Note that the examples provided may not contain all fields that should be present in bibliographic or authority records.
General Questions on UT Name Authority Records (NARs)
- Are all PCC libraries required to follow LC policy in deciding when to make a UT NAR?
- Are all PCC libraries required to follow LC policy in assigning a UT title to bibliographic records?
- Is it true that LC does not make a NAR for all uniform titles?
- Is it necessary to search the LC database to determine if LC has a bibliographic record for the item before creating a NAR for a UT when one is used as a secondary access point?
- If the bibliographic item is found in the utilities, but not on a LC record (040 $a DLC), is it still necessary to make the NAR for the UT title used on my PCC-designated bibliographic record? Why?
- When is a UT needed on the bibliographic record, without requiring a NAR?
Dates in Uniform Titles
When are dates added to a uniform title?
What is the appropriate MARC 21 subfield code for dates added to UTs?
When a date is given in subfield $f of the UT heading is it added after all references as well?
Cross References in UT NARs
- When creating a UT name authority record, is it necessary to make additional NARs for all elements of the UT NAR?
- For name/title UTs, when should a reference be traced just from the title (or is this done only for author/title series)?
Analytic Added Entries
- Do UT NARs for analytic added entries need to be established as well?
- Where can I find an explanation on the difference between analytic added entries vs. related work added entries?
Using Qualifiers for UT Headings
- When is it appropriate to use a parenthetical qualifier for UT headings?
Uniform Titles for Story Cycles
- Why do UT NARs exist for Cinderella, Sleeping Beauty, Little Red Riding Hood, etc. without any references and why are there no UT NARs for the translations of these works?
Using $k Versus $t for Form Subheadings
- When is it appropriate to use subfield $k versus using $t for form subheadings in UTs?
- Are PCC catalogers responsible for updating name/title authority records that use the subfield $k according to the pre-AACR2 rules?
Are 053s ever added to UT NARs?
1. Are PCC libraries required to follow LC policy in deciding when to make a UT NAR?
The answer differs according to the situation:
A. Generally, all PCC libraries may create uniform title NARs (even when LC does not) and contribute these NARs (formulated according to Anglo-American Cataloging Rules, 2nd edition (AACR2) and the Library of Congress Rule Interpretations (LCRIs)) to the Library of Congress/NACO Authority File (LCNAF) at their own discretion.
B. BIBCO/CONSER libraries must create and contribute a NAR for the uniform title assigned to a PCC designated bibliographic record if it falls into the 3 categories listed in the DCM (cf. question no. 1 of this FAQ).
2. Are all PCC libraries required to follow LC policy in assigning a uniform title to bibliographic records?
No, only the participants in the BIBCO or CONSER components of the PCC are required to follow LC's uniform title policy with regard to the assignment of a uniform title access point to a bibliographic record and then only if it is a PCC-designated bibliographic record.
3. Is it true that LC does not make a NAR for all UTs?
Yes, that's correct. LC's uniform title policy is to make NARs for UTs only in the three basic situations stated in Descriptive Cataloging Manual Z1 (DCM) Supplement to the MARC 21 Authority Format, Introduction, p. 2:
(1) to trace a reference to that element (cf. AACR2 rules 25.2E2, 26.4B);
(2) to document the research that was undertaken to establish the correct form of the element;
(3) to provide a "place holder" for a work in its AACR2 form that is not in the LC database when the work is needed in a secondary access point on another bibliographic record. (cf. question no. 2 of this FAQ)
In all other cases, the bibliographic record serves the function of representing the uniform title in the LC database. LC's uniform title policy was determined as a means of controlling the cost of cataloging. However, LC recognizes that PCC libraries have other priorities and specialized user needs which are best served by creating NARs for uniform titles in cases where LC would not.
Note that while the DCM Z1 permits NACO libraries to create more uniform title name authority records than LC allows, when choosing to do so, the NACO headings for uniform titles on name authority records must be in accord with LC's AACR2 policies on uniform titles which are stated in the LCRIs for Chapter 25 of AACR2.
