engagements, raids, bat- Trials
tles, wars, revolutions, occu- Uprisings, mutinies
pations, invasions, operations 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 man-
ual 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, arti-
cles, or political speeches—because authoritative alphabetic lists in English
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 writ-
ten prefixes are all based on this simple principle: Which element of the
name would come first in authoritative alphabetic lists in the person’s lan-
guage 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 informa-
tion 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 distin-
guish the name or to further identify it. The most common of these addi-
tions 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 Personal name qualified by date of birth
100 1 ‡a Clinton, Bill, ‡d 1946-

400 1 ‡a Clinton, William J. ‡q (William Jefferson), ‡d 1946-
510 1 ‡a Arkansas. ‡b Governor (1979-1981 : Clinton)
510 1 ‡a Arkansas. ‡b Governor (1983-1992 : Clinton)
510 1 ‡a United States. ‡b President (1993-2001 : Clinton)
670 ‡a His Summary of exec. recommend. for the budget, State of Ark., FY 1980-81,
1981?: ‡b t.p. (Bill Clinton, governor)
670 ‡a WWA, 1980/81 ‡b (Clinton, William J., b. 8/19/46; governor of Ark., 1979- )
FIGURE 4-4 Personal name qualified by date of birth
100 1 ‡a Sinatra, Frank, ‡d 1915-

400 1 ‡a Sinatra, Francis Albert, ‡d 1915-
670 ‡a Tips on popular singing, c1941: ‡b t.p. (Frank Sinatra)
670 ‡a New Grove dict. of Amer. mus. ‡b (Sinatra, Frank (Francis Albert); b. 12-12-15,
Hoboken, NJ; popular singer and actor)
670 ‡a National Public Radio news, May 15, 1998 ‡b (Frank Sinatra, singer, 82, d. May
14, 1998, Los Angeles)
FIGURE 4-5 Personal name qualified by fuller forms and dates of birth and death
100 1 ‡a Lewis, C. S. ‡q (Clive Staples), ‡d 1898-1963

400 1 ‡a Lewis, Clive Staples, ‡d 1898-1963
400 1 ‡a Lewis, Jack, ‡d 1898-1963
670 ‡a The lion, the witch, and the wardrobe, 1994: ‡b t.p. (C.S. Lewis)
670 ‡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 cataloger-
devised 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 ‡a John Paul ‡b II, ‡c Pope, ‡d 1920-
100 0 ‡a Teresa, ‡c Mother, ‡d 1910-
100 0 ‡a Elizabeth ‡b I, ‡c Queen of England, ‡d 1533-1603
100 0 ‡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 head-
ing to be used for them all.16 The authority record for such a heading is
called an “undifferentiated name record.” The record for an undifferenti-
ated name is marked in several ways to make it easily recognizable. First, the
fixed field position 008/32 (“undifferentiated personal name”) is coded
“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 undiffer-
entiated 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 stream-
lining 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 discontin-
ued. Undifferentiated personal name records should now contain 670
pairs for all persons represented by the heading, no matter how many
FIGURE 4-6 Undifferentiated personal name
[008/32 coded "b"]

100 1 ‡a Baker, Margaret
670 ‡a [Author of Blind desire]
670 ‡a Blind desire, 1986: ‡b t.p. (Margaret Baker)
670 ‡a [Author of Hospital careers]
670 ‡a Hospital careers, 1966 ‡b (text by Margaret Baker)
670 ‡a [Editor of Top girl]
670 ‡a Top girl, 1966 ‡b (edited by Margaret Baker)
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 ini-
tials (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 shut-
tle orbiter USS Columbia becomes “Columbia.”
Omit from conference names indications of number, frequency, or
years of convocation (24.7A). The 18th Annual Semiconductor Pure
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 with-
out such a qualifier or do not in themselves convey the idea that they rep-
resent 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 cor-
porate 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 sep-
arate (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 Uni-
versity, Bloomington)” and “Lilly Library (Wabash College).”
Sometimes different types of qualifiers are used with conflicting head-
ings. There are two Chemists’ Clubs, one in New York City, an indepen-
dent 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 qual-
ifying by institution is much less common than qualifying by place name,
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 rep-
resenting the ancestor of the university and the other representing a sub-
ordinate 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 <catalog.loc.gov>,
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 head-
ing 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 loca-
tion 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 Chem-
icals 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 ongo-
ing (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 ‡a Semiconductor Pure Water and Chemicals Conference
111 2 ‡a Symposium on VLSI Technology
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 meet-

ings 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 cre-
ate 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 ‡a National Research Council (U.S.)
110 2 ‡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 govern-
ment 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 sub-
ordinate 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 sub-
ordinate 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
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 Aero-
nautics 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 estab-
lished separately. As an example, the Space and Communications Group
at Denver Engineering Laboratories, part of the Hughes Aircraft Com-
pany, 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 inter-
vening 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
FIGURE 4-7 Multiple records required to establish subordinate body
110 2 ‡a Hughes Aircraft Company. ‡b Space and Communications Group

410 2 ‡a Hughes Aircraft Company. ‡b Denver Engineering Laboratories. ‡b Space and
Communications Group
670 ‡a Advanced nickel-hydrogen cell configuration ..., 1983: ‡b t.p. (Hughes Aircraft
Company, Space and Communications Group)
670 ‡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 ‡a Hughes Aircraft Company. ‡b Denver Engineering Laboratories

670 ‡a Development of Ku-band rendevous radar ..., 1986: ‡b t.p. (Hughes Aircraft
Company, Denver Engineering Laboratories)
110 2 ‡a Hughes Aircraft Company

510 2 ‡w b ‡a Raytheon Systems Company
670 ‡a Rocket liner program (Contract DA-O4-495-ORD-3079), 1962: ‡b t.p. (Hughes
Aircraft Company)
670 ‡a Raytheon Company WWW Home page, Jan. 19, 1999 ‡b : overview (Raytheon
Systems Company combines the best of Raytheon Electronic Systems ... and the for-
mer Hughes Aircraft Company)
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 (Braz-
zaville)” 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,
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 estab-
lished 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, 1960-
1964, 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
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 cor-
porate 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 dis-
cussion, 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 con-
sists of both a name and a title under AACR2 (Anglo-American Cata-
loguing 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 fig-
ure 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 man-
ifestations of the work, such as an audio recording.
97
98 UNIFORM TITLES: GENERAL INFORMATION
FIGURE 5-1 Name-title
100 1 ‡a Melville, Herman, ‡d 1819-1891. ‡t Moby Dick

400 1 ‡a Melville, Herman, ‡d 1819-1891. ‡t Whale
670 ‡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 addi-
tion of the uniform title “Melville, Herman, 1819-1891. Moby Dick.
Lithuanian” causes this record to collocate (file) with all other manifesta-
tions of the work.
Equally important, uniform titles serve a differentiating function, sep-
arating 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 uni-
form 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 pro-
vision 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.
UNIFORM TITLES: GENERAL INFORMATION 99
Uniform titles are by definition uniform and fall under authority con-
trol because they need to be consistent and unique. Therefore, once the
decision has been made to use a uniform title, an authority record is usu-
ally 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 ‡a Plato. ‡t Timaeus. ‡l English

670 ‡a Timaeus and Critias, c1977
670 ‡a LC in RLIN, Nov. 29, 2000 ‡b (hdg.: Plato. Timaeus. English)
100 0 ‡a Plato. ‡t Critias. ‡l English

670 ‡a Timaeus and Critias, c1977
670 ‡a LC in RLIN, Nov. 29, 2000 ‡b (hdg.: Plato. Critias. English)
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 author-
ity record in which the form is contained within a single field, the 100 field
(authority format). Nearly all library systems now have automatic author-
ity checking features, but most have not yet solved the problem of autho-
rizing 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 pro-
posed 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 pub-
lished 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 bibli-
ographic 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 consid-
ered 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 uni-
form 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
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 uni-
form 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 pol-
icy 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 author-
ity 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 uniform-
title 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 head-
ings or added entries). The assumption seems to be that the benefit derived
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 cat-
alog 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 indi-
vidual 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 manifesta-
tions 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 head-
ing appropriate to the new work if the modification has substantially
changed the nature and content of the original, or if the medium of expres-
sion has been changed [i.e., in these cases the work is considered a differ-
ent work from the original]. If, however, the modification is an abridge-
ment, 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:
New work (no shared uniform title)
A paraphrase, rewriting, adaptation for children, or version in a dif-

ferent 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 biogra-
pher/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)
A musical work that has had instrumental accompaniment or addi-

tional 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, physi-
cal 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 cat-
aloged 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 hun-
dreds 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).
FIGURE 5-4 Commonly known title
100 1 ‡a Defoe, Daniel, ‡d 1661?-1731. ‡t Robinson Crusoe

400 1 ‡a Defoe, Daniel, ‡d 1661?-1731. ‡t Life and strange surprizing adventures of
Robinson Crusoe, of York, mariner
670 ‡a The life and strange surprizing adventures of Robinson Crusoe, of York, mariner,
1719
670 ‡a Dict. of lit. biog., 1991: ‡b v. 101, p. 106 (title consistently given "Robinson
Crusoe")
FIGURE 5-5 Named work of art
100 1 ‡a Seurat, Georges, ‡d 1859-1891. ‡t Sunday afternoon on the island of la Grande

Jatte
400 1 ‡a Seurat, Georges, ‡d 1859-1891. ‡t Dimanche d'été à la Grande Jatte
670 ‡a Have a good look with Johnny Morris [at] A Sunday afternoon on the island of La
Grande Jatte [by] Georges Seurat, 1979
670 ‡a Enc. Brit., 1994 ‡b v. 10, p. 663 (Sunday afternoon on the island of la Grande
Jatte)
670 ‡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 ortho-

graphic 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 exam-
ple, 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 com-
plete overhaul of the authority and bibliographic files was the conversion
in 2000 of all romanized Chinese headings from the Wade-Giles roman-
ization to Pinyin, the romanization scheme that is now accepted in main-
land China.6
FIGURE 5-6 Orthographic reform
100 1 ‡a Senfft, Heinrich, ‡d 1928- ‡t So genannte Wiedervereinigung

400 1 ‡a Senfft, Heinrich, ‡d 1928- ‡t Sogenannte Wiedervereinigung
670 ‡a Die sogenannte Wiedervereinigung, 1999
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 author-
ity 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 estab-
lished 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 origina-
tor 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 omit-
ted 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 Original title
100 1 ‡a Sword, Wiley. ‡t Embrace an angry wind

400 1 ‡a Sword, Wiley. ‡t Confederacy's last hurrah
670 ‡a The Confederacy's last hurrah, 1993
670 ‡a Embrace an angry wind, 1992
FIGURE 5-8 Introductory phrase omitted
100 1 ‡a Barry, Robert E. ‡t Faint George who wanted to be a knight

400 1 ‡a Barry, Robert E. ‡t This is the story of Faint George who wanted to be a knight
670 ‡a This is the story of Faint George who wanted to be a knight, c1957
FIGURE 5-9 Statement of responsibility omitted
100 1 ‡a Poe, Edgar Allan, ‡d 1809-1849. ‡t Tales of mystery and imagination

400 1 ‡a Poe, Edgar Allan, ‡d 1809-1849. ‡t Edgar Allan Poe's tales of mystery and imagi-
nation
670 ‡a Edgar Allan Poe's tales of mystery and imagination, 1914
FIGURE 5-10 Statement of responsibility retained
100 1 ‡a Barks, Carl, ‡d 1901- ‡t Walt Disney's Uncle Scrooge McDuck

400 1 ‡a Barks, Carl, ‡d 1901- ‡t Uncle Scrooge McDuck
670 ‡a Walt Disney's Uncle Scrooge McDuck, 1981
FIGURE 5-11 Statement of responsibility omitted
100 1 ‡a Burningham, John. ‡t France

400 1 ‡a Burningham, John. ‡t John Burningham's France
670 ‡a John Burningham's France, 1998
FIGURE 5-12 Statement of responsibility retained
100 1 ‡a McKevitt, Anne. ‡t Anne McKevitt's house sensation

400 1 ‡a McKevitt, Anne. ‡t House sensation
670 ‡a Anne McKevitt's house sensation, 1998
FIGURE 5-13 Alternative title omitted
100 1 ‡a Sendak, Maurice. ‡t Higglety pigglety pop

400 1 ‡a Sendak, Maurice. ‡t There must be more to life
670 ‡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 simultane-
ously 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.”
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 coun-
try. However, local considerations such as this are becoming less impor-
tant 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 con-
tributions 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 for-
mat in MARC.
The MARC authority record for uniform titles follows the same for-
mat 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 fur-
ther subfields, as described in chapter 6.
References
References, if any, will be given in 4XX and 5XX fields. 4XX fields rep-
resent unauthorized forms and will produce a message to the user to
search instead under the authorized form. 5XX fields contain related
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 Tech-
niques: Collective Titles.”
FIGURE 5-14 Reference to work followed by part
100 1 ‡a Gatto, Simon, ‡d d. 1595. ‡t Masses, ‡n book 1. ‡p Missa "Scarco di doglia"

400 1 ‡a Gatto, Simon, ‡d d. 1595. ‡t Missa "Scarco di doglia"
400 1 ‡a Gatto, Simon, ‡d d. 1595. ‡t Scarco di doglia
670 ‡a Niederländische und Italienische Musiker der Grazer Hofkapelle Karls II., 1564-
1590, 1954: ‡b contents (Missa "Scarco di doglia") p. 103 (from Missae tres, quinis et
senis vocibus, liber primus (1579))
FIGURE 5-15 Reference to part entered directly
100 1 ‡a Asimov, Isaac, ‡d 1920- ‡t Second foundation

400 1 ‡a Asimov, Isaac, ‡d 1920- ‡t Foundation trilogy. ‡n 3. ‡p Second foundation
400 1 ‡a Asimov, Isaac, ‡d 1920- ‡t 2nd foundation
670 ‡a 2nd foundation, 1953
670 ‡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)
FIGURE 5-16 Reference to AACR2 collective title
100 1 ‡a Dieste, Rafael. ‡t Plays

400 1 ‡a Dieste, Rafael. ‡t Teatro
670 ‡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 refer-
ences in the authority record “unless . . . the references are made unnec-
essary 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 clar-
ify the relationship to the user (see figure 5-17). See also references for uni-
form titles are quite rare in the authority file, except in manuscript head-
ings (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 obvi-
ously 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 cross-
reference 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 See also reference
130 0 ‡a Bible. ‡l English. ‡s Douai

430 0 ‡a Bible. ‡l English. ‡s Douay
430 0 ‡a Bible. ‡l English. ‡s Douai-Rheims
530 0 ‡a Bible. ‡p N.T. ‡l English. ‡s Rheims
530 0 ‡a Bible. ‡p O.T. ‡l English. ‡s Douai
670 ‡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
670 ‡a RLIN, June 18, 1996 ‡b (hdg.: Bible. English. Douai; Bible. English. Douai-
Rheims)
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
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 addi-
tional 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, col-
location 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.”
3. In 1993 the Music Library Association proposed to ALA’s Machine-Readable

