Report of the Task Group on AACR2 & RDA Acceptable Headings-1

Definitions1.1 Authority record: a MARC record in the LC/NACO Authority File; a MARC record whose 010 field contains subfield $a beginning "n".11.2 For the purposes of this document, au

PCC Task Group on AACR2 & RDA Acceptable

Heading Categories

FINAL REPORT August 2011

For the first time in thirty years, much of the cataloging world will be shifting to a new

cataloging code, RDA: Resource Description and Access This new cataloging code is a set of instructions and guidelines based on a very different conceptual paradigm, the Functional

Requirements for Bibliographic Records (FRBR) RDA holds great promise in making library metadata better able to integrate into our larger information environment and help patrons discover and access resources more easily The shift to a new paradigm is never an easy one, though, and legacy data must be smoothly integrated into any transition

Authority files are a particularly complex problem whenever cataloging codes are changed Any massive updating of authority records (and the attendant bibliographic file maintenance) is impractical, even in an automated environment, yet authority records must be reflective of the new cataloging code In addition, authority records themselves must support bibliographic records created under the old cataloging code, AACR2, and the new cataloging code, RDA Last,creation of new authority records is a crucial element in the cataloging process and in the period

of transition to RDA the authority files must actively be used both by AACR2 and RDA

catalogers in their day-to-day work

Although beyond the scope of our charge, the task group felt that all of these issues must be addressed in its final report in order to make a coherent set of recommendations The essential part of the report is its statement of principles Some questions remain to be answered, but if these principles are adopted any further work will dovetail with the guidelines proposed All members of the task group were extremely valuable in our discussions but I would like to

acknowledge the extraordinary work of Gary Strawn in providing the analysis that made the report possible and his ability to write about complex processes in a clear and consistent way

2) Headings constructed under AACR2, in need of change to be used as valid RDA headings

3) Gray areas, where the need for change is uncertain

 Identify specs for writing a report that could be used to collect all the records for each type of heading above

 For category 1 (headings valid under RDA), recommend whether 008/10 (Descriptive cataloging rules) should systematically be relabeled as “z” for RDA, or whether such headings should simply be “grandfathered in” as is

 For category 2 (headings not valid under RDA), determine if it is possible to provide specifications for making changes to the headings in an automated batch manner

 For category 3, briefly explain why each type is ambiguous and recommend if possible how to proceed

A goal in this work is to find non-energy-intensive means of implementing a new set of rules, while gaining a maximum of the benefits from RDA

The Task Group’s report will be reviewed by the Policy Committee and then posted to the PCC web site The Policy Committee will then look into what party(ies) are available to carry out any recommended batch actions on authority records It may be possible for the PCC

Secretariat to report to the cataloging community an estimate of the percentage of the existing name authority file’s records that are/were in need of a heading change

MEMBERS

Philip Schreur, Chair

Head, Metadata DepartmentStanford University

Diane Boehr

Head of CatalogingNational Library of MedicineRobert Bremer

Senior Consulting Database SpecialistOCLC

Ana Cristán

Policy and Standards DivisionLibrary of Congress

John Wright

Chair of the Cataloging Services DepartmentBrigham Young University

SUMMARY

The report is divided into five sections: Definitions, Principles, Details, Scheduling, and

Additional Recommendations It is followed by six appendices on various specific topics having

to do with the authority file migration Two principles were at the forefront of the task group’s mind as we made our deliberations First, any changes to the authority file must be as minimal

as possible Massive changes to authority records and the attendant bibliographic file

maintenance in OCLC and a myriad of individual catalogs had to be avoided Second, both AACR2 and RDA catalogers need to make use of the authority files in their everyday work until the transition to RDA is complete The task group strongly endorses the principle of no hybrid authority records, that is, all parts of a heading must be valid in the same rule set However, in the interim period of transition to RDA, RDA catalogers must be able to create authority records for sub-bodies or uniform titles whose base element is currently coded as AACR2

A second issue that soon arose was that of scheduling Currently, most catalogers have not been trained in RDA To re-code the authority file too soon would make it very difficult for these catalogers to function And yet, RDA catalogers must be able to do their jobs as well Because

of this, the task group strongly recommends a two-phased approach to the re-coding of the authority file First, as soon as possible, those headings that cannot be considered valid under RDA should be identified and marked as such The vast majority of headings remaining could then be considered as RDA-acceptable and used by both AACR2 and RDA catalogers

The second phase should be tied to the national libraries’ transition to RDA At that point, those headings considered to be RDA-acceptable should be recoded as RDA and all the mechanical changes to headings recommended in the report should be processed After that point, only RDArecords should be added to the authority file It is strongly recommended that these changes be

done on a Day 1, however, the task group recognizes that this massive updating and reissuing of authority records could be difficult for downstream processes to absorb Because of this, an alternative approach would be to complete all the mechanical changes on Day 1 but stretch out the re-coding of RDA-acceptable headings to RDA over a period of time to make the updates easier to absorb.

