[yul-naco] NACO Guidelines for Post-phase 1 (for the transition period between now and March 31 2013)

Thu Sep 27 15:00:31 EDT 2012

Applies to YUL NACO catalogers who have had the initial RDA NACO training and had records reviewed by LC.  Rick will be sending out a workflow memo for the other YUL NACO catalogers.

Following the completion of the NAF Phase 1 update (announced not long ago), here is a summary of changes in the NACO workflow that will affect NACO contributors. All information condensed from : Summary of Programmatic Changes to the LC/NACO Authority File What LC-PCC RDA Catalogers need to know:

http://www.loc.gov/aba/rda/pdf/lcnaf_rdaphase.pdf

NACO instructions for the post-Phase 1 transition period (Phase 2 should be completed by March 31 2013 [Day One])

Summary (direct quotation from the document above--but then review the "fine print" in the rest of this memo):

1.       Pre-AACR2 authority records (including AACR2-compatible authority records): thoroughly evaluate the contents of the authority record. If the 1XX field is, or can be made, acceptable for use under RDA, re-code the entire authority record to RDA and remove the 667.

2.       AACR2 authority records: If the 1XX field is acceptable for use under RDA as given, remove the 667 field; re-code the authority record to RDA. If the 1XX field can be made acceptable for use under RDA, upgrade the 1XX field and other parts of the record, re-code the record to RDA, and remove the 667 field. If the 1XX field is not and cannot be made acceptable for use under RDA, leave the existing record alone and consider other possibilities.

3.       AACR2 authority records: If the NAR does not contain a 667 note with the notice that it cannot be used under RDA unless reviewed and the 1XX is acceptable under RDA instructions, catalogers may re-code the NAR to RDA. If the 1XX is not acceptable under RDA and would need to be modified to conform to RDA instructions do not re-code per the PCC policy at: http://www.loc.gov/aba/pcc/rda/PCC%20Post%20RDA%20Test%20Guidelines.html

<the 1xx is not acceptable under RDA because it has an element expected to be updated in Phase 2; this is why it should not be modified>

At an earlier RDA review session, the question came up regarding changes to NARs w/out the 667 field if the heading is acceptable under RDA. These NARs can be updated to RDA if the heading is needed for a bibliographic record as long as the heading does not need to be changed. It is important to remember that NARs with headings incompatible with RDA but with elements on the list of Phase 2 computer updates (e.g. Department/Dept.) will not have a 667 until the completion of Phase 2 near Day One March 31 2013; the mere lack of 667 does not mean that the heading is automatically RDA compatible.* As indicated in bullet 3, these headings should be left as is in the NAR.

*The categories of headings not compatible with RDA but capable of computer updating are given in the recently issued Summary of Programmatic Changes to the LC/NACO Authority
File: What LC-PCC RDA Catalogers need to know, pages 7-9 (see link above).

It is important to remember that non-compatible headings identified as candidates for Phase 2 updating will NOT have had field 667 added to the NAR in Phase 1. Even after Phase 2 is completed, the NAR may still require a 667 for other reasons, but it doesn't sound as if 667 will be added as part of the Phase 2 processing. An example: the program will add Works before Selections, but it will not convert a $l  French & English NAR to separate NARs for the translation language and the original language. After the completion of Phase 2 (i.e. after Day one in 2013), catalogers must review all NARs not coded as RDA for RDA compatibility in the course of formulating access points for the bibliographic record at hand and revise the heading if necessary if the heading is to be used on an RDA bibliographic record. The implication seems to be that from Day One onward, NACO will require re-coding of RDA compliant NARs (i.e., rda in 040 and  Desc Rules: z) even if the heading is unchanged. The details will be fleshed out as we approach Day One, I assume.