Bibliographic Information Committee (MARBI) that the 240 field be made obso-
lete 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 lan-
guage, ‡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.
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 <http://lcweb.loc.gov/catdir/pinyin/pinyin.html>.
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 cata-
log. 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 var-
ious 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 (includ-
ing 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 orga-
nized 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 exam-
ple 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 “lan-
guage editions,” separate editions in two or more languages. The contents
FIGURE 6-1 Translation
100 1 ‡a Dickens, Charles, ‡d 1812-1870. ‡t Great expectations. ‡l Finnish

400 1 ‡a Dickens, Charles, ‡d 1812-1870. ‡t Loistava tulevaisuus
670 ‡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 Two languages, neither one original
100 0 ‡a Aristotle. ‡t Meteorologica. ‡l Arabic & Latin

400 0 ‡a Aristotle. ‡t Aristotle's Meteorology in the Arabico-Latin tradition
670 ‡a Aristotle's Meteorology in the Arabico-Latin tradition, 2000
UNIFORM TITLES: PARTICULAR PROBLEMS 115
FIGURE 6-4 More than two languages
100 0 ‡a Dante Alighieri, ‡d 1265-1321. ‡t Purgatorio. ‡n Canto 11, verso 1-24. ‡l

Polyglot
400 0 ‡a Dante Alighieri, ‡d 1265-1321. ‡t Fortuna di Dante fuori d'Italia
670 ‡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 nec-
essarily 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 pub-
lishers, and (3) generally have the same contents. Language editions (1)
are usually issued simultaneously, (2) are usually issued by the same pub-
lisher, 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 uni-
form title based on the title of the original. The language of the transla-
tion 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 edi-
tion 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 fol-
lowing 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)
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 edi-
tion, 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 qualifica-
tion). The Gilbertese-language edition of this serial is titled Riaona. Its
uniform title will use the basic uniform title with the addition of the lan-
guage, 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 uni-
form 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 lit-
tle 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 com-
mon author. It recognizes three types of publications that may be assigned
FIGURE 6-6 Serial language edition
130 0 ‡a Liahona (Salt Lake City, Utah). ‡l Gilbertese

410 2 ‡a Church of Jesus Christ of Latter-day Saints. ‡t Riaona
430 0 ‡a Riaona
670 ‡a Riaona, 1999- ‡b (Language edition of Liahona issued by the Church of Jesus
Christ of Latter-day Saints, Salt Lake City, Utah)
collective titles: publications of the complete works of an author, publica-

tions 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 col-
lective 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 collec-
tive 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 Works in a single form
100 1 ‡a Tasso, Torquato, ‡d 1544-1595. ‡t Dialogues

400 1 ‡a Tasso, Torquato, ‡d 1544-1595. ‡t Dialoghi
670 ‡a Dialoghi, 1998
FIGURE 6-8 Selections
100 1 ‡a Undset, Sigrid, ‡d 1882-1949. ‡t Selections. ‡f 2001

400 1 ‡a Undset, Sigrid, ‡d 1882-1949. ‡t Unknown Sigrid Undset. ‡f 2001
670 ‡a The unknown Sigrid Undset, c2001
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 Author-
ity 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 com-
plete 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 differ-
entiated.
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 edi-
tion they want from an OPAC (Online Public Access Catalog) display
showing lines of “Works” or “Selections” headings split up by year. If any-
thing, 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 head-
ing, 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 pre-
coordination 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 Further distinction by addition of publisher
100 1 ‡a Nietzsche, Friedrich Wilhelm, ‡d 1844-1900. ‡t Works. ‡f 1980. ‡s Hanser

400 1 ‡a Nietzsche, Friedrich Wilhelm, ‡d 1844-1900. ‡t Werke in sechs Bänden. ‡f 1980
670 ‡a Werke in sechs Bänden, c1980
(though new individual works might be discovered). True, different edi-

tions 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 dif-
ferentiating 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 collec-
tions, all containing different plays. Yet LC does not deem it “advisable”
to differentiate these, although for some reason it is necessary to distin-
guish the 2001 edition of the works of Sigrid Undset from the (nonexis-
tent) 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 sin-
gle 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 jurisdic-
tion, 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 pub-
lisher), that is used instead (see figure 6-11). Further qualification is pos-
sible (such as by year of publication) following space-colon-space.
FIGURE 6-10 Qualification by title proper
110 1 ‡a Goa (India : State). ‡t Laws, etc. (Kantak's compilation of Goa acts & rules)
410 1 ‡a Goa (India : State). ‡t Kantak's compilation of Goa acts & rules
410 1 ‡a Goa (India : State). ‡t Goa acts & rules
670 ‡a Kantak's compilation of Goa acts & rules, 1999-
FIGURE 6-11 Qualification by publisher
110 1 ‡a New Zealand. ‡t Laws, etc. (Brooker & Friend Ltd)

410 1 ‡a New Zealand. ‡t Laws, etc. (Annotated legislation)
410 1 ‡a New Zealand. ‡t Annotated legislation
670 ‡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 cross-
reference 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 compila-
tion, one wonders whether the heading “Jurisdiction name. Laws, etc.
(Qualifier)” is more helpful than dropping “Laws, etc.” altogether and fil-
ing 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 gov-
ernment.
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]
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 refer-
ence 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 govern-
ments 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 refer-
ence 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 Variant titles
110 2 ‡a Cherokee Nation. ‡t Treaties, etc. ‡g United States, ‡d 1835 Dec. 29

410 1 ‡a United States. ‡t Treaties, etc. ‡g Cherokee Nation, ‡d 1835 Dec. 29
430 0 ‡a Cherokee treaty, New Echota (1835)
430 0 ‡a Treaty of New Echota (1835)
670 ‡a Eastern Band of Cherokees, 1878?: ‡b p. 3 (treaty of 1835)
670 ‡a Cherokee treaty, New Echota, 1878?: ‡b t.p. (usages: Cherokee treaty, New
Echota; Treaty of New Echota)
670 ‡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)
FIGURE 6-13 Reference from inverted form
130 0 ‡a Peace of Constance ‡d (1183)

430 0 ‡a Treaty of Constance ‡d (1183)
430 0 ‡a Constance, Peace of ‡d (1183)
430 0 ‡a Constance, Treaty of ‡d (1183)
430 0 ‡a Pax Constantiae ‡d (1183)
670 ‡a New Enc. Brit.: ‡b v. 3, p. 98 (Constance, Peace of (1183), settlement concluded
between the Holy Roman Empire and the Lombard League)
670 ‡a New Cath. enc.: ‡b v. 7, p. 756 (Peace of Constance (1183))
670 ‡a LC man. subj. auth. file ‡b (Constance, Treaty of, 1183)
670 ‡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 refer-
ences. 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 non-
governmental 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-
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 neces-
sary 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 dis-
cussed 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 distinguish-
ing 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 rea-
son. 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 assign-
ment of a uniform title.
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 con-
flict 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 iden-
tified 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 fig-
ure 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)
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 dis-
tinguish 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 head-
ing 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 Qualifier to resolve conflict: work revised in different genre
100 1 ‡a Sayers, Dorothy L. ‡q (Dorothy Leigh), ‡d 1893-1957. ‡t Busman's honeymoon

(Novel)
670 ‡a Busman's honeymoon : a love story with detective interruptions, 1937
100 1 ‡a Sayers, Dorothy L. ‡q (Dorothy Leigh), ‡d 1893-1957. ‡t Busman's honeymoon

(Play)
670 ‡a Busman's honeymoon : detective comedy in three acts, 1939
FIGURE 6-18 Qualifier to resolve conflict: unrelated work
100 1 ‡a Rovani, Giuseppe, ‡d 1818-1874. ‡t Cento anni (Novel)

667 ‡a Not the same as Rovani's book on Italian history with same title proper
670 ‡a Cento anni : romanzo ciclico, 1868-1869
100 1 ‡a Rovani, Giuseppe, ‡d 1818-1874. ‡t Cento anni (Historical work)

667 ‡a Not the same as Rovani's novel with the same title proper
670 ‡a Cento anni, 1934-1935
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 origi-
nal 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 sur-
name 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 fig-
ure 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 pro-
grams, that is, only if the heading would be needed as an access point (sub-
ject 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 nor-
mally 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 dif-
ferentiation for record filing to be useful. Accordingly, since the first ver-
sion of the code, AACR2 25.5B (formerly 25.5B and 25.5C) has been
expanded, notably with the addition of examples of qualified serial uni-
form titles, and an elaborate LCRI on 25.5B was issued dealing mainly
with serial headings.
FIGURE 6-20 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 (manufac-
tured 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 (Coop-
erative 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 rea-
soning, 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
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 head-
ing 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, par-
ticularly 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 succeed-
ing 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 biblio-
graphic 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 per-
formed 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 biblio-
graphic 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 particu-
lar 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
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 cur-
rent CONSER practice the “authority” for that heading may be the bibli-
ographic record itself. For the authority process to function in these sys-
tems, 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 idiosyn-
cratic, 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 cross-
references 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 elec-
tronic) (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).
If under the guidelines explained above the title proper of a serial does
conflict with that of another serial, or with an already established author-
ity 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 Generic title
130 0 ‡a Research reports (Smithsonian Institution)

410 2 ‡a Smithsonian Institution. ‡t Research reports
430 0 ‡a Research reports
430 0 ‡a Smithsonian research reports
670 ‡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)
In other situations, the choice is left up to the cataloger. Possible qual-

ifiers 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 pub-
lication 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 Mag-
azine, and then switched back to Television in 1959. Under AACR2 cata-
loging 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)
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 search-
ing 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 dis-
tinguish 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 uni-
form 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 Qualifier: corporate body and date
130 0 ‡a Television (Frederick Kugel Company : 1959)

410 2 ‡a Frederick Kugel Company. ‡t Television (1959)
430 0 ‡a Television
530 0 ‡w a ‡a Television magazine
670 ‡a Television, 1959- ‡b (publ. by Frederick Kugel Company; continues Television
magazine)
FIGURE 6-26 Qualifier: date
130 0 ‡a Mongolia Society newsletter (1985)

410 2
‡a Mongolia Society. ‡t Mongolia Society newsletter (1985)
430 0 ‡a Mongolia Society newsletter (New ser.)
530 0 ‡w b ‡a Mongolia survey
667 ‡a Earlier serial issued by the Society also called Mongolia Society newsletter (1962-
1964); 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)
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 author-
ity 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 cross-
reference 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.
FIGURE 6-27 Change in qualifier: qualified by corporate body
130 0 ‡a Bulletin (United Church of Canada. Committee on Archives)

410 2 ‡a United Church of Canada. ‡b Committee on Archives. ‡t Bulletin
430 0 ‡a Bulletin
530 0 ‡w b ‡a Bulletin (United Church of Canada. Committee on Archives and History)
667 ‡a Issuing body changed its name to Committee on Archives and History in 1978
670 ‡a Bulletin, 1948-1978 ‡b (issued by United Church of Canada. Committee on
Archives)
130 0 ‡a Bulletin (United Church of Canada. Committee on Archives and History)

410 2 ‡a United Church of Canada. ‡t Committee on Archives and History. ‡t Bulletin
430 0 ‡a Bulletin
530 0 ‡w a ‡a Bulletin (United Church of Canada. Committee on Archives)
667 ‡a Issuing body changed its name from Committee on Archives in 1978
670 ‡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
FIGURE 6-29 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 (American Society of Agronomy)
Journal (American Water Works Association)
Journal and ceramic abstracts
Journal and guide
Journal and law digest
Journal (California Trial Lawyers Association)
Journal canadien de botanique
Journal canadian de microbiologie
Journal (Colorado Education Association)
Journal d’analyse mathématique (Jerusalem)
Journal de chimie physique
Journal de microscopie
Journal for special educators
Journal (Institute of Muslim Minority Affairs)
Journal (Jackson County, Missouri, Historical Society)
Journal litteraire
Journal of abnormal psychology
Journal of bacteriology
(etc.)
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 cross-
reference for the unqualified title in the authority record for the serial uni-
form title. This would have the effect of gathering together all the quali-
fied headings, separating them from the longer titles, and producing a dis-
play such as the following:
Journal
search under
Journal (American Society of Agronomy)
Journal (American Water Works Association)
Journal (California Trial Lawyers Association)
Journal (Colorado Education Association)
Journal (Institute of Muslim Minority Affairs)
Journal (Jackson County, Missouri, Historical Society)
(etc.)
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 prac-
tice 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
FIGURE 6-30 Work created before 1501
100 0 ‡a Virgil. ‡t Bucolica

400 0 ‡a Virgil. ‡t Eclogues
400 0 ‡a Virgil. ‡t Eclogae
400 0 ‡a Virgil. ‡t Bucolics
670 ‡a The eclogues of Vergil, c1980
670 ‡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")
670 ‡a Enc. Brit., 1977 ‡b (Virgil's first major work, the collection of 10 pastoral poems,
called the Eclogues)
670 ‡a Enc. Brit., 1972 ‡b (the ten Eclogues, sometimes called Bucolics)
670 ‡a Enc. Americana, 1975 ‡b (10 pastoral poems known as Bucolics or Eclogues)
670 ‡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 Greek work entered under English title
100 0 ‡a Plato. ‡t Epistles

400 0 ‡a Plato. ‡t Platonis Epistulae
400 0 ‡a Plato. ‡t Epistulae
400 0 ‡a Plato. ‡t Epistolai
670 ‡a Platonis Epistulae, 1985
670 ‡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)
670 ‡a Megale¯ Hellenike
¯ ¯ enkykl. ‡b (Epistolai)
FIGURE 6-32 Greek work entered under Latin title
100 0 ‡a Lucian, ‡c of Samosata. ‡t Vera historia

400 0 ‡a Lucian, ‡c of Samosata. ‡t Luciani Vera historia
400 0 ¯ ¯ historia
‡a Lucian, ‡c of Samosata. ‡t Alethes
670 ¯ ¯ historia, 1990
‡a Luciani Vera historia = Alethes
670 ¯ ¯ historia)
‡a Oxford class. dict., 1970 ‡b p. 621 (Alethes
FIGURE 6-33 Reference from form with preceding statement of responsibility
100 0 ‡a Augustine, ‡c Saint, Bishop of Hippo. ‡t De natura et gratia

400 0 ‡a Augustine, ‡c Saint, Bishop of Hippo. ‡t D. Aurelii Augustini Hipponensis epis-
copi De natura & gratia liber unus
400 0 ‡a Augustine, ‡c Saint, Bishop of Hippo. ‡t De natura & gratia liber unus
670 ‡a D. Aurelii Augustini Hipponensis episcopi De natura & gratia liber unus, 1534
670 ‡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 exam-
ple, 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 Named manuscript
130 0 ‡a Book of Kells