The task group recognizes that not all mechanical changes needed to make current AACR2 headings RDA-acceptable, or identification of all types of headings that cannot be considered RDA-acceptable could be accomplished in our short timeframe RDA itself is undergoing changes as well and what is currently considered an RDA-acceptable heading may change over the next number of months Because of this, the task group recommends that the mechanical updates listed in this report be tested, added to, and revised over the next year so that by Day 1 a final set of parameters can be accepted with confidence If the principles expressed in Section 2 are followed, any additions or changes will harmonize with what is currently proposed

The LC/NACO Authority File and RDA

Appendix E Examples of changes to headings – p 40

Appendix F Impact on the LC/NACO Authority File – p 41

Appendix G Significant differences between 100 and 700 $a – p 44

1 Definitions

1.1 Authority record: a MARC record in the LC/NACO Authority File; a MARC

record whose 010 field contains subfield $a beginning "n".11.2 For the purposes of this document, authority records are to be characterized by

their descriptive cataloging rules code (008 field, byte 10) and associated MARC content designation For example:

 RDA authority record: an authority record whose descriptive cataloging rules

code is "z" and whose 040 field contains subfield $e with the value "rda"

 Non-RDA authority record: any authority record that is not an RDA authority

record

 AACR2authority record: an authority record whose descriptive cataloging rules code is "c" The category AACR2 authority record defined in this document explicitly excludes the category of AACR2-compatible authority records—

authority records with the descriptive cataloging rules code "d"

1.3 Heading or access point: any variable field in an authority record with a tag in the

1XX, 4XX or 5XX groups An AACR2 heading is a MARC field in an AACR2 authority record with a tag in the 1XX, 4XX or 5XX group, an RDA access point

is a MARC field in an RDA authority record with a tag in the 1XX, 4XX or 5XX group, and so on References to authority variable fields by type include only

heading fields (so a reference to X00 fields refers only to the 100, 400 and 500

fields) By definition, authority records in the LC/NACO Authority File can only contain headings of the following types: X00, X10, X11, X30, X51

1.4 The migration of the LC/NACO Authority File is an automated set of changes to

the authority records in that file Section 4 of this document describes the major steps in the migration, and how they might be accomplished

1.5 Day 1 is the date on which RDA is implemented at the national libraries and by

the PCC At present, this is assumed to be a date not before Jan 1, 2013

2 Principles

General principles

2.1 AACR2 authority records can be placed into broad categories by considering

characteristics of their 1XX fields in relation to RDA specifications (These

criteria apply only to 1XX fields, and not to 4XX or 5XX fields.)

 AACR2 authority records whose 1XX fields contain, or appear to contain,

elements not provided for under RDA, or whose 1XX fields lack, or appear to lack, information believed to be essential under RDA These authority records must be reviewed and upgraded before their 1XX fields can be used under RDA Characteristics used to identify these authority records are defined in section 3.1

1 The task group did not investigate the effect the switch to RDA might have on other authority files, such as the LCSH authority file.

of this report About 225,0002 AACR2 authority records (about 2.8% of AACR2 authority records) fall into this category.

 AACR2 authority records whose 1XX fields can be used after one or more of the mechanical operations described in section 3.3 of this report About 172,000 AACR2 authority records (about 2.1% of AACR2 authority records) fall into this category

 AACR2 authority records whose 1XX fields can be used under RDA without further modification About 7,631,000 AACR2 authority records (about 95.1% of AACR2 authority records) fall into this category

In this report, AACR2 authority records in the second and third of these categories

are called acceptable for use under RDA;authority records in the second category alone are acceptable for use under RDA with changes, and authority records in the third category alone are acceptable for use under RDA as is Authority records in either of the first two categories are not acceptable for use under RDA as is.

2.2 There is no category of "RDA-compatible" authority records, but this does not

mean that an AACR2 1XX field acceptable for use under RDA must contain all possible RDA elements RDA elements not present in the 1XX field may be preserved in the authority record in suitable non-1XX authority fields

2.3 The category of authority records whose 1XX fields require review before they

can be used under RDA also includes all pre-AACR2 authority records and AACR2-compatible authority records

2.4 The migration of the LC/NACO Authority File involves the re-coding of AACR2

authority records with acceptable 1XX fields as RDA records, and mechanical changes to headings and to authority data other than headings in authority records

of all types

2.5 To enhance the use of the LC/NACO Authority File during a transition period in

which the use of either AACR2 and RDA is permitted, the task group believes that AACR2 authority records whose 1XX fields are not acceptable for use under RDA as is should be re-coded by automated procedure; and that this re-coding should take place as soon as possible On Day 1 or over a period of time following Day 1, authority records whose 1XX fields are acceptable for use underRDA as is should be re-coded as RDA records Section 3.2 of this document includes the specifications for this re-coding; section 4 gives further information