Prior to NACO training, if the bibliographic record was coded as RDA, there were some cases where the correct RDA form had to be used in the access point but a new NAR would not be made. For example, if there was a NAR in the form 100 1_ $a Author. $t Poems. $k Selections. $l French & English, the NACO cataloger was instructed not to create NARs for the original or the translation, but to create separate access points for the French translation and the English original in the bibliographic record. For the most part, however, the cataloger was required to accept previously established AACR2  headings (compatible or not). The revised workflow differs post-NACO training for NARs now that 667 has been inserted in the appropriate NARs upon completion of Phase 1-- there will be more situations where cataloging an RDA bib record will require changing a non-RDA NAR to RDA form:

*       NARs coded as either pre-AACR2 or AACR2-compatible: If adding to an RDA record, convert the NAR to RDA form (as noted above, some of these records may not have 667 fields). Descriptive Cataloging Rules code for pre-AACR2: a [earlier rules] or b [AACR1]; code for AACR2 compatible: d. In Connexion authority records, fixed field Rules, 008/10 in MARC Authorities.

*       NARs for conferences: Check to see if the AACR2 conference name would now include a Frequency Word, or if the AACR2 conference name is an Acronym w/date; in that case it is OK to revise the 111 or 110 b in the NAR. However, don't create a hybrid heading--if the corporate name is AACR2 but incompatible w/RDA, use the AACR2 form & don't make an authority record; the bibliographic record can still be coded as RDA

*       NARs w/Polyglot. If all of the languages can be determined, make separate NARs for each language (unless it would duplicate a NAR already made for a particular language) & notify LC to delete the Polyglot NAR. Do not recycle the Polyglot record for use as one of the NARs for the individual languages. If all of the languages can't be determined, make authority records for the languages you need for your bib record & don't report the Polyglot NAR for deletion (& don't remove 667).

*       NARs w/ampersand for 2 languages. Make separate NARs for each language (if NARs have not already been made); report the ampersand NAR to LC for deletion (as with the Polyglot NARs, do not recycle the ampersand record)

*       NARs for personal names with $c. If the $c is RDA compliant (and the rest of the NAR is also RDA compliant), re-code the NAR as RDA; remove 667. If the $c can't be used under RDA, revise the $c using the permissible RDA qualifiers used to break personal name conflicts; verify that the rest of the heading is compliant; remove 667.

*       (For music cataloging) NARs w/$s with "libretto" or "text" will have 667; check to see if the NAR represents a libretto &  is entered under the composer instead of the author of the libretto. If the composer is given as the creator, update to RDA (creator is the librettist under RDA); remove 667. Again, make sure the rest of the heading is RDA compliant (e.g., does the librettist have a non-RDA $c?). Re-code as RDA if the author of the libretto has been identified as the creator (unlikely?); delete 667.

*       (Law catalogers only hopefully). NARs for all treaties should have 667 (unless another element is slated for Phase 2). Revise the heading to RDA compliant and remove 667.

*       (For music cataloging). Music ensembles under certain categories. Evaluate, change to RDA form, delete 667.

If the Phase 1 program had to touch a NAR, it usually added 046, 378. If the NAR is not RDA and includes non-RDA abbreviations or punctuation associated with dates or fuller form of name, do not update the NAR (the record needs to go through the Phase 2 processing). If a music NAR had to be touched during Phase 1, the computer program added fields 382, 383, & 384, generating the data by extracting from the 1XX field).

Finally, a list of elements in NARs that will be updated in Phase 2. These records will have 667s, but, in general, leave them alone unless you are updating for one of the required Phase 1 changes.

*       (Music NARs) with abbreviations "arr.," "acc.," "unacc." and NARs including the term "violoncello"

*       Bible headings (either O.T. or N.T. will be expanded to Old Testament/New Testament, or the abbreviations will be removed entirely if the 130 includes a specific book, such as Genesis

*       Abbreviation for Dept. (only occurs with English language?)

*       Koran to Qur'an

*       Selections in $a of 240-- will  be changed to $a Works. $k Selections; the date in $f will be removed

*       $c in 100: some computer changes (e.g. if lack of parentheses is the only problem); 667 will be added if computer changes cannot be applied

*       Abbreviations associated with dates ("ca.," "cent.," "b." and "d.")

Steven Arakawa
Catalog Librarian for Training & Documentation
Catalog & Metadata Services, SML, Yale University
P.O. Box 208240 New Haven, CT 06520-8240
(203)432-8286 steven.arakawa at yale.edu

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