410 2 ‡a Trinity College (Dublin, Ireland). ‡b Library. ‡k Manuscript. ‡n A.1.6
410 2 ‡a Trinity College (Dublin, Ireland). ‡b Library. ‡k Manuscript. ‡n 58
430 0 ‡a Kells, Book of
430 0 ‡a Codex Cenannensis
667 ‡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].
670 ‡a The Book of Kells, c1990: ‡b t.p. (The Book of Kells; ms. 58 in the Library of
Trinity College, Dublin)
670 ‡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)
670 ‡a Evangeliorum quattuor Codex Cenannensis, 1950-1951
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 parch-
ment). 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 Manuscript name containing location
130 0 ‡a St. Galler Klosterplan

410 2 ‡a Stiftsbibliothek Sankt Gallen. ‡k Manuscript. ‡n 1092
430 0 ‡a Plan of St. Gall
430 0 ‡a Sankt Galler Klosterplan
670 ‡a Köln, Aachen, Reichenau, 1981 ‡b t.p. (St. Galler Klosterplan)
670 ‡a The plan of St. Gall, 1979 ‡b (The plan is located in Stiftsbibliothek Sankt Gallen
with manuscript number 1092)
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 head-
ing to use in a given bibliographic record. In addition, if feasible there will
be reciprocal 5XX references between the various headings. A corre-
sponding 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 man-
uscripts 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 deco-
ration, use: Vergilius Vaticanus.
670 ‡a Vollständige Faksimile-Ausgabe im Originalformat von Codex Vaticanus Lat.
3225, c1980
FIGURE 6-38 Manuscript identified by repository and shelfmark
110 2 ‡a Université de Montpellier I. ‡b Faculté de médecine. ‡b Bibliothèque. ‡k

Manuscript. ‡n H. 236
670 ‡a Duo glossaria, 1998: ‡b t.p. (Ms. Montpellier H236) p. [9] (Manuscrit H236 de la
Faculté de médecine de Montpellier)
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 estab-
lished 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 cor-
rectly. 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 reposi-
tory 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 head-
ings 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 can-
not 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 begin-
ning “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
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 cur-
rent form is given in the authority record; cross-references are not rou-
tinely given for older forms of the repository name.
FIGURE 6-39 Cross-reference added for current form of repository (named manuscript)
130 0 ‡a Papyrus Harris no. 1

410 2
‡a British Museum. ‡k Manuscript. ‡n Papyrus Harris no. 1
410 2
‡a British Library. ‡k Manuscript. ‡n Papyrus Harris no. 1
430 0 ‡a Harris papyrus no. 1
670 ‡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)
FIGURE 6-40 Older form of repository name in work cataloged (named manuscript)
130 0 ‡a Lindisfarne Gospels

410 2
‡a British Library. ‡k Manuscript. ‡n Cotton Nero D.IV
410 2
‡a British Museum. ‡k Manuscript. ‡n Cotton Nero D.IV
430 0 ‡a Codex Lindisfarnensis
667 ‡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))
FIGURE 6-41 Older form of repository name in work cataloged (unnamed manuscript)
110 2 ‡a Bibliothèque nationale de France. ‡k Manuscript. ‡n Français 12420

410 2 ‡a Bibliothèque nationale (France). ‡k Manuscript. ‡n Français 12420
670 ‡a "Des cleres et nobles femmes" : Ms. Bibl. nat. 12420, 1993-1995
670 ‡a Boccaccio's Des cleres et nobles femmes, 1996: ‡b p. viii (Bibl. Nat. MS fr.
12420)
670 ‡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 <http://lcweb.loc.gov/marc/
languages/>.
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, con-
tains general information about series, including instructions for dealing
with series both in bibliographic and authority records. The second, chap-
ter 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 defini-
tion and has been recommended to the Joint Steering Committee for inclu-
sion 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, sec-
ond, 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, liter-
ally, from A to Z, and nothing beyond that is foreseen. Similarly, the pub-
lications 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 pub-
lished 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 con-
tain 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.
146 SERIES: GENERAL INFORMATION
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 indi-
vidual 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 pub-
lication 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 contin-
ued indefinitely” (AACR2 appendix D, s.v. “serial”). Thus, like a series, a
serial is a group of items intended to be continued indefinitely. The defi-
nition 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 con-
cept 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 conclu-
sion.” 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 vol-
umes 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
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 writ-
ten 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 def-
inition 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
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 sepa-
rately? Should there be a tracing for the main title of the set? Such deci-
sions are recorded on series authority records, even though, like analyz-
able 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. Biblio-
graphic 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 guid-
ance. Publications issued on the occasion of a special event (including the
publication of the proceedings of a single conference) are generally con-
sidered multipart items, not series. The publications of specific censuses,
expeditions, excavations, surveys, etc., are also usually considered multi-
part 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 mat-
ter 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 con-
tains critical editions of the works of Christian Latin literature of the first
eight centuries. Within this series are numerous multipart items, both mul-
tivolume 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
space is given in the record for exact transcription of the series statement
(with certain conventional changes, such as for capitalization), just as sim-
ilar 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 collo-
cating 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 informa-
tion is found: 4XX fields, which contain the transcription of the series
statement as it appears on the item being cataloged and may perform dou-
ble 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 head-
ing 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
FIGURE 7-1 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 tran-
scription 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 cataloger-
supplied 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 Mys-
tery”). 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 val-
ues). 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.”
FIGURE 7-2 Series heading for multipart item (100 field)
100 1 ‡a Meier, Leslie. ‡t Lucy Stone mystery

430 0 ‡a Lucy Stone mystery
643 ‡a New York ‡b Kensington
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 Christmas cookie mystery, 1999: ‡b t.p. (A Lucy Stone mystery)
670 ‡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 quali-
fied. 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 Chron-
icles 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
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 pre-
scribed sources for the series area in the appropriate AACR2 chapter. For
example, a series title found on a book may be transcribed in the biblio-
graphic 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 correspond-
ing rule in other AACR2 chapters for other formats). If the title is pre-
sented 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 pre-
scribed sources, i.e., any part of the publication, LC (Library of
Congress)/NACO (Name Authority Cooperative Program) practice gener-
ally 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 Roman-
orum Teubneriana. Its cover presents the series as Bibliotheca Teub-
neriana. 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
Oxford Classical Monographs. The page facing the title page has the fol-
lowing 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 biblio-
graphic 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 biblio-
graphic 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 estab-
lished may not be precisely as transcribed in the 4XX field. First, a num-
ber 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).
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 estab-
lished 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 data-
base” 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 (estab-
lished 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-
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 “(Unnum-
bered).” 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 sec-
ond “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 “(Unnum-
bered).” 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 num-
bering 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
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,” identi-
cal 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 quali-
fier, 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 avail-
able.” 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,
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 num-
bering—which appears after the series title—must be given in a standard-
ized 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 discus-
sion of MARC authority field 642, see chapter 8).
On the other hand, the dual purposes of series statements (identifica-
tion/transcription and collation/index access) sometimes collide with series
numbering, as they may with the series statement itself. The same proce-
dure applies: if the entire statement would be transcribed exactly as pre-
scribed in the authority record, both for the title and the numbering con-
ventions, 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 state-
ment 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
FIGURE 7-3 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
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 (“Abbre-

viations”) 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), abbrevi-
ations 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 tran-
scription fields (4XX) in all new bibliographic records will follow the new
convention.
Sometimes a series statement contains more than one system of num-
bering. 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:
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 usu-
ally 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 paral-
lel numbering, the 490/8XX pattern in bibliographic records will always
be used: the 490 recording the complete transcription of both (or all) sys-
tems 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 state-
ment of when the item was published (a chronological designation).
Sense and Nonsense in Homer, by John Wilson (Oxford: Archae-
opress, 2000), reads, on its spine, “BAR S839 2000.” The title page, how-
ever, reads
BAR International Series 839
2000
This is in imprint position, a clue that “2000” is a chronological des-

ignation. 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
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)
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 cat-
aloger 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 numer-
ation, 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 author-
ity record and will require two fields in the bibliographic record. Ground-
Water 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-179-
99, 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 bib-
liographic 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 pub-
lication ... 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, num-

bered 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.
FIGURE 7-5 Series numbering including letters and year
130 0 ‡a Fact sheet (Geological Survey (U.S.))

410 2 ‡a Geological Survey (U.S.). ‡t Fact sheet
410 2 ‡a Geological Survey (U.S.). ‡t U.S. Geological Survey fact sheet
430 0 ‡a U.S. Geological Survey fact sheet
642 ‡a FS-95-010 ‡5 DPCC ‡5 [Library's MARC code]
643 ‡a Reston, Va. ‡b U.S. Dept. of the Interior, U.S. Geological Survey
667 ‡a Document
670 ‡a Programs in Georgia, 1994: ‡b t.p. (Fact sheet)
670 ‡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
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 char-
acteristic of series is that they are intended to be continued indefinitely),
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 corpo-
rate 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 trans-
lation, 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 addi-
tion “(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
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 ver-
sus 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 publi-
cation in the series. Consider other title variants, giving them as cross-
references in the authority record. Additionally, if most of the publica-
tions 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 deal-
ing 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 can-
celled, 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 tech-
nique with caution. It is only to be used if Title B is only found on a few
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 distin-
guish 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 pub-
lished 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 informa-
tion 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 distin-
guishes 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 trans-
lated 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 refer-
ence is made to the original title of the series, because all the related head-
ings would collocate together in the index (see figure 7-7).
If a series falling under situation (2) is not numbered, separate head-
ings 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 unnum-
bered 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
FIGURE 7-7 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
670 ‡a Seuratkaa minua, 1992: ‡b ser t.p. (Apuyhdistyksen henkilökohtainen opiskelu-
opas)
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.
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 (preescolar-
grado 1)
130 0 ‡a Hola, lector! ‡n Nivel 1

530 0 ‡a Hello reader! ‡n Level 1
643 ‡a New York ‡b Scholastic Inc.
670 ‡a Pica, pica, varicela, c1996: ‡b t.p. (Hola, lector! Nivel 1) cover p. 1 (preescolar-
grado 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.
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 pre-
dominate, 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 sin-
gle 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 rep-
resent 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 indi-
vidual items have only the version of the series title that corresponds to the
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 par-
allel series titles; it basically refers the cataloger to the rules for transcrip-
tion 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 tran-
scribing 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 edi-
tion of type (1) described above, and so the established heading is based
on the first item published in the series, Jeremias Gotthelfs Gesell-
schaftskritik (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 Medi-
eval Music, 1998) has the series statement:
Wissenschaftliche Abhandlungen Musicological Studies

Band LV/7 Vol. LV/7
FIGURE 7-9 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
643 ‡a Bern ‡a Las Vegas ‡b P. Lang
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,
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 com-
prehensive, 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).
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
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 fig-
ure 7-12). The order depends on the presentation in the item. Once the
heading has been established, change in order of presentation on subse-
quent items does not constitute a title change, although such a new pre-
sentation 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 num-
FIGURE 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
643 ‡a Sanford, N.C. ‡b Microfilming Corporation of America
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))
FIGURE 7-12 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
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 num-
bered or is never used independently of a subseries, North American prac-
tice 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 num-
bering 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
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
670 ‡a Egypt, 1997: ‡b t.p. (Enchantment of the world, Second series)
FIGURE 7-14 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]
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 can-
not 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

643 ‡a Cambridge ‡a New York ‡b Cambridge University Press
670 ‡a Citizenship, identity and social history, 1996: ‡b t.p. (International review of
social history supplement)
given in a note, and a related work added entry is given in the biblio-
graphic 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 seri-
als 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 num-
bering 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 ‡a Book one of The wheel of time
800 1 ‡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,
FIGURE 7-16 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
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 best-
selling author Nora Roberts evokes a land filled with magic . . .” The first
book, Jewels of the Sun (New York: Jove Books, 1999), gave the follow-
ing 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 Work of personal authorship in series
100 1 ‡a Roberts, Nora. ‡t Irish trilogy

400 1 ‡a Roberts, Nora. ‡t Gallagher siblings
430 0 ‡a Irish trilogy
430 0 ‡a Gallagher siblings
642 ‡a 1st ‡5 DPCC ‡5 [Library’s MARC code]
643 ‡a New York ‡b Jove Books
670 ‡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)
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 cat-
alogers 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 with-
out 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 char-
acter’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 pub-
lisher 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 evi-
dently 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.
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 uni-
form 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 cor-
responding 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 dif-
ferent “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 inti-
mately 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
643 ‡a Berkeley ‡b Published for the Iowa Center for Textual Studies by the University of
California Press
646 ‡a c ‡5 [Library's MARC code]
670 ‡a Roughing it, 1972: ‡b ser. t.p. (The works of Mark Twain)
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 edi-
tion 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 cata-
loging 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 dif-
ferent publishers. A separate series authority record has been made in the
NAF for each of these headings:
130 0 ‡a Lewis, C. S. ‡q (Clive Staples), ‡d 1898-1963. ‡t Chronicles
of Narnia (Academy Sound and Vision)
of Narnia (Bonneville Worldwide Entertainment (Firm))
of Narnia (Caedmon (Firm))
of Narnia (Collier Books (Firm))
of Narnia (HarperCollins (Firm))
of Narnia (Large print)
of Narnia (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 ver-
sions, and the text is the same.8 Other types of series that need to be qual-
ified because of conflict with another series of the same title are in fact dif-
ferent 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
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: Harper-
Collins, 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
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), 1898-
1963. Chronicles of Narnia (HarperCollins (Firm))), even though this par-
ticular 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 con-
flicting 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 pur-
poses. 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
statement? How about the phrase “Multicultural Studies” at the upper-

left-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 Stud-
ies” 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 men-
tioned above seem unlikely candidates for series treatment.
The LCRIs give guidance. North American catalogers will “distin-
guish 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 consid-
ered 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 fig-
ure 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)
FIGURE 7-20 Numbered phrase naming issuing body
130 0 ‡a South Wales Record Society (Series)

410 2 ‡a South Wales Record Society. ‡t South Wales Record Society
530 0 ‡w b ‡a Publications of the South Wales Record Society
643 ‡a Cardiff ‡b South Wales Record Society
670 ‡a Morganiae archaiographia, 1983: ‡b t.p. (South Wales Record Society ; v. 1)
675 ‡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
667 ‡a Some vols. unnumbered
670 ‡a Parzival, 1980: ‡b cover (Penguin classics)
670 ‡a Wind, sand and stars, 2000: ‡b (Penguin classics [unnumbered])
4. Phrases giving the name of an in-house editor, etc., are not consid-
ered 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 con-
stant 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
643 ‡a London ‡b The Athlone Press, University of London
670 ‡a The background of Jewish apocalyptic, 1978: ‡b t.p. (Ethel M. Wood lecture)
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 Apoc-
alypse 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 CLAS-
SICS 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
“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 ‡a Give phrase as a quoted note and make an added entry for
the museum
667 ‡a Considered as series previous to AACR2
667 ‡a Give as quoted note if ADB Institute does not appear in the
publication, etc., area
667 ‡a Not to be considered a series. Give as a quoted note if
Euromoney Institutional Investor PLC does not appear in the
imprint
667 ‡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
667 ‡a Ignore these words unless presented as publisher
667 ‡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 chang-
ing 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 say-
ing “Undifferentiated phrase record: Covers all instances when this char-
acter 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 fig-
ure 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
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 relat-
ing 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
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 state-
ment will be transcribed, and no indication that the original belonged to
a series will be found in the bibliographic record for the reprint. The fol-
lowing 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 infor-
mation 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 par-
ticularly 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.
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.
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 prece-
dence (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 dif-
ferent, 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 repro-
ductions” 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 disser-
tations and other reproductions produced ‘on demand’; and electronic reproduc-
tions.” 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 rec-
ords: 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 estab-
lishing 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 author-
ity 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).
188
SERIES AUTHORITY RECORDS 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 indi-
vidual 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 vari-
able 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 series-
like 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)
190 SERIES AUTHORITY RECORDS
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 autho-
rized 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
670 ‡a Committee governance in the European Union, 2000: ‡b ser. t.p. (Europe in
change)
FIGURE 8-2 Entry under personal name
100 1 ‡a Pratchett, Terry. ‡t Discworld series