2 The various counts of authority records presented in this report were gathered by examining the authority file maintained by Northwestern University Library This file contains a copy of the LC/NACO Authority File, updated by weekly loads; it is essentially the same as copies of the LC/NACO Authority File maintained at the Library of Congress, OCLC, and other institutions (This file also contains a complete set of LCSH and MeSH authority records, and records created locally but not contributed to any program These additional records are not included in the counts presented in this document.) The statistics were gathered at various times after the loading of names weekly issues 2011.29 through 2011.31.Despite likely small differences between Northwestern's copy of the file and official copies of the file, statistics gathered from this file should be sufficient for planning purposes Because the various statistics were gathered over a period of time as the file changed, information given at one point in this report will not necessarily correspond precisely to information at another point

about the scheduling of the re-coding, and the performance of mechanical changes

to authority records

2.6 The RDA 7XX fields3 added during and after the RDA test are no longer needed

These fields are handled as described in section 3.4

2.7 The authority file migration is an automated process; there will be no individual

review of headings or records during the automated migration The migration may

be preceded or followed by one or more projects to make individual changes to authority records in certain categories

2.8 An error rate of no more than 5% is an acceptable consequence of the migration

The term error in this case refers not to purely mechanical errors, which should never occur (Oct in subfield $d of personal name headings should always become

October and should never become Octagon), but to changes that result in an

incorrectly-formulated heading.4 The task group did not have the time to make samplings to determine the error rates that might be produced by the changes it recommends The task group believes that any questions about the workability or advisability of its recommendations should be addressed first by the examination

of information sampled from existing authority records

Before and after the migration

2.9 At all times, a PCC bibliographic record stored in the database of record contains

current authorized forms of name as found in the LC/NACO Authority File Before the authority file migration, a PCC RDA bibliographic record may contain

a mixture of established AACR2 headings and RDA preferred access points Afterthe authority file migration, a newly-authenticated PCC RDA bibliographic recordmay contain only RDA preferred access points Both before and after the

migration, non-RDA and non-PCC bibliographic records may contain headings created under any mixture of cataloging rules

2.10 Before the authority file migration, any AACR2 1XX field may be used as the

base element in a new AACR2 heading; the descriptive cataloging rules code in the authority record for such a new heading is "c" Before the migration, any AACR2 1XX field deemed acceptable for use under RDA as is may be used as the base element in a new RDA access point; the descriptive cataloging rules code

in the authority record for such a new heading is "z", with code "rda" in 040 subfield $e.5 After all appropriate AACR2 authority records have been re-coded as

3 RDA 7XX fields are 7XX fields in AACR2 authority records with the second indicator "4" 7XX fields in LC/NACO records with other second indicator values are not affected by the migration of the LC/NACO file to RDA described

in this document As part of the work of the task group, 7XX fields with second indicator "4" were removed from

RDA authority records.

4 For example, during the migration all occurrences of Dept in certain contexts are to become Department The

task group recognizes that a very few of the original AACR2 headings correctly contain the abbreviation and not the

full form Given the choice between leaving all headings with Dept alone during the migration and requiring that many tens of thousands of authority records be handled individually on the one hand, and changing all Dept

headings with the understanding that a few dozen will need to be corrected later on the other, the task group believes that the more reasonable path is obvious.

5 For example: an AACR2 100 field acceptable for use under RDA as is may be used as the base element in a RDA name/title heading; an AACR2 110 field acceptable for use under RDA as is may be used as the base element in an

RDA access point for a subordinate body; a Bible heading that includes an abbreviation for the New Testament

RDA, only RDA 1XX fields can be used as the base element in RDA access points.

2.11 Before the authority file migration, both AACR2 and RDA authority records may

be added to the LC/NACO Authority File After the migration, only RDA authority records may be added to the LC/NACO Authority File

2.12 The PCC policy on changes to authority 1XX fields applies both before and after

the migration At present, this policy holds that no change is to be made to an authority 1XX field that is not in error in a matter of fact and is not in conflict with other authority data A non-conflicting authority 1XX field is not to be changed simply because additional information becomes available—the new information may be preserved in suitable non-1XX authority variable fields This policy covers AACR2 headings acceptable for use under RDA This PCC policy

is subject to modification by PCC as circumstances warrant

2.13 4XX fields in AACR2 authority records re-coded as RDA are to be considered

"evaluated" and need not be reviewed or revised unless found to be in conflict with other authority data

2.14 Effective immediately, no new 7XX fields for RDA access points should be added

to LC/NACO authority records

3 Details

3.1 For the reasons stated in each of the following categories, certain AACR2 1XX

fields are not covered by section 2.1; AACR2 authority records with 1XX fields inthese categories cannot be re-coded by program as RDA After Day 1 of the authority file migration, AACR2 authority records whose 1XX fields fall into one

of the categories listed here must be evaluated individually In most cases the existing authority record can be modified, the record re-coded as RDA, and the resulting RDA heading used in bibliographic records; in a few cases the existing authority record must be deleted and, as circumstances dictate, replaced by other authority records

With the exception of the category for undifferentiated personal names, the definitions in this section apply equally to authority records whose 1XX field consists of a basic name or title by itself, and a basic heading with additional subfields (such as a subordinate body, the title of a work or the name of a part)

The category for undifferentiated personal names consists only of undifferentiated

personal names alone, and does not include name/title or other extended headings

 Authority records whose 1XX fields represent ongoing conferences

(Authority records for one-time conferences may safely be re-coded as RDA.)