4. Is it necessary to search the LC database to determine if LC has a bibliographic record for the item before creating a NAR for a uniform title when one is used as a secondary access point? (no. 3 in the DCM Z1 introduction p. 2)
First let's be clear that it is understood that this guideline in the DCM only applies to the cataloging of LC and PCC-designated bibliographic records. This means that a NACO-only participant may ignore this guideline. BIBCO and CONSER libraries on the other hand, must consider this guideline when creating PCC designated records. (cf. LCRI 21.30G)
The answer to this question is no, PCC libraries are not required to search the LC database for bibliographic records when determining whether or not to create a UT NAR in order to comply with the aforementioned DCM Z1 guideline. The LC database is distributed to OCLC and RLG on a weekly basis and it is accepted that searching these utilities to ascertain whether or not LC holds the bibliographic item is sufficient.
5. If the bibliographic item (for which I'm making a 6xx or 7xx secondary entry) is found in the utilities, but not on a LC record (040 $a DLC), is it still necessary to make the NAR for the uniform title used on my PCC-designated bibliographic record? Why?
Yes, the goal is to have the authorized AACR2 form of the uniform title represented identically in the LC database and the utilities where all PCC catalogers can view it. All NARs contributed by NACO participants are distributed by LC to both OCLC and RLG. LC's bibliographic record are also routinely distributed to both utilities thus, LC is considered the database of record for deciding if it is necessary to create the UT NAR or not.
Reminder: PCC participants need only consider making this NAR if the bibliographic record being created is designated a PCC (042= pcc) bibliographic record.
6. When is a uniform title needed on the bibliographic record without requiring a NAR?
A. Generally, when the main entry for an item is the uniform title itself (130), a NAR for that uniform title is not made. This is because the bibliographic record provides all the access necessary via the 130 and the 245.
130 0# $a Chicken soup for the teenage soul. $l Spanish
245 10 $a Sopa de pollo para el alma adolecente / $c .....
In this example the creation of a NAR would be redundant.
B. In a name/title situation, if the title proper of the item is the same as the subfield $a of the uniform title, a name/title NAR would also not be made.
100 1# $a Utrecht, Luuk
240 10 $a Rudi van Dantzig. $l English
245 10 $a Rudi van Dantzig : $b a controversial idealist in ballet / $c Luuk Utrecht.
In this example the cross reference would normalize to the same string as the name/title, thus, a NAR is not needed.
Note, that in either case if research had been performed and needed to be recorded to help sort out a complex situation, a NAR may be created and added to the NAF (in example 2 without a cross reference).
7. When are dates added to a uniform title?
Dates are added to uniform title headings only in the following situations:
- When creating the collective uniform title "Works" LCRI 25.8 instructs catalogers to "add the date of publication of the edition at the end of the uniform title."
- When creating the collective uniform title "Selections" LCRI 25.9 instructs catalogers to add the "same additions that are applicable when the collective uniform title "Works" (LCRI 25.8)"... This means that a date is routinely added to this collective uniform title heading. (Note exception for music UTs)*
- For some legal works (e.g. LCRI 25.15A1; AACR2 25.16)*
- When assigning a uniform title to a U.S. Bureau of the Census publication that contains the census or parts of it LCRI25.5B instructs catalogers to add the year of the census to the UT.
- Dates may also be used to qualify uniform titles when it is necessary to break a conflict with another uniform title with the same heading (cf. LCRI 25.5B and AACR2 25.30E for specific situations).*
8. What is the appropriate MARC 21 subfield code for dates added to UTs?
When dates of publication are used as directed by LCRI 25.8 and 25.9 (see question above) dates are added in subfield $f.
Example: 100 1# $a Neruda, Pablo, $d 1904-1973. $t Selections. $f 2000
Note: when dates are added to UT headings in order to break a conflict these become an integral part of the uniform title and are not separately subfield coded.
Example: 110 1# $a France. $t Constitution (1946)*
9. When a date is given in subfield $f of the UT heading; is it added after all references as well?
Yes, LCRI 25.8 instructs catalogers that "When making a reference from the title proper of the item (25.2E2), add the date at the end of the title proper ..." LCRI 25.9 refers catalogers to LCRI 25.8 with regard to additions to the collective uniform title, thus, the cross reference instructions are also applied.