400 1 ‡a Pratchett, Terry. ‡t Discworld novel
430 0 ‡a Discworld series
430 0 ‡a Discworld novel
643 ‡a London ‡b Gollancz
670 ‡a Pyramids, 1989: ‡b ser. t.p. (The Discworld series) jkt. (A discworld novel)
FIGURE 8-3 Entry under corporate name
110 2 ‡a Worcester Agricultural Society. ‡t Annual report

430 0 ‡a Annual report (Worcester Agricultural Society)
642 ‡a 65th ‡5 DPCC ‡5 [Library’s MARC code]
643 ‡a Worcester, Mass. ‡b Worcester Agricultural Society
670 ‡a Transactions of the Worcester Agricultural Society for the year ... 1883: ‡b t.p.
(Annual report)
FIGURE 8-4 Entry under meeting name
111 2 ‡a Coinage of the Americas Conference. ‡t Proceedings

430 0 ‡a Proceedings (Coinage of the Americas Conference)
642 ‡a no. 1 ‡5 DPCC ‡5 [Library’s MARC code]
643 ‡a New York ‡b American Numismatic Society
670 ‡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 guide-
lines. In addition, there are some aspects of references specific to series.
References to series headings are governed by various rules through-

out 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 usu-
ally 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 pro-
ceedings 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 Name-title and title references (collective title)
050 ‡a PS1300b.F22 1922

100 1 ‡a Twain, Mark, ‡d 1835-1910. ‡t Works. ‡f 1922
400 1 ‡a Twain, Mark, ‡d 1835-1910. ‡t Writings of Mark Twain. ‡f 1922
400 1 ‡a Twain, Mark, ‡d 1835-1910. ‡t Works of Mark Twain. ‡f 1922
430 0 ‡a Writings of Mark Twain. ‡f 1922
430 0 ‡a Works of Mark Twain. ‡f 1922
642 ‡a v. 1 ‡5 [Library’s MARC code]
643 ‡a New York ‡b Gabriel Wells
670 ‡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)
FIGURE 8-6 Name-title and title references (translation)
100 1 ‡a Card, Orson Scott. ‡t Tales of Alvin Maker. ‡l Polish

400 1 ‡a Card, Orson Scott. ‡t Opowiesc ´ ´ o Alvinie Stwórcy
430 0 ‡a Opowiesc ´ ´ o Alvinie Stwórcy
643 ‡a Warszawa ‡b Prószynski ´ i S-ka
670 ‡a Uczán Alvin, 1999: ‡b t.p. (Opowiesc ´´ o Alvinie Stwórcy)
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 prac-
tice 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 com-
mercial publisher. Qualifiers, if any, are removed from the title in the ref-
erence (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 cho-
sen 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
670 ‡a Pilgrimage into the light, c1987: ‡b cover (Research bulletin)
FIGURE 8-8 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
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
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 vari-
ant from the established series title that does not constitute a title change
is given in a 4XX field. These include, for example, references from par-
allel 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).
FIGURE 8-10 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
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
670 ‡a United States foreign policy, 1969-1970: ‡b t.p. verso (Department of State publi-
cation 8575 / General foreign policy series 254)
FIGURE 8-12 Reference from other title information
100 1 ‡a Chaiet, Donna. ‡t Get prepared library

400 1 ‡a Chaiet, Donna. ‡t Violence prevention for young women
430 0 ‡a Get prepared library
643 ‡a New York ‡b Rosen Pub. Group
667 ‡a Subtitle: Violence prevention for young women
670 ‡a Staying safe on dates, 1995: ‡b t.p. (The get prepared library / Violence preven-
tion for young women)
FIGURE 8-13 Reference from surname
130 0 ‡a Tom Everett series for brass

430 0 ‡a Everett series for brass
400 1 ‡a Everett, Thomas G. ‡t Tom Everett series for brass
530 0 ‡a Thomas G. Everett series for brass
643 ‡a Waltham, Mass. ‡b Nichols Music Co.
670 ‡a Ross, W. Brass quintet no. 1, c1998: ‡b cover (The Tom Everett series for brass)
675 ‡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 con-
sidered 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, gen-
erated 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 author-

ity 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 quali-
fied (see figure 8-14). A library user searching the series with the title
“Cliffhanger series” would be given the message:
FIGURE 8-14 Conflicting references not qualified
130 0 ‡a Middle grade cliffhanger series

430 0 ‡a Cliffhanger series
430 0 ‡a Cliffhanger read-along
430 0 ‡a Listening Library middle grade cliffhanger read-along series
643 ‡a Old Greenwich, CT ‡b Listening Library
670 ‡a Socks, p1992: ‡b booklet (Middle grade cliffhanger series; Cliffhanger read-along;
Listening Library middle grade cliffhanger read-along series)
130 0 ‡a Young adult cliffhanger series

430 0 ‡a Cliffhanger series
430 0 ‡a Cliffhanger read-along
430 0 ‡a Listening Library young adult cliffhanger read-along series
643 ‡a Old Greenwich, CT ‡b Listening Library
670 ‡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 con-
tains 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;
“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 rela-
tionship 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 consis-
tently. This information is recorded in the 642 field. For most series, the
form chosen is whatever form is on the item being cataloged that insti-
gated 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 estab-
lished 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).
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 repub-
lication (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 repub-
lication. 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 repub-
lication (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 sub-
series, e.g., Greek authors, Latin authors; those are merely phrases denoting the sub-
ject.
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)
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 bib-
liographic 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 pub-
lishers in its first 643 field. If different entities publish the series during dif-
ferent 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 pub-
lisher 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 ‡a Publisher varies
667 ‡a Imprint varies
667 ‡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).
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 ana-
lyzable serials. Code “n” means not analyzed. This would record a library’s
decision to catalog an entire series on a single bibliographic record with-
out 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 exam-
ple, 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 ‡a n ‡d items received by the library before January 1, 2001
‡5 [Library’s MARC code]
644 ‡a f ‡d items received by the library after December 31, 2000
‡5 [Library’s MARC code]
FIGURE 8-16 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]
670 ‡a Impact of divorce on the extended family, 1981: ‡b t.p. (Journal of divorce)
Another possibility would be:

644 ‡a n ‡d v. 1-43 ‡5 [Library’s MARC code]
644 ‡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 sub-
field ‡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 repub-
lication 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,
whatever the local library’s practice, and all new NACO records con-
tributed 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 rec-
ords 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 com-
mon 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 par-
ticular 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 ‡a BR60.C48
646 ‡a s ‡d General Reference copy ‡5 [Library’s MARC code]
646 ‡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 unnum-
bered 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
decision the code represents; a separate ‡5 is given for treatment of a repub-

lication (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 author-
ity 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 chap-
ter 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])
or
670 ‡a OCLC, February 19, 2001, Title, date of publication ‡b (ser.
stmt.: [usage])
Additional titles with a parenthetical data group can be given in sub-

field ‡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 informa-
tion. 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.
FIGURE 8-17 NACO 670 field reporting database series usage
130 0 ‡a Sammlung historischer Bildnisse

643 ‡a Freiburg im Breisgau ‡b Herder
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 his-
torischer 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)
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, multi-
part 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 lan-
guage 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 <http://lcweb.loc.gov/
marc/organizations/>.
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 sub-
ject 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.” Data-
bases 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 every-
thing has been found. This is a discouraging task. If the database uses con-
207
208 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 cre-
ation 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 use-
ful 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 rela-
tionships 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 equiv-
alents, as are “AIDS” and “acquired immunodeficiency syndrome.”
Additionally, phrases in natural word order share an equivalence relation-
ship 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
AUTHORITY CONTROL OF TERMS: THESAURUS BUILDING 209
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 indi-
vidual 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 the-
sauri. As mentioned, most thesauri would consider “edifices” and “build-
ings” equivalent, but a very specialized thesaurus giving construction terms
might not. Even general thesauri might differ in some instances. For exam-
ple, 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 syn-
onymous. 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 Subject authority record showing equivalence relationship
150 ‡a Wine cellars

450 ‡a Cellars, Wine
550 ‡w g ‡a Storage facilities
FIGURE 9-2 Scope note distinguishing between nearly equivalent terms
150 ‡a Bathrooms
550 ‡w g ‡a Rooms
680 ‡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.
FIGURE 9-3 Opposite concepts in equivalence relationship
150 ‡a Questions and answers

360 ‡i subdivision ‡a Examinations, questions, etc. ‡i under subjects, e.g., ‡a History--
Examinations, questions, etc.
450 ‡a Answers to questions
450 ‡a Facts, Miscellaneous
450 ‡a Miscellaneous facts
450 ‡a Queries
450 ‡a Question boxes
450 ‡a Quiz books
450 ‡a Trivia
550 ‡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 orga-
nized in hierarchies. The relationships are usually shown by the relation-
ship 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 recog-
nized 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
broader term, subfield ‡w will contain “g”; if it is narrower, it will con-

tain “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 con-
tain a 550 field containing “ostriches” coded “h” in subfield ‡w as a nar-
rower 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 nar-
rower 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 Hierarchical relationship (generic)
150 ‡a Ostriches
450 ‡a Struthionidae
550 ‡w g ‡a Birds
For an example of an authority record showing the whole-part rela-

tionship, 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 com-
monly 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 Archi-
tecture Thesaurus (AAT) (see chapter 10), for example, does not list indi-
vidual 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 Hierarchical relationship (whole-part)
150 ‡a Electrons
550 ‡w g ‡a Atoms
550 ‡w g ‡a Particles (Nuclear physics)
FIGURE 9-6 Hierarchical relationship (instance)
151 ‡a Arrowhead, Lake (San Bernardino County, Calif. : Lake)

451 ‡a Lake Arrowhead (Calif. : Lake)
550 ‡w g ‡a Lakes ‡z California
550 ‡w g ‡a Reservoirs ‡z California
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 hierar-
chy 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 hier-
archy of “visual works.” The single branch of the AAT “tree” containing
“woodcuts” would appear as follows:
<visual works>
|
<visual works by medium or technique>
|
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 addi-
tion to “relief prints,” the branches (narrower terms) “intaglio prints,”
“planographic prints,” and “screen prints.” The bottom term in this dia-
gram, “woodcuts,” itself branches out into a number of narrower terms,
some of which branch out into even narrower terms.
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 relation-
ship (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 Associative relationship
155 ‡a Envelopes
555 ‡w g ‡a Packaging
555 ‡w h ‡a Pictorial envelopes
555 ‡a Stationery
680 ‡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.
To avoid inconsistent establishment of associative relationships,

Z39.19 gives guidelines. The general rule is that an associative relation-
ship 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 the-
saurus 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 nar-
rower 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 citrus
RT grapefruit
mandarin orange
Because “grapefruit” shares a derivational relationship only with “tan-

gelo,” not with “mandarin orange,” its record will not include “mandarin
orange” as a related term:
grapefruit
BT citrus
RT tangelo
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 rec-
ognized between terms that are not sibling terms. For example, an asso-
ciative 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 ency-
clopedias, normally in the language of the cataloging agency. Additionally,
if the term is to be used in a general thesaurus (such as LCSH), encyclo-
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 exam-
ple, “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, usu-
ally 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 5964-
1985).
2. LC (Library of Congress) capitalization conventions are used in the examples of

MARC (Machine-Readable Cataloging) authority records in the figures. Cap-
italization 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 enter-
ing their collection, instead sharing the cataloging of others if available,
and just as more and more libraries are sharing the authority records exist-
ing 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 <http://www.getty.edu/research/tools/
vocabulary/aat/index.html>.
Canadian Subject Headings, 3rd ed. (Ottawa: National Library of
Canada, 1992), also available at <http://www.nlc-bnc.ca/cshweb/
index-e.htm>.
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 <http://www.
nlm.nih.gov/mesh/MBrowser.html>.
219
220 AUTHORITY CONTROL OF TERMS: SUBJECTS
NASA Thesaurus (Washington, D.C.: NASA, 1967- [triennial edition]),

also available at <http://www.sti.nasa.gov/98Thesaurus/vol1.pdf>.
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 <http://lcweb.loc.gov/rr/print/tgm1/toc.
html>.
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 subdi-
vision 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 for-
mat (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 pol-
icy 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
AUTHORITY CONTROL OF TERMS: SUBJECTS 221
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 head-
ings are generally not established, including headings for regions,
metropolitan areas, and suburban areas (because these follow a routine pat-
tern, 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 cur-
rent American usage (“Soccer” not “Football”). Cross-references
from foreign-language equivalents to English terms are not rou-
tinely 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 fol-
lowing 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”)
• 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 signifi-
cant 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 par-
enthetical 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 sub-
jects 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
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 Geo-
graphic Names Information System database of the U.S. Board on
Geographic Names and the U.S. Geological Survey, found at <http://geo
names.usgs.gov/gnisform.html>. For non-U.S. names, the English form
found in the (U.S.) National Imagery and Mapping Agency’s GEOnet
Name Server, found at <http://164.214.2.59/gns/html/index.html>, 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 English-
language 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 sev-
eral English-language variants. After consulting other English-language
reference sources, “Moscow Canal” was chosen as the heading (see figure
10-1).
FIGURE 10-1 Geographic feature
151 ‡a Moscow Canal (Russia)

451 ‡a Kanal imeni Moskvy (Russia)
451 ‡a Kanal Moskva-Volga (Russia)
451 ‡a Moscow-Volga Canal (Russia)
451 ‡a Volga Canal (Russia)
451 ‡a Volga-Moscow Canal (Russia)
550 ‡w g ‡a Canals ‡z Russia (Federation)
670 ‡a Work cat.: Soviet Union. Glavnoe upravlenie geodezii i kartografii. Pokanalu im.
Moskvy i reke Moskve ... 1972.
670 ‡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)
670 ‡a Lippincott ‡b (Moscow Canal, Rus. Kanal Imeni Moskvy; called Moscow-Volga
Canal until 1947)
670 ‡a Web. geog. ‡b (Moscow-Volga Canal)
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 Geographic feature in a city
151 ‡a Penn Township Industrial Park (Hanover, York County, Pa.)