Appendix A describes the reason authority records for ongoing conferences cannot be re-coded as RDA, outlines the techniques suggested by the task group cannot be used as the basis for an RDA access point The statements in section 2.9 relating to new RDA headings can only be applied consistently by all users of the LC/NACO authority file if AACR2 authority records whose 1XX fields cannot be used under RDA without change are unambiguously identified.

for the identification of ongoing and one-time conference headings, and describes the handling of authority records for conferences during the authority file

migration

 Authority records with 1XX fields that contain Polyglot in subfield $l6 The

designation Polyglot has no parallel under RDA When authority records with

such headings are encountered after the migration, the existing authority record should be deleted, and replaced by zero or more new records (depending on the presence of other authority records for translations of the same basic work); each such new record should contain the original record's 010 $a in its 010 $z A searchshould be made at the same time for the deleted 1XX field as 5XX fields in related records, and those 5XX fields deleted or adjusted as appropriate Any 4XX

fields that contain Polyglot in subfield $l where the 1XX field does not also contain Polyglot in subfield $l should be changed as encountered after the

migration

 Authority records with 1XX fields that contain an ampersand ("&") in

subfield $l Such authority records need to be replaced by a separate RDA

authority record for each language; because of the difficulty in determining by program whether the second language in subfield $l represents the original language or the language of a second translation, appropriate new authority records cannot be created automatically When authority records with such headings are encountered after the migration, the existing authority record should

be deleted, and replaced by zero or more new records (depending on the presence

of other authority records for translations of the same basic work); each such new record should contain the original record's 010 $a in its 010 $z A search should

be made at the same time for the deleted 1XX field as 5XX fields in related records, and those 5XX fields deleted or adjusted as appropriate Any 4XX fields that contain an ampersand in subfield $l where the 1XX field does not also contain an ampersand in subfield $l should be changed as encountered after the migration

 Authority records for personal names that contain subfield $c RDA uses

significantly different criteria for the formulation of subfield $c than does AACR2 Personal names with subfield $c are handled as described in Appendix B; some such authority records are re-coded as RDA, but most are left for individual review after the migration

 The handling of authority records for undifferentiated personal names

remains an unsettled issue, and cannot be decided by this task group alone Depending on the resolution of this question, AACR2 authority records for undifferentiated personal names, or certain subsets of them, may also be excluded from being re-coded as RDA Appendix C describes some of the considerations that may apply to authority records for undifferentiated personal names before themigration to RDA, and under RDA

6 Here and elsewhere in this document, the specification of a text to be found in existing records should be

understood to cover all variations in casing and punctuation of that text For example, the present rule covers the

texts Polyglot, polyglot,POLYGLOT and all other variations in casing When this document specifies a replacement

text ("January", "active"), the casing shown is the only acceptable form.

3.2 Re-coding an AACR2 authority record whose 1XX field can be used under RDA

without any modification involves the following steps:

 Change 008 byte 10 from "c" to "z"

 Add 040 $e with the text "rda"

Re-coding an AACR2 authority record whose 1XX field can be used under RDA after one or more of the changes described in section 3.3 involves the following steps

 Change 008 byte 10 from "c" to "z"

 Add 040 $e with a new code meaning "AACR2; may be used under RDA after changes "

 Add a 667 field as the first 667 field in the record with the following text in subfield $a: "THIS HEADING CANNOT BE USED UNDER RDA UNTIL IT HAS BEEN UPDATED"

Re-coding an AACR2 authority record whose 1XX field cannot be used under RDA even if changed involves the following steps:

 Add 040 $e with a new code meaning "AACR2; may not be used under RDA without re-evaluation "

 Add a 667 field as the first 667 field in the record, with the following text in subfield $a: "THIS HEADING CANNOT BE USED UNDER RDA UNTIL IT HAS BEEN REVIEWED INDIVIDUALLY "

3.3 Headings in all authority records (whether being re-coded as RDA, or not) are

subject to automated manipulation during the authority file migration The mechanical changes described in this section do not in themselves entail any change to the cataloging rules code (008 byte 10), or to 040 subfield $e The changes described in this section apply equally to all 1XX, 4XX and 5XX fields

in all authority records, with the sole exception of 4XX fields that represent formerly-valid headings (those that contain a code other than "n" in byte 2 of subfield $w); 4XX fields for formerly-valid headings are carried forward without modification.7 The instructions in this section do not specify adjustments to punctuation or spacing that may be called for as a result of these changes

If any change described in this section affects an authority record's 1XX field, preserve the original 1XX field as a 4XX field with subfield $w containing

"nnea", and delete any existing 4XX field that has the same NACO comparison form as the modified 1XX field

7 The task group considered also excepting non-Latin 4XX fields from the mechanical operations described in this section The consensus of the task group is that if the operations described in section 3.3 are applied to non-Latin 4XX fields, those fields will at least be consistent with other fields in these aspects, and will in other aspects be no better or worse than they were before.