10. When creating a uniform title name authority, is it necessary to make additional NARs for all elements of the uniform title NAR (e.g., when creating a UT NAR for a translation is a NAR for the title also made without the language subelement?)
No. Unlike corporate body names, where each element of the hierarchy must be represented by its own name authority record it is not necessary to make NARs for each element of a uniform title NAR.
Example of a situation where a NAR is needed for the English translation of an original French language item:
- Assure that a NAR for the author exists; if not, one must be created:
100 1# $a Queneau, Raymond, $d 1903-1978
670 ## $a Blue flowers, 1996: $b t.p. (Raymond Queneau) pref. (b. 1903; d. 1978)
- Create a name/title NAR for the English language translation and make a cross reference to the original language title (per: 25.2E2 and 26.4B1):
100 1# $a Queneau, Raymond, 1903-1978. $t Fleurs bleues. $l English
400 1# $a Queneau, Raymond, 1903-1978. $t Blue flowers
670 ## $a Blue flowers, 1996.
- DO NOT create a name/title NAR for the French language title:
100 1# $a Queneau, Raymond, 1903-1978. $t Fleurs bleues
Note: A NAR for the unqualified title is not needed because the bibliographic record for the translation counts as "the work being in LC" (i.e., AACR2 treats translations as manifestation of the original).)
- A name/title NAR for the original French language title is necessary only if another edition of the work in the same language with a variant title is being cataloged:
100 1# $a Queneau, Raymond, 1903-1978. $t Fleurs bleues
400 1# $a Queneau, Raymond, 1903-1978. $t Fleurs de Queneau
670 ## $a Fleurs de Queneau, 1996.
Note that different criteria apply to NARs for musical works.*
11. For name/title UTs, when should a reference be traced just from the title (or is this done only for author/title series)?
Generally, if access is available to a title via a 245 it is not necessary to add that exact title as a cross reference as a 430 on UT NAR. Instructions for constructing series uniform title cross references on authority records are provided in LCRI 26.5A*
12. Do UT NARs for analytic added entries need to be established as well?
No, or at least not in most cases. AACR2 defines the use of a uniform title to "provide the means for bringing together all catalogue entries of a work when various manifestations of it have appeared under various titles." The requirement to create a UT NAR for a title used as a secondary entry is necessary only when there is no manifestation of the item within the LC catalog (cf. questions 1, 2, and 16 of this FAQ). In the example cited below the manifestations of the item are contained in the item being cataloged, thus the title(s) of the item(s) can be ascertained without further investigation. However, it must be noted that if any one these titles had been previously published with different titles, etc. a UT NAR would be made to record the variant title(s). Remember that PCC catalogers need to worry about this only if the bibliographic record is coded PCC (042=pcc).
Example of an item with analytic 7xxs per AACR2 21.7B for which NARs are not made*:
245 00 Australia's biodiversity--responses to fire :$b plants, birds, and invertebrates /$c A. Malcolm Gill, J.C.Z. Woinarski, Alan York.
505 0 Biodiversity and bushfires : an Australia-wide perspective on plant-species changes after a fire event / A. Malcolm Gill -- Fire and Australian birds : a review ; Fire and Australian birds : an annotated bibliography / J.C.Z. Woinarski -- Long-term effects of repeated prescribed burning on forest invertebrates : management implications for the conservation of biodiversity / Alan York.
700 12 Gill, A. M. $t Biodiversity and bushfires.
700 12 Woinarski, John, $d 1955- $t Fire and Australian birds.
700 12 York, Alan. $t Long-term effects of repeated prescribed burning on forest invertebrates.
13. Where can I find an explanation on the difference between analytic added entries vs. related work added entries?
LCRI 21.30M provides a clear distinction between a "simple" (also known as a "related work") added entry and an "analytic" added entry.
Note that it is the simple added entry that may require a UT NAR per DCM Z1 (cf. Question no. 2 of this FAQ).