550 ‡w g ‡a Industrial districts ‡z Pennsylvania
670 ‡a Work cat.: 93-685045: York County Industrial Development Authority. Penn
Township Industrial Park, 1992 ‡b (postal address: Hanover, Pa.)
675 ‡a BGN, 7/9/93; ‡a Rand McNally; ‡a Omni gaz. USA
FIGURE 10-3 Inverted form
151 ‡a Mead, Lake (Ariz. and Nev.)

451 ‡a Lake Mead (Ariz. and Nev.)
451 ‡a Mead Reservoir (Ariz. and Nev.)
550 ‡w g ‡a Lakes ‡z Arizona
550 ‡w g ‡a Lakes ‡z Nevada
550 ‡w g ‡a Reservoirs ‡z Arizona
550 ‡w g ‡a Reservoirs ‡z Nevada
670 ‡a Work cat.: Lake Mead-Hoover Dam, 1980
670 ‡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.)
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,” “Metro-
politan 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., cross-
references are needed). This policy, of course, does not stop other libraries
from establishing these headings locally if desired. For further informa-
tion, including information about forming headings for river valleys, estu-
aries, 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 juris-
dictions 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 dif-
fers from this. Nonjurisdictional names, established in the SAF under sub-
ject practice, are established using the latest entry, with references from
earlier forms of the name. And if a jurisdictional name is needed for a sub-
ject 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 juris-
diction 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
FIGURE 10-4 Latest entry: subject usage note
151 ‡a Southern Rhodesia

451 ‡a Rhodesia (1964-1980)
451 ‡a Zimbabwe Rhodesia
551 ‡w b ‡a Zimbabwe
667 ‡a SUBJECT USAGE: This heading is not valid for use as a subject. Works about this
place are entered under Zimbabwe.
670 ‡a Rhodesia, Southern. Central Statistical Office. Monthly digest of statistics, Jan.
1979: ‡b t.p. (Rhodesia); Apr. 1979: t.p. (Zimbabwe Rhodesia)
670 ‡a Africa S. of the Sahara, 1990 ‡b (Zimbabwe: Zimbabwe came into existence 4-
18-80 as the successor to the colony of Southern Rhodesia)
(for jurisdictional mergers and splits, see H710) and specific rules for cer-
tain jurisdictions (Germany, H945; Soviet Union, H1023; and Yugoslavia,
H1055; see also other SCM sections between H925 and H1055). In addi-
tion, 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 corpo-
rate 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 head-
ing “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 head-
ing. 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 chap-
ter 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
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 qual-
ifier (“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.
2. Form subdivisions indicate the form in which the material is pre-

sented, 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 sub-
divisions 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 sub-

division (in subfield ‡x) because the work is about poetry:
650 ‡a Horses ‡x Poetry.
The subfield coding distinguishing between form and topical subdivi-

sion 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 sub-
divisions 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 contain-
ing 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.
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 diox-
ide 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 sub-
division itself might be authorized as a free-floating subdivision, by a pat-
tern, 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 Subject term––Subdivision established independently
053 ‡a SB416
150 ‡a Greenhouses ‡x Carbon dioxide enrichment
450 ‡a Carbon dioxide enrichment of greenhouses
670 ‡a Work cat.: Hicklenton, P. R. CO2 enrichment in the greenhouse, 1988
670 ‡a LC data base, 8/9/88 ‡b (carbon dioxide enrichment)
675 ‡a Biol. & agr. index. v. 40, 38
FIGURE 10-6 Jurisdiction with history subdivision established in LCSH and SAF
151 ‡a Warsaw (Poland) ‡x History ‡y Siege, 1831

551 ‡w g ‡a Poland ‡x History ‡y Revolution, 1830-1832 ‡x Campaigns
550 ‡w g ‡a Sieges ‡z Poland
.
670 ´
‡a Work cat.: Strzezek, T. Obrona Warszawy 6-7 wrzesnia 1831 roku, 1996
FIGURE 10-7 Subject term-subdivision record required for hierarchy
150 ‡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 fam-
ily names (SCM H1105-H1120)
4. Subdivisions that may be used under place names (SCM H1140-
H1145.5)
5. Subdivisions that are controlled by pattern headings (SCM H1114-
H1200)
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) free-
floating 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 subdi-
visions 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).
FIGURE 10-8 Free-floating subdivision record (topical)
073 ‡a H 1095 ‡a H 1140 ‡z lcsh

180 ‡x Colonies
480 ‡x Colonial possessions
580 ‡w g ‡x Territories and possessions
667 ‡a Further subdivide headings of the type [place]--Colonies only by Africa, America,
Asia and Oceania
680 ‡i Use as a topical subdivision under names of countries, cities, etc., for works dis-
cussing collectively the colonies ruled by the country or city. Also use under head-
ings of the type [topic]--[place] for works discussing collectively the colonies of a
place in relation to those topics.
681 ‡i Reference under the heading ‡a Colonies
FIGURE 10-9 Free-floating subdivision record (form)
073 ‡a H 1095 ‡a H 1100 ‡a H 1103 ‡a H 1105 ‡a H 1110 ‡a H 1120 ‡a H 1140 ‡z

lcsh
185 ‡v Fiction
485 ‡w nne ‡v Legends and stories
485 ‡v Novels
485 ‡v Stories
680 ‡i Use as a form subdivision under names of countries, cities, etc., names of individ-
ual 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.
681 ‡i Reference under the heading ‡a Fiction
FIGURE 10-10 Term record containing instructions for free-floating subdivision
150 ‡a Larvae
360 ‡i subdivision ‡a Larvae ‡i under individual animals and groups of animals, e.g., ‡a
Fishes--Larvae
550 ‡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.
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 pos-
sibility 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 autho-
rizing 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 estab-
lished 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 appro-
priate under any other term in its class unless a conflicting heading has
been independently established in LCSH. Specific instructions for the pat-
terns are found in SCM H1147-H1200.
The pattern headings are conveniently categorized in SCM H1146:
Subject Pattern SCM

Field Category Heading(s) Section
RELIGION Religious and monastic orders Jesuits H1186
Religions Buddhism H1185
Christian denominations Catholic Church H1187
Sacred works Bible H1188
HISTORY Colonies of individual countries Great Britain—Colonies H1149.5
AND Legislative bodies United States. Congress H1155
GEOGRAPHY Military services United States—Armed Forces H1159
United States. Air Force
United States. Army
United States. Marine Corps
United States. Navy
Wars World War, 1939-1945 H1200
United States—History—
Civil War, 1861-1865
SOCIAL Industries Construction industry H1153

SCIENCES Retail trade
Types of educational institutions Universities and colleges H1151.5
Individual educational institutions Harvard University H1151
Legal topics Labor laws and legislation H1154.5
THE ARTS Groups of literary authors Authors, English H1155.2
Literary works entered under Shakespeare, William, H1155.6
author 1564-1616. Hamlet
Literary works entered under title Beowulf H1155.8
Languages and groups of English language H1154
languages French language
Romance languages
Literatures English literature H1156
Musical compositions Operas H1160
Musical instruments Piano H1161
SCIENCE AND Land vehicles Automobiles H1195
TECHNOLOGY Materials Concrete H1158
Metals
Chemicals Copper H1149
Insulin
Organs and regions of the body Heart H1164
Foot
Diseases Cancer H1150
Tuburculosis
Plants and crops Corn H1180
Animals Fishes H1147
Cattle
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, 1861-
1865” (see the table above). The pattern heading “World War, 1939-
1945” includes the subdivision “Atrocities” (see figure 10-11). This sub-
division 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 Subdivision authorized by pattern
053 ‡a D803 ‡b D804

150 ‡a World War, 1939-1945 ‡x Atrocities
681 ‡i Example under ‡a Atrocities; Political atrocities; War crimes; ‡i and under
reference from ‡a Military atrocities
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 inde-
pendently 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. There-
fore, the subject term “Gazetteers” is not authorized to be subdi-
vided geographically. The string “Gazetteers—Wyoming” is incor-
rect; rather, the string “Wyoming—Gazetteers” is used.
Terms for general literary forms, e.g., “Poetry.” This is because liter-
ary 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 repre-
sent 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 Authority record required for subdivision used outside of pattern
150 ‡a Flour mills ‡x Fumigation

550 ‡w g ‡a Fumigation
Terms that may be subdivided geographically are identified by the

phrase “(May Subd Geog)” in LCSH and by the code “i” in field 008 posi-
tion 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 geo-
graphic 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 subdi-
vide 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 con-
cept is mainly applicable only to topical subject terms.
One exception to coding name headings “n” in 008/06 is certain inter-
national corporate bodies, including the names of religions that have an
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 subdivi-
sion.” 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. Sub-

divisions 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:
650 0 ‡a [Topic] ‡x [Topical subdivision] ‡z [Geographic

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 subdi-

vided 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].
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, read-
ing 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 cod-
ing, see chapter 2). Fixed fields are not shown in the figures in this chap-
ter, but a fully coded subject authority record, including fixed fields, is
given in figure 2-17.
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 appropri-
ate for use as a main, added, or series entry. Conversely, 008/15 (Heading
use—Subject added entry) should be coded “a,” for appropriate. In sys-
tems 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 head-

ing (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 Personal name with subdivision
100 1 ‡a Shakespeare, William, ‡d 1564-1616 ‡v Audio adaptations

670 ‡a Work cat.: Kliman, B. W. Hamlet: film, television, and audio performance ...
1987.
681 ‡i Example under ‡a Radio adaptations; ‡i and under reference from ‡a Audio
adaptations
Only 100-15X fields authorize headings. 18X fields authorize subdi-

visions (see discussion above, under “Free-floating subdivisions,” with fig-
ures 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 fig-
ure 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 fig-
ure 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 infor-
mation 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
an explanation is needed about the classification number, it is given in sub-

field ‡c (see figure 2-17).
Cataloging Source
The MARC code for the library creating or modifying the record is con-
tained in the 040 field. Because this will differ depending on the circum-
stances of the creation and modification of the record, 040 fields have not
been included in the figures in this chapter. LC subject authority records con-
tain 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 sub-
field ‡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 geo-
graphic 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 10-
14, 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 geo-
graphic heading records do not have it, but it is clearly a very useful field.
FIGURE 10-14 Form of geographic subdivision
151 ‡a Alexander, Mount (Vic.)

451 ‡a Mount Alexander (Vic.)
550 ‡w g ‡a Mountains ‡z Australia
670 ‡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 infor-

mation 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 <http://www.getty.edu/research/tools/
vocabulary/contributions.html>.
2. The SACO program is explained at <http://www.loc.gov/catdir/pcc/saco.html>.
3. Subject Cataloging Manual: Subject Headings, 5th ed. (Washington, D.C.:
Library of Congress, Cataloging Distribution Service, 1996, with periodic loose-
leaf 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 Wash-
ington, D.C. For example, “Jerusalem Region,” “New York Metropolitan Area,”
“Washington Suburban Area.”
AUTHORITY
11 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 cer-
tain library communities began to take serious interest in the use of
genre/form terms (particularly the rare book, archival, and visual materi-
als 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 cur-
rently coexist in bibliographic records with form headings, even though
some redundancy may result. For example, a Shaker hymnal might prop-
erly 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 imple-
ment 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 speci-
fying 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
<http://lcweb.loc.gov/marc/relators/>). The following list contains the
most prominent thesauri from that list; it is not a complete list. The sub-
field ‡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 <http://www.getty.edu/research/tools/vocabulary/aat/
index.html> (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 <http://www.
nlm.nih.gov/mesh/MBrowser.html> (mesh).
244 AUTHORITY CONTROL OF TERMS: GENRE/FORM
Moving Image Materials: Genre Terms, Martha M. Yee, comp.

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 <http://lcweb.
loc.gov/rr/print/tgm2/> (gmgpc).
Some of the publications listed above also appeared in the list of sub-
ject thesauri in chapter 10. Subject and genre/form thesauri overlap exten-
sively 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,” “Man-
uscripts, 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 exam-
ple. 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.
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 lit-
erary texts by several authors, LC will include in the record a subject head-
ing for the literary genre (see SCM H1775 3a). For example, a work con-
taining 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 the-
sauri in its unified catalog. There are three basic problems: disagreement
over choice of the authorized term, disagreement over equivalence rela-
tionships, 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 lit-
erary 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 litera-
ture,” the following display might appear:
Juvenile literature
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 con-
cept between equivalent terms. Thesauri may also disagree on the equiva-
lence 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 dif-
ference 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 con-
fusing display similar to the following:
Chrestomathies
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 rela-
tionship 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
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 photo-
graphs,” 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 the-
sauri. For example, the term “Diaries” appears in LCSH, RBGENR, and
AAT, with three different hierarchical structures:
LCSH: RBGENR: AAT:

Philology <Purpose of work> <information forms>
NT Literature NT Record-keeping works NT <document genres>
NT Diaries NT Diaries 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 sim-
ply choosing one term over another. A library might want to create a hier-
archy 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
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 exam-
ple 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 the-
saurus 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 inter-
sect. 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 pos-
sible 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 Asso-
ciation 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
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 reconcili-
ation project into its vocabulary.
The RBMS Bibliographic Standards Committee is the institutional edi-
tor of the RBMS thesauri, actively adding new terms to the thesauri and
occasionally changing existing terms. As a result of the reconciliation proj-
ect, 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 reconcilia-
tion. 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 recon-
ciliation, 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 author-
ity 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” refer-
ences 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 hier-
archy. The scope note is from AAT.
FIGURE 11-1 Genre/form authority record
155 ‡a Jigsaw puzzles

455 ‡a Puzzles, Jigsaw
555 ‡w g ‡a Dissection puzzles
670 ‡a AAT, Feb. 9, 2001 ‡b (Jigsaw puzzles, with BT Dissection puzzles)
670 ‡a LCSH, Feb. 9, 2001 ‡b (Jigsaw puzzles, with BT Puzzles)
680 ‡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 Genre/form term + subdivision (LCSH)
155 ‡a Greek literature ‡v Translations into English

670 ‡a LCSH, Jan. 15, 2001 ‡b (SH Greek literature; Form subdiv. --Translations into
French, [German, etc.] used under individual literatures)
FIGURE 11-3 Genre/form term + subdivision (RBGENR)
155 ‡a Advertisements ‡x Patent medicines

455 ‡a Advertisements ‡x Medicines, patent, proprietary, etc.
455 ‡a Advertisements ‡x Proprietary drugs
455 ‡a Advertisements ‡x Proprietary medicines
555 ‡w g ‡a Advertisements ‡x Drugs
555 ‡a Advertisements ‡x Drugs, Nonprescription
670 ‡a RBGENR, 1991: ‡b p. 2 (Advertisements)
670 ‡a LCSH, Feb. 4, 2001 ‡b (hdg. Patent medicines; UF Medicines, Patent, proprietary,
etc.; Proprietary drugs; Proprietary medicines; BT Drugs; RT Drugs, Nonprescription)
Fixed Fields
Coding of fixed fields is fully discussed in chapter 2. However, some dis-
cussion 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 inter-
preted. In most systems, this coding controls both display to the public of
notes and references in the various indexes and the authorization of head-
ings in the bibliographic record. In other words (if the system definitions
have been set up properly), code “a” will ensure that genre/form refer-
ences and scope notes display in the library’s genre/form index and will
also ensure that a correctly formed heading in a bibliographic record cor-
responding 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 tech-
nique 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 cer-
tainly 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
FIGURE 11-4 Subject authority record used as base for genre authority record
Part 1: Subject authority record