 In subfields $a and $b of X10 fields, in subfields $a and $e of X11 fields, in parenthesized qualifiers of all subfields of X30 fields, and in subfield $a of X51 fields, replace the abbreviations "Dept." and "Dépt." with "Department" and

"Département", respectively.8

 In subfield $d of X00, X10 and X11 fields, replace the abbreviations "cent.",

"Jan.", "Feb.", "Mar.", "Apr.", "Jun.", "Jul.", "Aug.", "Sept.", "Oct.", "Nov." and

"Dec." with "century", "January", "February", "March", "April", "June", "July",

"August", "September", "October", "November" and "December", respectively.9

 In subfield $d of X00 fields, replace the abbreviations "ca." and "fl." with

"approximately" and "active", respectively.Error: Reference source not found

 As instructed in Appendix B, remove subfield $c from certain X00 fields

 Replace the abbreviation "b." at the beginning of subfield $d in X00 fields with a hyphen following the date in subfield $d.10

 Replace the abbreviation "d." at the beginning of subfield $d in X00 fields with a hyphen preceding all other text in subfield $d.Error: Reference source not found

 Replace the abbreviation "arr." in subfield $o with "arranged"

 If subfield $t consists solely of "Selections", or if subfield $t begins "Selections” immediately followed by a parenthetical qualifier, change the subfield code of that subfield to "k" and precede that subfield with subfield $t containing "Works."

 In X30 fields that contain "Bible" in subfield $a and where $a is immediately followed by an instance of subfield $p that contains "O.T." or "N.T.": if the subfield $p for a testament is itself immediately followed by a second occurrence

of subfield $p, delete the first subfield $p and its contents; if the subfield $p for a testament is not immediately followed by a second occurrence of subfield $p, retain the subfield and replace its contents with "Old Testament" or "New Testament", respectively

 If a change is made to RDA to use "cello" instead of "violoncello" in statements

of the medium of performance, replace "violoncello" with "cello" in subfield $m

in any heading field.11

 In X30 fields that contain "Koran" in subfield $a, replace the text in subfield $a with "Qur’ān"

3.4 Use RDA access points contained in RDA 7XX fields of non-RDA authority

records in the following operations.12

8 In rare cases the consistent usage of a corporate body involves the abbreviation, not the full form Such AACR2 headings converted to RDA fall under the aegis of section 2.12 because they are incorrect in a matter of fact; as such headings are discovered, the full form should be replaced by the abbreviated form.

9 During the task group's investigations, some headings in the LC/NACO authority file were found to contain standard variant abbreviations, and were corrected

non-10 This change follows the instructions in LCPS that were in effect during the RDA test If these LCPS are modified (see section 5.8) for persons known to be dead, instead replace "b." and "d." with "born" and "died".

11 During the task group’s work, a few headings were found to contain ‘cello’ instead of ‘violoncello,’ and were corrected.

12 See section 4 for comments on the scheduling of changes related to RDA 7XX fields.

 If the text in an RDA 7XX field is not identical with the text of the 1XX field, find RDA authority records whose headings contain the text in the 7XX field plus additional subfields; replace the matching text with the text from the authority record's 1XX field.13

 If the text in an RDA 7XX field is not identical with the text of the 1XX field, replace access points in RDA bibliographic records that match the authority 7XX field with the text from the authority record's 1XX field

 If the authority record contains an RDA 700 field that includes subfield $q, and if that 700 field contains no subfields other than $a, $b, $c, $d or $q, and if the authority record does not already contain a 378 field, create a 378 field from subfield $q of the 700 field

 If the authority record contains an RDA 700 field that includes subfield $d, and if that 700 field contains no subfields other than $a, $b, $c, $d or $q, and if the authority record does not already contain an 046 field with subfield $f and/or $g, create an 046 field from subfield $d of the 700 field

 Delete the RDA 7XX field

3.5 Make the following changes to any record in the LC/NACO Authority File,

whether or not the authority record is re-coded from AACR2 to RDA Such a change does not in itself entail any change to the cataloging rules code (008 byte 10) or to 040 subfield $e

 If a 100 field contains subfield $q and no subfields other than $a, $b, $c, $d and

$q, and if the authority record does not contain a 378 field, create a 378 field from

100 subfield $q

 If a 100 field contains subfield $d and no subfields other than $a, $b, $c, $d and

$q, and if the authority record does not contain an 046 field with subfields $f and/or $g, create an 046 field from 100 subfield $d

4 Scheduling

4.1 Having a clear distinction in the LC/NACO Authority File between those AACR2

headings that can be used under RDA and those that cannot is important for all users of the file, and is critical for the period leading up to the implementation of RDA The task group believes that marking this distinction in the LC/NACO Authority File should be made as quickly as possible, and over the shortest possible time span

13 The task group did not determine the precise number of authority records affected by this operation, but the total is known to be under 20 One of the factors complicating the count is the significant number of cases in the

report that AACR2 headings subject to the operations described in section 3.3 (such as Bible headings and headings containing Dept.—the RDA records do not need to be changed, because the AACR fields will be changed instead A

program is able to identify candidate headings, but the modification of records must not be entrusted to a

program.