14. When is it appropriate to use subfield $k versus using $t for form subheadings in UTs?
Before the adoption of AACR2, form subheadings in name/uniform title headings were commonly coded subfield $k when these were used as the first element after name heading data elements (i.e., subfields $a, $b, $d, $q, etc.). With the implementation of AACR2, when form subheadings occur as the first element after name heading data elements these are always coded subfield $t with one exception (see 2a below).
110 1# $a Venezuela.
$k Laws, statutes, etc.
110 1# $a Venezuela. $t Laws, etc.
Below is a synopsis for each MARC field on when to use subfield $k versus subfield $t. Please consult the MARC 21 bibliographic and authority formats for specific instructions on the use of these subfields.
1. X00: In personal name/title headings, subfield $k is used to identify form subheadings following the uniform title data elements prescribed by AACR2 (i.e., after subfield $t, $l, or $m, etc.).
Example: 100 1# $a Maugham, W. Somerset $q (William Somerset), $d 1884-1965. $t Short stories. $l Spanish. $k Selections
Note the example below: When the form subheading "Selections" is used in the initial position after personal name data elements it becomes a "collective uniform title" (AACR2 25.8) and is subfield coded $t.
Example: 100 1# $a Maugham, W. Somerset $q (William Somerset), $d 1884-1965. $t Selections. $f 1990
2. X10 : In corporate name/title headings, subfield $k is used in three specific instances:
a. Before the word "Manuscript" when used in a heading for a repository
Example: 110 2# $a British Library. $k Manuscript. $n Arundel 384
Note: This is the only exception where subfield $k is used directly after the name heading data elements.
b. Before the phrase "Protocols, etc." used in treaty headings following other prescribed data elements.
Example: 110 1# $a Poland. $t Treaties, etc. $g Great Britain, $d 1948 Mar. 2. $k Protocols, etc., $d 1951 Mar. 6
c. Before the word "Selections" following the title (and possible other title elements as in the X00).
Example: 110 2# $a Catholic Church. $t Missal. $l English & Latin. $k Selections.
3. X11: In conference name/title headings the only instance of the use of the subfield $k is before the word "Selections" when this follows subfield $t (and possible other prescribed title data elements as in the X00 field).
Example: 111 2# $a Symposium on Soil Organic Matter Studies $d (1976 : $c Braunschweig, Germany). $t Soil organic matter studies. $l Chinese. $k Selections
4. X30: In the uniform title field, subfield $k is used before the words "Selections" or "Protocols, etc." when these follow subfield $a or other prescribed UT data elements.
Example: 130 #0 $a International Convention for the Safety of Life at Sea $d (1974). $k Protocols, etc., $d 1983 June 17
Example: 130 #0 $a Codex Burgundus. $k Selections
15. Why do UT NARs exist for Cinderella, Sleeping Beauty, Little Red Riding Hood, etc. without any references and yet there are no UT NARs for translations of these works?
The NARs for classics works such as Cinderella, etc, were created per AACR2 25.12. There are 667 notes in these NARs explaining the use of these headings which direct the cataloger to not use these "basic story" headings as main entries.
The language of the item being cataloged is added "pro forma" to the heading for the basic story, per AACR2 25.12B. It is LC policy that a NAR is not ever created for this added entry.
16. When is it appropriate to use a parenthetical qualifier for uniform title headings?
Generally, uniform title headings do not require a parenthetical qualifier except in one or more of these situations:
- to distinguish a uniform title from an identical or similar heading for a person, corporate body or uniform title;
- to distinguish identical titles used as a heading or reference;
- to distinguish between identical UTs for works entered under the same name heading.
For specific situations please consult LCRI 25.5B*
17. Are PCC catalogers responsible for updating name/title authority records that use the subfield $k according to the pre-AACR2 rules?
1) PCC catalogers are responsible for upgrading a Pre-AACR2 NAR when making a change to the NAR for any reason.
2) PCC catalogers are responsible for upgrading a Pre-AARC2 NAR when creating a PCC bibliographic record and the heading represented by the extant NAR is needed as an access point.
18. Are 053s ever added to UT NARs?
*This FAQ does not contain in-depth responses to questions on music, law or series UTs.