010 ‡a sh 85118629
040 ‡a DLC ‡c DLC ‡d DLC ‡d Uk ‡d DLC
053 ‡a P96.S34 ‡c Mass media
053 ‡a PN3433 ‡b PN3433.8 ‡c History
053 ‡a PN6120.95.S33 ‡c Collections of fiction
150 ‡a Science fiction
450 ‡a Science ‡v Fiction
450 ‡a Science stories
550 ‡w g ‡a Adventure stories
550 ‡w g ‡a Fiction
550 ‡w g ‡a Literature and science
550 ‡a Future in literature
680 ‡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.
681 ‡i Note under ‡a Fiction genres
Part 2: Genre/form authority record

053 ‡a PN6120.95.S33 ‡c Collections of fiction
155 ‡a Science fiction
455 ‡a Science stories
455 ‡a Apocalyptic fantasies
455 ‡a End-of-the-world fantasies
455 ‡a Fiction, Science
555 ‡w g ‡a Adventure stories
555 ‡w g ‡a Fiction
555 ‡w g ‡a Fantasy literature
555 ‡w h ‡a Star Wars fiction
555 ‡w h ‡a Star Trek fiction
555 ‡w h ‡a Traveller (Game)
555 ‡w h ‡a Voyages, Imaginary
555 ‡a Fantasy fiction
670 ‡a LCSH, April 14, 2001 ‡b (Science fiction)
670 ‡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))
670 ‡a RBGENR, 1991: ‡b p. 57 (Science fiction, with BT Fantasy literature)
680 ‡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.
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 gen-
res” 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 nar-
rower terms (555 coded ‡w h) are from LCSH, but were not on the orig-
inal 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 alter-
nate 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 con-
taining thirty authorized codes. In other words, these codes, like the terms
themselves, are also a closely controlled vocabulary. It would seem useful,
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 Genre/form authority record containing ‡2 (nonstandard)
155 ‡a Family histories. ‡2 rbgenr

555 ‡a Genealogies. ‡2 rbgenr
680 ‡i Use for narrative family histories. For family trees and other genealogical listings of
family members, use ‡a Genealogies.
670 ‡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 <http://www.
ala.org/alcts/alcts_news/v10n4/formdat2.html>.
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 the-
saurus list above).
5. For example, the libraries of Brigham Young University, the University of Wash-
ington, 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 <http://catalog.loc.
gov>.) 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,
255
256 THE LIBRARY AND BEYOND
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 cata-
loging, see the next section of this chapter). Each utility has its own pro-
cedures, 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 utili-
ties. Turnaround time is approximately twenty-four hours from the time
of production to appearance in the authority files. Because of this proce-
dure, 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 addi-
tions 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 bib-
liographic 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 bet-
ter choice for some libraries anyway.
CDS’s MARC Distribution Service (see <http://lcweb.loc.gov/cds/
mds.html>) 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 author-
ity 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-
THE LIBRARY AND BEYOND 257
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 cat-
aloging 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 compari-
son 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 cor-
rection to indicator and subfield values in all fields, not necessarily just in
heading fields.
Another type of outsourcing libraries frequently engage in is the pur-
chase 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 neces-
sary 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, par-
ticularly 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 par-
ticular 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
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 cat-
alog 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 responsibil-
ities. 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 cur-
rently has four components: NACO (Name Authority Cooperative
Program); SACO (Subject Authority Cooperative Program); BIBCO (Biblio-
graphic 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 cre-
ation. The standards developed by the PCC for authority record creation
form the basis of much of this book.
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 partici-
pating 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 major-
ity 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 coun-
tries 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 partici-
pants 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, avail-
able at <http://www.loc.gov/catdir/pcc/naco.html>.
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.
They may also propose changes to the LC Classification schedules. Unlike

the NAF, the Subject Authority File (SAF), where LCSH resides, is com-
pletely under LC control. Additions and changes proposed by SACO par-
ticipants 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 consid-
erably 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 sub-
ject terms there are often many synonyms to choose from, and the rela-
tionships of the terms to other terms—the hierarchy of the thesaurus—is
often subjective as well. It makes sense, then, that LC should retain con-
trol over the SAF.
Although it is possible to be a SACO participant without participat-
ing 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 indi-
vidual 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 conjunc-
tion 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
<http://www.loc.gov/catdir/pcc/saco.html>.
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
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 oth-
erwise. One of the major components of the training is the development
of decision-making skills in catalogers, allowing them to apply their judg-
ment in deciding issues such as which standard to apply.
For more information about BIBCO, see <http://www.loc.gov/catdir/
pcc/bibco.html>.
CONSER is the oldest PCC program. In fact, it antedates the program
itself, having begun in the 1970s; it joined PCC in 1997. CONSER par-
ticipants 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 chang-
ing, and it is necessary to have an authoritative record that libraries can
look to for the latest information. To produce as uniform records as pos-
sible, 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 <http://www.loc.gov/acq/conser/>.
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,
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 dif-
ferent 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 poli-
cies 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 employ-
ees 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 estab-
lished with a full authority record. Or for certain headings, minimal
records, perhaps including only a 1XX field, might be allowed—for exam-
ple, 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 con-
tain important information about the library’s treatment of series) and for
all other headings that require cross-references or need to have informa-
tion about the heading recorded.
Larger libraries typically have paraprofessional catalogers who do
“copy cataloging.” The emphasis in copy cataloging operations is usually
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 nor-
mally 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 manip-
ulate. The authorities unit could accomplish this task either by periodic
reports of unauthorized headings on newly created records or by the para-
professionals physically giving the authorities unit items needing author-
ity 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 outsourc-
ing 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 ref-
erence 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 uncon-
trolled 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
ongoing process because the library’s database is dynamic, changing as the

library’s collections change and grow. It is important to look upon author-
ity work as an ongoing process, not something that can be undertaken
once and then considered finished. Authority work is one of the funda-
mental 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: <http://www.rlg.org/rlin.html>; OCLC: <http://www.oclc.com/services/
databases/>.
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 out-
sourcing 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 AACR2 1.6H (subseries), 171 multipart title changes, 162
80 percent rule on usage, 73 LCRI “applicability” subtitles AACR2 21.3B1 (changes in
vs. subseries, 169 responsibility for serials)
A AACR2 1.7A4 (notes citing LCRI place of publication
AAAF (Anglo-American other editions), 128 changes, 162
Authority File). See NAF AACR2 2.0B2 (source of infor- series title change, 162
AACR2 as standard for author- mation, monographs), 152 AACR2 21.4D (entry of commu-
ity control, 10 AACR2 12.1B4-12.1B5 (sepa- nications of heads of state),
AACR2 1.1D2 (parallel titles), rately published parts of 57, 59
167 serials), 169 AACR2 21.5C (entry of anony-
AACR2 1.6 (Series Area) AACR2 21.1 (choice of entry) mous works), 37
LCRI “multipart item vs. series entries, 151, 154 AACR2 21.9 (entry of modifica-
series,” 148 AACR2 21.1B (entry under cor- tion of other works),
LCRI “one or several series porate body) 102–4
headings,” 156 as author of series, 151–52 AACR2 21.30G (related works
LCRI “republications,” 185 LCRI conferences and meet- added entries)
LCRI “series or phrases,” ings, 76 LCRI “unnumbered supple-
180 named corporate bodies, 75 ment or special number
LCRI “supplements and spe- AACR2 21.2A (changes in title to a serial,” 174
cial numbers to serials,” proper), 162–63 AACR2 21.30H (added entries)
173–74 AACR2 21.2B2 (changes in LCRI manuscripts, 138
AACR2 1.6A2 (source of series monograph titles) AACR2 21.30L (series added
information) LCRI numbered multipart entries)
LCRI series statement embed- items, 166 LCRI “republications,” 185,
ded in text, 152 multipart items, 162, 166 186
AACR2 1.6B-1.6E (series state- AACR2 21.2C (changes in serial LCRI subseries of numbered
ment), 149 title), 162 series, 171
AACR2 1.6C (parallel titles of LCRI “situations not consid- AACR2 21.30M (analytical
series) ered title changes,” 163 added entries)
LCRI parallel titles, 167 AACR2 21.3A2 (changes in in uniform titles, 100
AACR2 1.6G (numbering within responsibility for mono- AACR2 21.35 (treaties, intergov-
series), 157 graphs) ernmental agreements), 120
265
266 INDEX
AACR2 22.1A (choice of per- AACR2 24.5C4 (omissions from LCRI “unnumbered/num-
sonal name), 71 uniform titles) bered titles from same
AACR2 22.1B (commonly ships as corporate bodies, 89 body,” 156
known usage) AACR2 24.6 (additions to AACR2 25.5C (language in uni-
guidelines, 72 names of governments) form titles)
LCRI reference sources for qualifiers to geographic LCRI, 114
nonauthors, 73 names, 94 numbered series, 164
AACR2 22.2B (pseudonyms) AACR2 24.7 (conferences, con- AACR2 25.6A (parts of a work,
contemporary authors, 60 gresses, meetings, etc.) uniform title)
LCRI pseudonyms, 66–69 LCRI events, 84 parts of works entered
AACR2 22.3A (fullness of form) omissions from heading, directly, 109
LCRI fullness of form, 73 89–90 AACR2 25.8-25.10 (collective
AACR2 22.4 (entry element of AACR2 24.13-24.14 (subordi- titles)
personal name), 85 nate bodies), 93 for collected works, 117
AACR2 22.16 (additions to AACR2 24.18 (government bod- made-up collective title, 109
given names as headings), ies entered subordinately), name-title uniform titles, 177
87 92–93 AACR2 25.13 (uniform titles,
AACR2 22.17 (dates in name AACR2 25.1 (uniform titles), 98 manuscripts)
headings), 3–4, 86 LCRI, 100–101 LCRI, 141
AACR2 22.18 (fullness of form LCRI translations, 113 LCRI items lacking a collec-
for personal names), 86–87 AACR2 25.1A (uniform titles), 98 tive title, 138
AACR2 22.20A (undifferentiated AACR2 25.2C (uniform titles, LCRI named manuscripts,
names), 87 initial articles), 106 139
AACR2 23.2 (geographic AACR2 25.3A (uniform titles) manuscript uniform titles,
names), 76 commonly known form, 104 138
LCRI initial articles, 94 LCRI exceptions to general unnamed manuscripts, 140
AACR2 23.5 (type of jurisdic- rule, 104–5 AACR2 25.15 (uniform titles,
tion in geographic names), AACR2 25.3B (uniform titles) laws), 119
93–94 choice of, 106 jurisdiction in, 120
AACR2 24.1A (headings for cor- LCRI alternative titles, 106 LCRI qualifiers, 119
porate bodies), 74 simultaneously published AACR2 25.16 (uniform titles,
initialisms, 89 works, 107 treaties), 120
AACR2 24.1C (changes in cor- title in 1st edition of work, collections of, 119
porate names), 45 100 references for treaties, 122
AACR2 24.2B (source of infor- AACR2 25.3C (uniform titles, AACR2 25.18 (uniform titles,
mation on corporate name), simultaneously published sacred scripture), 109
75 works), 107–8 AACR2 25.32 (uniform titles,
AACR2 24.4 (additions to cor- language editions, 116, music)
porate names), 90 164–65 parts of works, 109
AACR2 24.4B1 (names not con- serials, 115 AACR2 26.1B1 (“see” refer-
veying the idea of corporate AACR2 25.4 (works created ences), 10
body) before 1501), 136 AACR2 26.2D1 (explanatory
LCRI personal names as cor- AACR2 25.5B (additions to uni- references), 60
porate names, 90 form titles) AACR2 26.3B-26.3C (“see also”
AACR2 24.4C (corporate bodies conflict resolution, 123 references) (LCRI), 59
with similar names) LCRI “change in qualifier, AACR2 26.4 (uniform title refer-
dates as qualifiers in corpo- issuing body,” 133 ences), 109
rate names, 91 LCRI “eligible titles for con- LCRI international non-
institution as qualifier, 90–91 flict,” 129, 154 governmental bodies,
LCRI government bodies, 92 LCRI “monographs,” 123–25 122
AACR2 24.5 (omissions from LCRI “qualifiers for serials,” LCRI treaties, 121
corporate headings) 126 AACR2 26.4B1 (uniform title
initial articles, 89 LCRI “series-like phrases,” “see” references)
terms of incorporation, 89 184 variant titles, 109
INDEX 267
AACR2 26.4C1 (uniform title Art and Architecture Thesaurus subseries of unnumbered
“see also” references) (AAT), 219, 243 main series, 171
related works, 109 instance relationships, 212 Bibliographic Record
AACR2 26.4D (uniform title tree structure, 213 Cooperative Program. See
explanatory references), vs. TGM, 246–47, 249 BIBCO (Bibliographic
109 artworks, named, 104–5 Record Cooperative
AACR2 26.5A (series and serial Association of College and Program)
references) Research Libraries, Rare bibliographic utilities, 4
LCRI flip-flop title changes, Books and Manuscripts authority file control codes
163 Section, 248–49 (MARC 010), 61–63
LCRI references to series associative relationships, 214–16 databases of authority
entries, 192 Australia, geographic qualifiers records in, 11
AACR2 B.4A (abbreviations in for, 224, 235 display of fixed fields, 18–21
titles) author-title uniform titles. See in NACO searching, 41
in series statement, 170 Name-title uniform titles as source of authority
AACR2 B.5B1 (abbreviations Authority File Control Number. records, 255–56
used with numbering in See Library of Congress in work flow, 34
series statement), 158, 170 control number (MARC bilingual catalogs, 13n15, 15
AACR2 B.14 (abbreviations for 010) Binding Terms (RBBIN), 243,
local place names), 95 authority files, 3–6. See also 247
AACR2 C.2B1e (roman numer- Local authority file Board of Geographic Names
als in series numbering), authority record, 37–38. See also (BGN), 42
168, 171 MARC authority fields British Isles, qualifiers for, 95
broader term relationship, 210
AAT, See Art and Architecture authors, commonly known
Thesaurus (AAT) usage, 72
abbreviations automatic checking of authority C
local place names, 95 records. See also Global CAN/MARC format, 12. See
numbering terms, 158 changes to headings also MARC 21
in subseries titles, 170 5XX fields, 58 Canada
abridgement of work as new meetings, 92 geographic qualifiers, 224,
work, 102 name-title uniform titles, 100 235
access points, 3 primary elements rule, 49n5 subdivision by province, 235
accession number for serial headings, 129 Canadian Subject Headings, 219
manuscripts, 140–41 “Cannot identify with” note, 67
acquisitions department and B capitalization in subject author-
authority work, 7 Bartholomew Gazetteer of ity records, 209n2
acronyms or initialisms Places in Britain, 76 catalog displays of references, 5,
conflicts with series title, BGN (Board of Geographic 60
155 Names), 42 Cataloging Distribution Service
form of name, 89 BIBCO (Bibliographic Record (CDS), 256
adaptations by the same author, Cooperative Program), 4, changes in title
125 260–61 multipart items, 148
alternative titles, 106–7 requirement for authority series, 152, 162–66
analyzable multipart items, 148, work, 34 changes of name
151 series tracing practice, corporate bodies, 75
Anglo-American Authority File 202–3 geographic names, 133–34,
(AAAF). See NAF (Name standardized numbering, 199 224–26
Authority File) bibliographic identities, separate, jurisdictions, 78–79
Anglo-American Cataloguing 61, 63 manuscripts, 141
Rules, 2nd ed. See bibliographic record personal names, 72
AACR2 … as authority record for seri- changes to headings
anonymous works, classification als, 128 made locally, 35–36
numbers for, 66 series statements, 148–51 in NAF, 36–37
ANSI/NISO Z39.19, 208, subseries of numbered main character name subject heading
215–17 series, 171–72 as collocation device, 176
268 INDEX
“Choreographic work” as quali- and qualifiers, 47 dates in name headings, 3–4