There are at least three ways to mark AACR2 authority records to reflect this distinction: re-code all AACR2 authority records; re-code just those AACR2 records whose 1XX can be used under RDA without change; or re-code those records whose 1XX cannot be used under RDA even with change The last of these three requires re-issuing the smallest number of authority records, and so is the course recommended by the task group Specifically, the task group

recommends that the information in sections 3.1 and 3.2 be used to identify AACR2 authority records whose 1XX fields cannot be used under RDA without review, and that those authority records be re-coded as soon as possible, as described in section 3.3 This means a change to about 396,000 AACR2 authority records, about 4.9% of the total Once this has been accomplished, the same criteria should be applied to all newly-created and newly-modified AACR2 authority records Authority records re-coded in this manner should not be individually reviewed and upgraded to RDA before Day 1

After the identification of AACR2 authority records whose 1XX fields cannot be used under RDA as is, it should be clear which headings may be used in which contexts: headings in the re-labeled authority records can only be used in new AACR2 bibliographic and authority records, and headings in the untouched AACR2 authority records can be used in either AACR2 or RDA bibliographic andauthority records, as individual circumstances warrant

4.2 The task group believes that the main work of the migration of the LC/NACO

Authority File is best performed at a single stroke This work consists of the following steps:

 Make the changes described in sections 3.3, 3,4 and 3.514

 Re-code AACR2 authority records as RDA

 Re-code authority records whose 1XX fields are acceptable for use under RDA after the changes described in section 3.2 as RDA, removing also the temporary 667 field

The following considerations apply if the migration takes place all at once:

 The migration should take place in all coordinated copies of the LC/NACO Authority File at the same time

 The migration of the LC/NACO Authority File should be timed in coordination with the weekly issues of updates to that file; records updated during the migration should be included in a single weekly issue Because of the large number of updated records involved in the migration, the Library of

14In this step, only the work described in section 3.3 must be performed at the time of the migration The work

described in section 3.4 relating to RDA 7XX fields, and the work described in section 3.5 relating to the 046 and

378 fields (excepting those operations that involve a change to the authority 1XX field), could in fact be undertaken

at any time before or after the migration, and not necessarily as an integral part of the migration itself In fact, the task group believes that performing the work described in section 3.4 should be undertaken as soon as possible.

Congress should consider re-issuing to subscribers a complete copy of the file

as it exists at the end of the migration

 The LC/NACO Authority File should be closed to maintenance of any other type while the migration is in process

4.3 If the migration of the LC/NACO Authority File cannot be performed a single

stroke, the task group recommends that the work described in section 4.1 to identify AACR2 authority records that cannot be used under RDA as is be undertaken as soon as possible, and that the remaining work of the migration be performed in the following phases

Before Day 1:

 Over a period of time ending before Day 1, treat RDA 7XX fields as described

in section 3.4

 Over a period of time, not necessarily either beginning or ending before Day

1, perform the operations described in section 3.5

On Day 1:

 Apply the changes described in section 3.3 to all appropriate authority records If the authority record is labeled as an AACR2 heading that cannot beused under RDA without modification, re-code the authority record as RDA and remove the temporary 667 field Perform the operations described in section 3.5 to any authority record re-issued as a result of this work

5.1 The changes described in section 3.3 should be made to headings in bibliographic

records at the same time as they are made to headings in authority records.15

15 Additional abbreviated forms (such as "Sep." instead of "Sept.") may be expected in those bibliographic headings not supported by LC/NACO authority records.

5.2 PCC should request that authority 008 byte 29 (reference tracing evaluation) be

made obsolete The task group does not believe that the information provided in this byte any longer serves a useful function

5.3 PCC should develop guidelines for the use and structure of non-Latin 4XX fields

in LC/NACO authority records, and encourage participants to apply those guidelines to existing non-Latin 4XX fields

5.4 The LCPS concerning fullness of personal names as applied to newly-created

authority records should be replaced by a policy statement (based in large part on the current LCRI 22.18) that calls for the addition of subfield $q in the following cases: 1) in case of conflict, 2) when subfield $a of the heading contains an abbreviation or initials, or 3) when the heading consists of a surname alone (whether or not followed by subfield $c) This policy statement should explicitly proscribe the use of subfield $q for names not otherwise present in the heading simply because those additional names are available

5.5 The PCC should, in coordination with the operators of large bibliographic

databases and the vendors of automated library systems, set a schedule for the implementation of the full Unicode character repertoire in bibliographic and authority records

5.6 The PCC should, in coordination with the operators of large bibliographic

databases and the vendors of automated library systems, set a schedule for the implementation of the non-filing zone markers (Unicode code points U+0098 and U+009C)