fier, 126 references, 110 corporate names, 91
chronological subdivisions in serial titles, 129 personal names, 86–87
LCSH, 228 series authorities, 154 DCM. See Descriptive
churches, geographic subdivi- series references, 196–97 Cataloging Manual (DCM)
sion, 25 conflicts, anticipation of, 91, delimiter mark (‡), 12
classification number 130 derivational relationship,
Library of Congress (MARC conjunctions in LCSH, 222 215–16
053), 13 CONSER, 127, 129, 261 descriptive cataloging, 3
locally assigned (MARC consistency of headings, 1–3, 91 Descriptive Cataloging Manual
090), 64–65 “contemporary” authors, (DCM), 11
series, 189 pseudonyms of, 60–62 creation of authority records
coauthors, references from, continuing resources, definition, for serials, 127
193–94 146 on level of establishment, 28
collected works, 117–18 controlled vocabulary, 7, 207–8. on transcribing series titles,
collective titles See also Thesauri 153–56
laws, 119–20 cooperative cataloging programs, uniform titles, 101
series titles, 177 258–61 descriptors, 216–17. See also
treaties, 120–22 Cooperative Online Serials Genre/form terms; Subject
works by a single author, Program (CONSER), 127, terms; Term headings
116–19 129, 261 devices in names, 37
works of personal authorship copy cataloging, 263–64 Dewey classification number
in series, 177–78 corporate bodies (MARC 083), 66
collocation function of catalog, 7 as author of series, 151 differentiation by uniform titles,
and dates in uniform titles, as owner of manuscripts, 141 98, 122–36
118 as qualifiers, 131–32, 155 direct or indirect subdivision,
and series, 145 serials entered under, lan- 235
and uniform titles, 98, guage of, 115 distinctive title for subseries,
113–22 as series entries, 151–52 170–71, 194. See also
works of personal authorship in series titles, 162, 190–91, Generic terms as subseries
in series, 176 193
common sense, 35n1 subordinate bodies, 41
E
“commonly known” usage, 34 uncertain identification of,
editor in series-like phrase, 182
determination of, personal 68
80 percent rule on usage, 73
names, 71–74 corporate names
electronic resources. See
noncontemporary authors additions to, 90–92
“Computer file” as qualifier
with multiple changes in, 45, 165
elements of name and fullness of
pseudonyms, 61 choice of name, 74–76
form, 73
uniform titles, 104–5 form of name, 89–93
ellipses in series statement, 160
“Company” in corporate names, latest entry practice, 226
encoding level (MARC
89 related names, 53–55
Leader/17), 18, 37
compound terms, 217 and terms of incorporation,
equivalence relationships,
“Computer file” as qualifier, 51–52
208–10
126–27 costs of authority work, 6–8
events as name or subject,
conferences and meetings cover as source, 41
84–85
names of, 76 creator/revisor of record note, 69
explanatory notes (MARC 667),
nonrepeated, 92 cross-references. See References
66–69
omissions from name, 89–90 Cutter, Charles A., 7n9
manuscripts, 140
repeated meetings, 91–92 series-like phrases, 184, 205
as series entry, 190–91 D explanatory references (MARC
conflict resolution date in series statement, 159–61, 663)
in 5XX fields, 52–53 177–78, 192 for heads of state, 59
among thesauri, 245–49 date in uniform titles for Works, personal names, 60–61
monographs, 123–25 117–18 uniform titles, 109–10
INDEX 269
F Geographic Names Information I

facsimile editions, 186 System, 76 identical headings
“few” issues, definition of, citations for, 42 distinguishing, 40
163–64 as source for U.S. geographic not differentiated, 87–89
fictitious characters, 227 names, 223 incorporation, terms of, 89
fields, definition, 12 geographic subdivision, 228, independent establishment of
fixed fields (MARC authority), 229. See also MARC subject strings, 229–30
18–32 authority fields: 008/06 indexing in catalog
genre/form, 251 GEOnet Names Server (GNS), and authority records for
series, 206 42–43, 76–77, 223 serials, 128
subject records, 237–38 given names as headings, 87, for genre/form terms,
uniform titles, 111 194 244–45, 251
flip-flop title changes, 163, 196 global changes to headings, series, 14, 189
fluctuating titles, 163–64, 196 263. See also Automatic and standardized numbering,
form subdivisions in LCSH, 228 checking of authority 157
free-floating geographic head- records for titles in name-title refer-
ings, 225 GNS (GEOnet Names Server), ences, 192–93
free-floating subdivisions, 228, 42–43, 76–77, 223 and type of subdivision, 228
230–31 government bodies. See also indicators, definition, 12
Free-Floating Subdivisions, 230 Jurisdictions indirect or direct subdivision,
fullness of form for personal qualifiers of, 92 235
names, 73, 86–87 subordinate bodies, 77, initial articles
92–93 corporate names, 89
G Great Britain geographic names, 94
gathering function of catalog. geographic qualifiers, 95, series statements, 153
See Collocation function of 224, 235 uniform titles, 106
catalog subdivision by lower jurisdic- instance relationships, 212
generic relationships, 210–11 tion, 235 institutions
generic serial titles, 135–36 GSAFD (Guidelines on Subject government bodies as, 92
generic terms as subseries, Access to Individual Works as qualifier, 90
172–73. See also Distinctive of Fiction, Drama, Etc.), integrating resources, definition,
title for subseries 243, 247 146
genre/form authority control, guide terms in thesauri, 214 interhierarchical relationships,
242–54 Guidelines for the Construction, 213–14
adaptation of subject records, Format, and Management international corporate bodies,
251–53 of Monolingual Thesauri geographic subdivisions,
genre/form terms (ANSI/NISO Z39.19), 208 235–36
indexing of, 244–45 compound terms, 217 Internet, citations of, 43
as series-like phrase, 183 literary warrant, intervening bodies in 4XX fields,
Genre Terms (RBGENR), 243, 216–17 93
types of relationships, 215 introductory phrases in uniform
245–46, 247
Guidelines on Subject Access to titles, 106
geographic features, qualifiers,
Individual Works of Fiction, inverted forms. See also
224
Drama, Etc. (GSAFD), 243, Equivalence relationships
geographic names
247 geographic names, 222, 224
choice of, 76–80
formation of names, 93–95 in LCSH, 221
in LCSH, 221, 222–25 H Ireland as qualifier, 95
as name or subject, 80 heading in authority record ISSN in series statement, 154
nonjurisdictional, 222 (MARC 1XX), 37 issuing body as qualifier, 130
not used for subdivision, heads of state, 57–59 changes in, 132–33
241 hierarchical relationships,
as qualifier, 90, 94–95 210–14 J
as qualifier, changes in, disagreements among the- jurisdictions. See also
133–34, 224–26 sauri, 246–47 Government bodies
270 INDEX
jurisdictions (continued) Library of Congress Rule manuscript headings, 138–43

geographic name changes, Interpretations (LCRIs), MARC 21, 11–30
133–34, 224–26 10–11. See also AACR2 ... MARC authority fields
history of, 229–30 Library of Congress Subject fixed fields, 18–32
in indirect subdivision, 235 Headings (LCSH), 219, leader/17 (encoding level), 18,
in NAF, 222 220–37 37
types of, 93–94 choice of term, 221–22 008, 18, 22–24
in uniform titles for laws, 120 form/genre terms, 243 008/06 (direct or indirect
vs. place names, 77–79 hierarchy in, 226–27 geographic subdivision),
justifications for decisions in instance relationships, 212 25, 235–36, 238
serials authority record, 128 narrower terms in, 211 008/07 (romanization
as thesaurus, 11, 220–21 scheme), 25
K linking entries for series title 008/08 (language of catalog),
keyword searching, 7 changes, 165–66 25
lists of authorized terms. See 008/09 (kind of record), 25
L Controlled vocabulary 008/10 (descriptive cataloging
language editions. See also local authority file, 4 rules), 25–26, 37
Serials: translations of analyzable serials, 147 008/11 (subject heading sys-
in level of establishment cited in 670 field, 42 tem), 25–26, 238, 251
(008/33), 28–29, 164 creator/revisor of record note, 008/12 (type of series), 26,
standardized numbering, 69 183, 206
198 MARC X55 subfield ‡2, 008/13 (numbered or unnum-
title changes, 164 253–54 bered series), 26, 206
language of translation in uni- and outsourcing, 257–58 008/14 (main or added
form titles, 114 uniform titles, 102 entry), 26–27, 111, 238
languages using case in 670 field, local cataloging policy 008/15 (subject added entry),
39 genre-subdivision strings, 250 27, 238, 251
languages with reformed orthog- and maintenance, 262–63 008/16 (series added entry),
raphy, 105 series, 201–2 27, 206, 238
last-used name as “commonly subject vs. genre/form terms, 008/17 (type of subject subdi-
known” form, 72 244 vision), 27
thesaurus reconciliation, 008/28 (type of government
latest entry practice, 225–26
247–48 agency), 27
laws, 119–20
local place names, qualifiers of, 008/29 (reference evaluation),
LCRI. See Library of Congress
94–95 27–28, 37
Rule Interpretations
locally assigned classification 008/32 (personal name,
(LCRIs)
numbers (MARC 090), undifferentiated), 28, 37,
LCSH. See Library of Congress
64–65 87–88, 111
Subject Headings (LCSH) 008/33 (level of establish-
leader in fixed fields, 18, 21 location name
in manuscript uniform title, ment), 28–29, 37, 164,
lecture series, named, 182 206
lexical variants. See Equivalence 139, 141
in treaty uniform title, 008/38 (modified record), 29
relationships 008/39 (cataloging source),
library catalogs 121–22
29
authority records in, 5 loose-leaf publications, 146
0XX control fields in MARC,
collocation function of, 7 13
as reference source, 35–36 M 010 (Library of Congress
Library of Congress authority “Machine-derived authority control number), 13,
records, 256–57 record” note, 68 61–63, 239
Library of Congress classifica- maintenance of authority files, 035 (system control number),
tion number (MARC 053), 261–63 13
13, 64–66 Malaysia, geographic qualifiers, 040 (cataloging source), 13,
Library of Congress control 224, 235 64, 240
number (MARC 010), 13, manuscript as physical entity, 050 (Library of Congress call
61–63 138 number for series), 13
INDEX 271
053 (Library of Congress 670 (note on source data) 655 (form/genre terms), 242,
classification number), (See Note on source data 253
13, 64–66, 239–40 (MARC 670)) 730 (uniform title added
073 (subdivision usage), 675 (sources lacking informa- entry), 154
230–31 tion), 44–46, 205, 240 740 (variant titles), 154
083 (Dewey classification 680 (scope notes), 209, 240 780/785 (preceding entry/suc-
number), 66 7XX (linking entries), 15–16 ceeding entry), 128, 154
090 (locally assigned classifi- 781 (form of geographic sub- 8XX (series added entry
cation number), 64–65 division), 240 statements), 149–50
1XX (authorized form of 8XX (catchall fields), 16, 185 MARC code DPCC, 199
heading), 13, 37, 190–91 856 (Uniform Resource MARC Code List for Relators,
150 (topical heading), 238 Locator), 16 Sources, Description
151 (geographic headings), 880 (alternate graphic repre- Conventions, 243, 253
238 sentations), 16 MARC Distribution Service, 256
155 (genre/form headings), X00 (personal names), 16 MARC genre/form authority
249 X10 (corporate name), 16 records, 249–54
180 (topical subdivision), 238 X11 (meeting or conference MARC language code in 040
181 (geographic subdivision), name), 16, 84 field, 64
238 X30 (uniform title not linked MARC subject authority
182 (chronological subdivi- to author), 16, 101, 108, records, 237–41
sion), 238 130 MARC symbols for library, 64
185 (form subdivision), 238 X50 (topical subject term), Medical Subject Headings
2XX (complex subject “see” 17, 84 (MeSH), 219, 243
references), 13 X51 (geographic names), 17, meetings. See Conferences and
3XX (complex subject “see 77–78 meetings
also” references), 13 X55 (genre/form term), 17, metropolitan areas in LCSH, 225
4XX (see from tracing fields) 249 modification of work as new
(See See from tracing X80 (topical subdivisions), work, 102–4
fields (MARC 4XX))
230–31 monographic series
410 (see from tracing, per-
X81 (geographic subdivi- MARC coding for, 146
sonal name), 39
sions), 230–31 with multipart items, 148,
455 (genre/form see from ref-
X82 (geographic subdivi- 160–61
erences), 249
sions), 230 monographs, conflict resolution,
5XX (see also from tracing
X85 (form subdivision), 230 123–25
fields), 37 (See See also
MARC bibliographic fields motion pictures, uniform titles,
from tracing fields
1XX/240 name-title uniform 125–26
(MARC 5XX))
titles, 101, 108, 130 Moving Image Materials, 244
555 (genre/form see also ref-
130 (uniform title), 130, 154 “Mt.” in geographic names, 95
erences), 249
240 (uniform title), 100, 154 multilingual thesauri, 11n6,
64X (series notes), 14–15
245 (title statement), 34, 154 208n1
640-641 (series numbering),
246 (variant titles), 154 multipart items. See also Series
200
247 (former title), 154 choice of entry, 151
642 (series numbering pat-
260 (imprint), 39 in larger series, 148, 160–61
tern), 26, 157, 198–200
4XX (series title transcrip- title changes in, 162, 166
643 (series publisher), 200
tion), 154, 157 vs. series, 147–48
644-646 (local cataloging
440 (authorized series title), works of personal authorship
policy, series), 201–2
149–50, 157 in series, 174–79
663-666 (references for com-
490/8XX (series traced differ- music headings, uniform titles in,
plicated names), 15
ently from transcrip- 102, 221
663 (explanatory “see also”
references), 59, 60–61 tion), 149–50, 157, 167,
667-68X notes, 15, 200 171–72, 174, 189 N
667 (nonpublic explanatory 534 (original version note), NACO (Name Authority
notes), 66–69, 140, 184, 185–86, 204 Cooperative Program), 4,
205 650 (subject added entry), 244 259
272 INDEX
NACO Participant’s Manual, 11 node labels in thesauri, 214 parallel titles

NACO policies nonauthors, determination of references from, in series,
on bibliographic searching, 41 name, 73 194–95
changes in headings, 36–37 normalization of headings, 47n4 of series, 166–68
conflicts in series statements, series statements, 154 in series statements, 153
154 “Not the same as:” note, 68 Paris Principles
explanatory references for note on source data (MARC collocation in, 113
pseudonyms, 60 670), 37–44 differentiation, 122–23
heads of state, 59 commonly used, 16 “part.” See Terms with series
level of establishment series, 204 numbers
(008/33), 28 subjects, 240 part numbers in subseries, 170
name headings, 37–46 undifferentiated name, 88 part-to-whole relationships, 109
reference sources for geo- uniform title, 110–11 pattern headings in LCSH, 229,
graphic names, 76 notification procedures for 232–34
requirement for authority changes, 36–37 PCC (Program for Cooperative
work, 34 “number.” See Terms with series Cataloging), 258–61. See
series statement embedded in numbers also BIBCO (Bibliographic
text, 152 number phrases as series state- Record Cooperative
series tracing practice, 203 ment, 180–81 Program); NACO (Name
translations, 115 numbered multipart items, 166 Authority Cooperative
uniform titles, 102 numbered series Program)
NAF (Name Authority File) and generic subseries titles, performing groups, 55–56
in bibliographic utilities, 11, 172–73 periods in initialisms, 89
255–56 subseries of, 171–72 personal author of series,
overlap with SAF, 80 title changes in, 164 174–79
use of, 4 numbering, standardized, 157, personal names
Name Authority Cooperative 188, 198 choice of names, 71–74
Program. See NACO (Name numbering embedded in series as corporate names, 90
Authority Cooperative title, 160–61 form of name, 85–87
Program) phrase headings, 76n9
name headings, standards for, physical characteristics terms,
O
10–11 242
OCLC Online Computer Library
name-title series headings, physical format of serials, 129
Center. See also
174–79, 192 physical format of series, 162
Bibliographic utilities
name-title uniform titles place name. See Geographic
and CONSER program, 261
in authority files, 2–3 names
fixed field displays, 29–30
collective titles, 177 place of publication, change in,
omissions from headings
MARC format for, 99–101, 133, 162
corporate names, 89–90
plural vs. singular terms, 217
108, 130 geographic names, 93–94
polyglot texts, 114
for related works, 101–2 series headings, 153–54
polyhierarchical relationships.
name types, lists of, 81–82 order of subdivisions, 236–37 See Interhierarchical rela-
named lecture series, 182 original works, headings for, tionships
named manuscripts, 138–39, 116 position number in fixed field, 18
142 orphan terms, 213n3, 227 predecessor and successor com-
names. See Corporate names; orthographic reforms and uni- panies, 54
Geographic names; Personal form titles, 105 predominant form of name
names other title information in series corporate names, 75
narrower term relationship, 210 statements, 153, 194–95 personal names, 60
NASA Thesaurus, 220 outsourcing of authority work, prepositions in LCSH, 222
National Authority File. See 4, 257–58 “primary elements” rule, 48–49
NAF (Name Authority File) Program for Cooperative
National Library of Canada as P Cataloging. See PCC
source for geographic parallel numbering systems, (Program for Cooperative
names, 76 158–59 Cataloging)
INDEX 273
provisional records, 28–29 for serials, qualification of, predecessor and successor
pseudonyms, 52, 60–61 196–97 companies, 53–55
publisher in series authority, in serials authority record, series, 197–98
178–79, 200 128 uniform titles, 108–10
publisher’s listings as series-like in subject authority record, “see also” references. See
phrase, 183 239 References
publisher’s numbers as series treaties, 121 see from tracing fields (MARC
numbering, 181 regions in LCSH, 225 4XX)
punctuation in authority record related series heading, 197–98 conflicts with existing head-
670 field, 39 related terms in thesauri, ings, 47
heading, 38 214–16, 227 construction of, 48–51
repository for manuscripts, 139, uniform titles, 108–10
Q 140 “see” references. See References
qualifiers republications of series, “Selections” as uniform title,
in 4XX cross-references, 51 184–86 117, 177–78
change in issuing body, local cataloging practice, 203, serials
133–34, 162 204 special issues of, 146–47
corporate names, 90–92, 162 numbered series, numbering translations of, 114–16 (See
geographic names, 94–95, pattern, 199 also Language editions)
133–34, 224 publisher of, 200 uniform titles for, 126–36
laws, 119–20 RLIN (Research Libraries serials, analyzable, 146–47
in LCSH, 222 Information Network), tracing of, 151
manuscripts, 141 29–30. See also Biblio- series, 144–87. See also
personal names, 86–87 graphic utilities Multipart items
serials, 130–36 roman numerals in series num- authorship, 154
series references, 196–97 bering, 168, 170–71 choice of entry, 151–52
series titles, 154–56
definition, 144–46
standardized, 125–26
S formulation of headings,
in thesauri, 217
SACO (Subject Authority 153–56
R Cooperative Program), title changes in, 162–66
“Radio program” as qualifier, 259–60 treatment decisions in author-
126–27 SAF (Subject Authority File). See ity file, 5
Rand McNally Commercial also Library of Congress vs. multipart items, 148
Atlas and Marketing Guide, Subject Headings (LCSH) series analysis practice (MARC
76 in BIBCO work, 34 644), 188
RBBIN. See Binding Terms in bibliographic utilities, 11, local cataloging policy, 201–2
RBGENR. See Genre Terms 220, 255–56 “(Series)” as qualifier, 155–56
RBMS (ACRL Rare Books and overlap with NAF, 80 series authority records,
Manuscripts Section), types of subjects, 82–85 188–206
248–49 SCM. See Subject Cataloging and bibliographic record,
rearrangement of work as new Manual 148–51
work, 102 scope notes (MARC 680), 209, MARC codes in, 189–90
reciprocal links and imported 240 for series-like phrases,
records, 211 Sears List of Subject Headings, 183–84
reference information in library 220, 232 usage note, 204–5
catalog, 35–36 see also from tracing fields series by a single author
reference sources (MARC 5XX) choice of entry, 151–52
in 670 field, 40–41 associative relationships, as multipart item, 148, 150
information not found, 44–46 214–15 without title, 176
for nonauthors, 73–74 conflicts with existing head- series classification numbers, 189
references, 46–61. See also See ings, 47–48 series classification practice
also from tracing fields construction of, 52–58 (MARC 646), 203–4
(MARC 5XX); See from hierarchical relationships, series entered under author,
tracing fields (MARC 4XX) 210–11 192–93
274 INDEX
series entered under title, 193 subject categories on back cover, TGM: Thesaurus for Graphic
series-like phrases, 179–84, 205 183 Materials
series numbering, 156–61 subject terms genre and physical character-
MARC coding, 198–200 indexing of, 244–45 istics terms, 214–15, 244
series title, standardization of, lists of types, 82–84 subject terms, 220
149 notes on use, 67 vs. AAT, 246–47, 249
series tracing practice (MARC subject thesauri, 11, 219–41 thesauri, 207–18
645), 189, 202–3 subject vs. name, 80–85 conflict resolution among,
session laws, 120 subordinate corporate bodies, 41 245–49
ships as corporate bodies, 2, 89 subordinate government bodies for genre/form terms, 242–43
sibling terms in thesauri, 215 entered under jurisdiction, 77 standards for, 11
simultaneously published works, qualifiers, 92–93 title changes
107 subseries, 168–74 references for series, 196
singular vs. plural terms, 217 classification practice on, translated series, 164
slogans as series-like phrase, 183 203–4 title entries
sources of authority records, determination of, 168–69 authority for, 2
255–58 establishment of, 169–71 conflict resolution, 124
sources of information (MARC references from, 194–95 series, 154, 190–91
670), 38–44 subtitles vs. subseries, 168–69 title page of book as source for
in authority file, 5–6 suburban areas in LCSH, 225 usage, 72
series titles, 152–53 successive entry rule title proper
uniform titles, 111 corporate bodies, 45 MARC fields for, 154
special issues of serials, 146–47. and manuscripts, 141–42 serials, 129–30
See also Serials, analyzable series titles, 162, 197–98 works created before 1501,
unnumbered, 173–74 successor and predecessor com- 136
spelled-out forms of geographic panies, 54 titles, individual, in series, 146
names, 95 supplements, numbered, as subtitles in name-title series head-
“St.” in geographic names, 95 series, 173–74 ings, 177, 192
statements of responsibility surnames topical subdivisions in LCSH,
in series statements, 153 compound surnames, 50 227
in uniform titles, 106–7 references from in series title, tracing. See Indexing in catalog
works created before 1501, 194, 196 transcription of series title
137 surnames with prefixes, 50 republished item, 185
subdivision practice in LCSH, symbols or devices in names, 37 sources of information for,
227–29, 236–37 synonyms. See Equivalence rela- 152
subfield ‡w (MARC 5XX) tionships translations
hierarchical relationships, and change of title, 162
210–11 of geographic names, 223
T
pseudonyms, 60 of series, title changes, 164
tag, definition, 12
related corporate bodies, 53 uniform titles for, 2, 113–16
“Television program” as quali-
series, 197–98 treaties, 120–22
fier, 126
subfields, 12, See also specific tree structure in thesauri, 213
term headings, 207–18. See also
MARC fields type of publication as qualifier,
Genre/form terms; Subject
Subject Authority Cooperative 130
terms
Program. See SACO term-subdivision strings
(Subject Authority genre/form, 250 U
Cooperative Program) for name heading, 238 uncertain identity, notes on, 67
Subject Authority File. See SAF not covered by pattern head- undifferentiated names, 87–89
(Subject Authority File) ings, 234 undifferentiated phrase record,
Subject Cataloging Manual subjects, 229–30 184
geographic name changes, terms. See Genre/form terms; uniform titles, 2–3, 97–112
225–26 Subject terms authority records for,
and LCSH, 11, 220 terms with series numbers, 100–102, 108–11
pattern headings, 232 157–58 choice of, 102–8
INDEX 275
general information, translations, title changes, variants of variants, 51

97–100 164–65 references for in series, 192
LC policy on, 100–101 unrelated works, 125 series titles, 192
notes, 111 URL (Uniform Resource “vol.” See Terms with series
standards for, 10–11 Locator), 43. See also numbers
UNIMARC, 12. See also MARC MARC authority fields: 856 volume numbering in series
21 U.S. Census publications, quali- statement, 154
uniqueness of headings, 1–3 fier for, 126
United States USMARC, 12. See also MARC W
geographic qualifiers, 21 Web sites, 146
224 whole-to-part relationships, 109,
local place names, 95 V 211–12
subdivision by state, 235 variable fields, 12–17 work flow, 33–35
“(Unnumbered)” as qualifier, genre/form authority records, “Works” as uniform title, 117,
155–56 249–50 177–78
unnumbered multipart items, variant names works created before 1501, uni-
166 in 4XX fields, 50–51 form titles, 136–38
unnumbered phrases as series- corporate names, 74–75 works in a single literary form,
like phrase, 180 determination of usage, 72 uniform title, 117
unnumbered series manuscripts, 140
classification instructions, variant titles
189 as conflicts, 154 Y
serials, 129 Yugoslavia, geographic quali-
and generic subseries titles,
series authority records, fiers, 224, 235
172–73
in MARC format, 26 194–96
qualifier for, 155–56 in uniform title authority Z
subseries of, 171 records, 109 Z39.19, 208, 215–17
ROBERT L. MAXWELL, author of the current edi-
tion 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 lan-
guages and literatures from the University of
Toronto (1993) and an M.L.S. from the
University of Arizona (1982).

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M

AMERICAN LIBRARY ASSOCIATION

Cover by Dianne M. Rooney

Project editor, Eloise L. Kinney

Composition in Optima and Sabon using QuarkXPress 4.1 on a PC platform

Library of Congress Cataloging-in-Publication Data

Printed in the United States of America.

2 Standards Governing Authority Control 10

3 Basic Authority Control Procedures 33

4 Authority Control of Names 71

5 Uniform Titles: General Information 97

6 Uniform Titles: Particular Problems 113

7 Series: General Information 144

8 Series Authority Records 188

9 Authority Control of Terms: Thesaurus Building 207

10 Authority Control of Terms: Subjects 219

Subdivision Practice 227

11 Authority Control of Terms: Genre/Form 242

12 The Library and Beyond 255

Many individuals helped me to write Maxwell’s Guide to Authority Work.

AACR2 Anglo-American Cataloguing Rules, 2nd ed., 1998 revision

MeSH Medical Subject Headings (Bethesda, Md.: National Library of

Mark, 1835-1910. Adventures of Tom Sawyer”); it might thus better be

NEW YORK • DODD, MEAD & COMPANY

This will be transcribed, in the title portion of the record,

WHY DO AUTHORITY WORK?

library of not performing authority control is the abandonment of this

STANDARDS FOR THE FORMULATION OF HEADINGS

words, “It is incumbent upon the Library of Congress to make decisions

ENCODING STANDARDS (MARC 21)

FIGURE 2-1 Cataloging source, LC classification number, and authorized heading

040 ‡a DLC ‡c DLC

FIGURE 2-2 Complex subject reference describing subdivision practice

FIGURE 2-3 See from tracing fields

100 0 ‡a Mary, ‡c Blessed Virgin, Saint

FIGURE 2-4 See also from tracing fields

100 1 ‡a Eberhardt, Anna

FIGURE 2-5 Series treatment

050 0 ‡a BR60 ‡b .C49

numbered without a preceding abbreviation such as vol. (642 field); that

FIGURE 2-6 Complex name reference fields

100 1 ‡a Dodgson, Charles Lutwidge, ‡d 1832-1898

FIGURE 2-7 Source of data note

110 2 ‡a Brigham Young University Singers

thesauri, or in complex systems they may link separate authority files.

FIGURE 2-8 Author-title uniform title

100 1 ‡a Twain, Mark, ‡d 1835-1910. ‡t Adventures of Tom Sawyer

FIGURE 2-9 Conference name

111 2 ‡a International Conference of the North American Fuzzy Information Processing

FIGURE 2-10 Uniform title

130 0 ‡a Bible. ‡p O.T. ‡l Hebrew. ‡s Leningrad Codex

FIGURE 2-11 Topical term

FIGURE 2-12 Geographic name

FIGURE 2-13 Geographic name––political entity

151 ‡a United States

FIGURE 2-14 Genre/form term

155 ‡a Large type books