5.7 Validation routines for authority records submitted to the LC/NACO Authority

File should enforce the following rule: code "z" in 008 byte 10 must be accompanied by an acceptable value in 040 subfield $e Enforcement of this validation rule (and other validation rules) should apply both to records contributed by operators and to records exchanged between copies of the authority file

5.8 LCPS 9.3.2.3 and 9.3.3.3 should be re-written so that the practice under RDA for

subfield $d in personal names is the same in general outline as the practice under AACR2:

 For persons known or assumed16 to be dead: if dates of both birth and death are available, give both dates, separated by a hyphen; if only a birth date is available, give the birth date preceded by “born”; if only a death date is available, give the death date preceded by “died”

 For persons known or assumed to be alive for whom a birth date is available, givethe birth date, followed by a hyphen

The task group recognizes that the use of words instead of the hyphen reduces the degree to which the information can be comprehended by non-English users; but that this is not a significant consideration for a subfield that can also contain

"active," "approximately," and “century”

16 A person known to have been born 100 or more years before the formulation or re-examination of a heading should be assumed no longer to be living.

5.9 The sense of the current LCRI 24.2D, expressing preference for a spelled-out

form for the name of a corporate name over the body's initials, should be

embodied in an LCPS

5.10 The task group considered the following additional mechanical change for

inclusion in section 3.3, but did not have time adequately to determine its safety

or feasibility: If no X00 field in an authority record includes subfield $c and if one

of the record's 670 fields contains the surname from the 100 field followed

immediately (perhaps with intervening punctuation) by "Jr.", and if "Jr." is itself immediately followed by punctuation (or is the end of the field), add subfield $c with the text "Jr." to the 100 and 400 fields in the record The effect of this change

on 500 fields in related authority records can only be determined by performing a search for such 500 fields

5.11 A project could be undertaken—either before or after the migration—to examine

authority records where subfield $a in an RDA 700 field is significantly different from subfield $a of the 100 field and, as appropriate, change the 100 field (Of the13,514 RDA 700 fields found in AACR2 records, 11,968 are identical with the

100 field; 146 of these contain significant differences—including flagrant errors

—in subfield $a See Appendix G.)

5.12 The JSC should consider changes to RDA 11.3.1.3 and RDA 16.2.2.9.2, to

remove the instruction to abbreviate places associated with corporate bodies or places in a state, territory or province If this change is approved before the migration, recognizable abbreviated place names in the following locations should

be replaced by the full forms locations during the migration:

 X00: any parenthesized qualifier in $t or following subfields

 X10: parenthesized qualifier in $a or $b; anywhere in $c; any parenthesized qualifier in $t or following subfields

 X11: parenthesized qualifier in $a or $e; anywhere in $c; any parenthesized qualifier in $t or following subfields

 X30: parenthesized qualifier in any subfield

 X51: any parenthesized qualifier in $a

5.13 Subfield $e of the 040 field can at present appear at any position in the field—for

example it could easily appear between two occurrences of subfield $d It would

be more obvious to users if 040 subfield $e were consistently displayed

somewhere between subfields $a and $c—perhaps always immediately before subfield $c, following any occurrence of subfield $b The examples included in this report reflect this recommendation

Appendix A The handling of AACR2 conference headings

The following paragraphs describe the task group’s opinions on the best handling of AACR2 headings for conferences The task group believes that these opinions should not become a course of action without a sampling of the headings involved

If a suggested change to RDA—to omit a term for frequency from the preferred access point for a

conference—is approved, this appendix becomes irrelevant If this change to RDA is approved, AACR2 headings for conferences may be re-coded as RDA unless they fall into one of the other categories defined

in section 3.1 of this document.

Headings for conferences present a special problem, because of different heading content under AACR2 and RDA AACR2 rule 24.7A1 provides for the omission from the heading for a

conference of a term for the frequency of the conference, but RDA does not include such a provision This means that when such a term is available the AACR2 heading and RDA access point will differ

AACR2 1XX heading: Symposium on Active Control of Vibration and Noise

RDA preferred access point: Biennial Symposium on Active Control of Vibration and Noise

The difficulty is that without reconsideration of the source materials used to construct a

conference heading, it is not possible to know whether a term for frequency has been omitted from the AACR2 heading; and without such reconsideration, the validity of AACR2 conference headings under RDA cannot be determined

In order to determine how to handle AACR2 headings for conferences, the task group reviewed samples of AACR2 conference headings The task group guessed that for the purposes of the migration to RDA a useful first distinction might be made between authority records that

represent one-time meetings17 and those that represent ongoing meetings,18 because the names of meetings that only occur once are likely not to involve a term for the frequency of the meeting The belief was that the task group might be able to recommend one course of action for one-timemeetings and another for ongoing meetings Because some conference headings are tagged 111 and others are tagged 110,19 and because the 110 tag is also used for non-conference headings, making a distinction between one-time and ongoing meetings presented the task group with something of a problem The presence of subfields $n, $d or $c can be used by a computer program to divide 111 headings into the two sub-categories of ongoing and one-time A program can also find headings for one-time meetings tagged 110 by looking for 110s where subfield $b is immediately

followed by subfield $n, $d or $c; but finding headings for ongoing meetings tagged 110 is not so simple The task group's approach to the identification of 110s for ongoing meetings was to examine the terminal subfield $b in 110s for one-time meetings; this produced a list of texts likely to express the notion of

"meeting" in some manner This list is included at the end of this Appendix.

17 Those that contain subfield $n, $d or $c.

18 Those that do not contain subfield $n, $d or $c.

19 In all of the work described in this Appendix related to 110 fields, the task group ignored 110 fields with first indicator "1", on the assumption that even when $n, $d or $c is present these are likely to represent legislative bodies, for which a term of frequency is not likely.

All of the above means that a computer program could be designed to identify these four categories of headings for conferences:

1 One-time 111 conference headings (111 tag with $n, $d or $c present)

2 Ongoing 111 conference headings (11 tag with $n, $d or $c not present)

3 One-time 110 conference headings (110 tag with $n, $d or $c present)

4 Ongoing 110 conference headings (110 tag with $n, $d or $c not present; an instance of

$b contains one of the terms in the list at the end of this appendix)

If it is necessary to distinguish between one-time and ongoing AACR2 conference headings for the purposes of the migration to RDA, these categories can be used as the basis for this work The following is a summary of the task group's recommendations for the handling of AACR2 authority records with 110 and 111 fields

 If the authority record's 110 or 111 field contains subfield $n, $d and/or $c before any subfield $t, the authority record can be re-coded from AACR2 to RDA unless it fits into one of the other categories defined in section 3.1

 If the authority record has a 111 field without $n, $d and/or $c before any $t, the authorityrecord cannot be re-coded from AACR2 to RDA

 If the authority record has a 110 field with first indicator "2" and with at least one

instance of subfield $b containing one of the terms listed at the end of this appendix, the authority record cannot be re-coded from AACR2 to RDA

 If the authority record has a 110 field with first indicator "1", or with first indicator "2" in which no instance of subfield $b contains one of the terms listed at the end of this

appendix, the authority record can be re-coded from AACR2 to RDA unless it fits into one of the other categories defined in section 3.1

The following is a list of terms whose appearance in terminal subfield $b of a 110 field (with firstindicator "2" and in the absence of $n, $d and/or $c) suggests that the authority record represents

an ongoing conference, and so requires review before the record can be re-coded as RDA.20 abschlusstagung

additional plenipotentiary conference

arbeitstagung

art exhibition

asamblea constituyente

asia europe high level education forum

asia regional congress

assamblea general

assemblee generale

assembly assembly meeting assises

atelier cheng li da hui cheng li ji xue shu tao lun hui cheng li ta hui

chonghap haksul taehoe colloque

20 The texts in this list are presented in normalized form, and do not reflect the capitalization, punctuation, or diacritical marks that may be present in authority records (The comparison should be made using normalized forms.) The task group attempted to remove from this list those texts that represent expeditions, texts that already state or imply frequency ("Annual conference"; "Jahrestagung"), texts that imply a one-time nature ("50th

Anniversary Conference"; "Founding Conference"), texts from headings that appear to be constructed improperly ("Dept of Criminal Justice Services"), and texts that represent joint meetings with named participants The task group was not able to evaluate the nature ofsubfield $b texts for all languages The task group hopes that there will

be additional review of the terms in this list before it is used in an implementation.

conference and exposition in africa

conference on materials for research in american

culture

conference on mother and newborn care

conference on public budget modeling

conference on the rule of st albert of jerusalem

hsueh shu tao lun huin hui i

hui yi hui yuan da hui information symposium informationstagung interdisziplinares kolloquium international colloquium international conference international convention international meeting international scientific conference international seminar

international symposium international workshop internationale fachtagung internationale konferenz internationale tagung internationale wissenschaftliche tagung internationales kolloquium

internationales symposion internationales symposium joint assembly

joint conference joint expert consultation on foods derived from biotechnology

joint meeting joint symposium joint symposium on carbon ion radiotherapy jornadas

journee journee detude journee detudes journees journees detude journees detudes journees scientifiques kolloquium

konferencja naukowa konferentsiia

konferenz kongres kongress kongresszus konsultasi nasional konverents lateran council

quan guo dai biao da hui

quan guo dai biao hui yi

sessiia sessio plenaria session sezd shinpojumu sized simposio simposio internacional sinodo

skoai sommerakademie soritsu nijisshunen kinen kokusai semina soveshchanie

special conference special meeting special session special session on children specialist group meeting specialists meeting specialty conference spring conference spring field conference spring meeting state convention studietagung summer meeting summer school summer seminar symposio symposion symposium symposium on histamine sympozjum

synod synode national table ronde tagung taikai technical conference technical meeting technical symposium technical workshop teng shan ko hsueh kao cha tui topical meeting

tri conference tukpyolchon uchreditelnyi sezd vatican council vedecka conference

vserossiiskii siezd delegatov

zjazd