Table of Contents | Instruction Level | Example Level
Variable fields which are required for input in all Cornell authority records are identified by an asterisk to the left of the tag.
For a fuller description of the data elements below, see the USMARC Authority Format, available in paper in most processing centers. For a more complete list of field tags, indicators and subfield codes (without application instructions), see USMARC Concise Format for Authority Data
005 Date and Time of Latest Transaction
Field used by LC in LC authority records only; do not input, update or delete an 005 field.
010 Library of Congress Control Number
Use for LC "n " or "sh " prefixed authority record control numbers from LC copy. Examples
Inputting LSP-contributed authority records from the RLIN authority file:
022 International Standard Serial Number
Use for an ISSN associated with a series heading. Input the hyphen in the 022 field. Example
035 System Control Number
Use for UTLAS and RLIN authority record control number: UTLAS control number are preceded by "(CaOTULAS)"; RLIN control numbers are preceded by "(CStRLIN)". Example
For authority records GTO'd from RLIN, Library of Congress control numbers appear in 035's. Retain those 035's; however, also format an 010, making sure that you have used the correct prefix (n, no, nr, sh).
*040 Cataloging Source
For LC authority record input from copy, if the cataloger has added or changed some of the information on the LC authority record copy, add a |dNIC.
From LC copy, input only the information from the 040 |a subfield; do not input the LC 040 |c or |d subfields.
For LC authority record tape loaded by UTLAS into NOTIS, correct the 040 field by adding a |c DLC, and then, when you have revised the variable portion of the record, add the 040:*:| d NIC. Examples
050 Library of Congress Call Number
Use only for LC call numbers contained in LC authority records.
053 LC Classification Number
Use for LC class number(s) associated with a subject heading or subject subdivision when inputting from LC copy.
For name authority records, LC uses the 053 field for a classification number associated with a work of the imagination by a newly-established name heading. Examples
090 Cornell Series Call Number
Input:
090/1: : |a [class no.] |b [item no.] |5 NIC
090/1: : |a [class no.] |b [item no.] |5 NIC (unit)
If a Cornell series classed together call number includes oversize notation, add the oversize location code to the parenthetical qualifier in the |5 subfield of the 050 field.
Do not input the plus(es) in the 090 field in the series authority record (except for Music), but do input the plus(es) in the |k subfield in the copy holdings statement attached to the bibliographic record.
If there is no caption in the 042 field of the authority record for a series classed together, the cataloger should specify the caption to be used (generally "v." for the first level of enumeration and "pt." for the second level) by putting it in the 090 field at the end of the call number, separated from it by a semi-colon. Examples
Do not record serial call numbers in the 090. If the call number for a serial is to be recorded, place it in the first 690. Examples
093 Cornell Classification Number
In some name authority records for literary authors, CUL uses the 093 field to record a classification number associated with that author's belles lettres:
Input:
Each authority record must contain a 1xx field. The first indicator for 130, 150, and 151 fields is blank; the first indicator for 100, 110, and 111 fields, and the subfield codes for all 1xx fields are the same as those used in the bibliographic main, added, subject, and series added entry fields. The second indicator is a filing indicator and is always "0", because initial articles are removed from headings in the authority record. The 1xx field does not end with a period, unless the last word is an abbreviation or initial.
260 Complex See Reference -- Subject
Use for the explanatory text and the headings referred to that are required when relationships exist between an unestablished subject and established subjects that cannot be adequately conveyed by one or more simple cross references generated from 4xx See From Tracing fields. The 1xx heading is not the authorized form, and the record is a reference record (KIND fixed field contains value "b"). The |i subfield contains the italicized information from the LCSH red books. Example
360 Complex See Also Reference -- Subject
Use for the explanatory text and the headings referred to that are required when relationships exist between an established subject and other established subjects that cannot be adequately conveyed by one or more simple cross references generated from 5xx See Also From Tracing fields. The 1xx heading is the authorized form, and the record is an authority record (KIND fixed field contains value "a"). The |i subfield contains the italicized information from the LCSH red books. Example
Use a 4xx field for an "x" see from cross-reference tracing. The first indicator for 430, 450, and 451 fields is blank; the first indicator for 400, 410, 411 fields, and the subfield codes for all 4xx fields are the same as those used in the bibliographic main, added, subject, and series added entry fields. The second indicator is a filing indicator and is always "0", because initial articles are removed from see from tracings in the authority record. The 4xx field does not end with a period unless the last word is an abbreviation or initial.
4xx |w subfield:
Of the codes available in USMARC for position 3 (byte 0) of the "w" subfield, codes "a" and "b" can be used only in 510 fields in NOTIS or LSP/NACO records. Code "n" should be used when another valid code is needed further down in the subfield.
No codes available in USMARC for use in position 2 (byte 1) of the "w" subfield are to be used in NOTIS or LSP/NACO records, except "n". Code "n" should be used when another valid code is needed further down in the subfield.
Of the codes available in USMARC for position 2 (byte 2) of the "w" subfield only "n," "a," and "e" should be used in LSP/NACO records. NOTIS records may use codes "n," "a," "e," and "o". Code "n" should be used when another valid code is needed further down in the subfield. Position 3 (byte 2) is used to link the heading to an earlier established form. Linking references are now optional for NOTIS and LSP/NACO records, except that they are expressly prohibited when the linking reference would normalize to be the same as the heading or the older heading does not have a one-to-one-correspondence with the new heading. Examples
Of the codes available in USMARC for position 4 (byte 3) of the "w" subfield, which governs display, only "a" should be used on NOTIS or LSP/NACO records. The option to display should be the default option, except when the reference normalizes to be the same form as the heading. Normalization is different in NOTIS than it is in LSP/NACO practice, so coding should be adjusted accordingly.
NOTIS records should be coded in accordance with NOTIS normalization practice. NOTIS's guidelines for normalizing data are as follows:
LSP/NACO records should be coded in accordance with LSP/NACO normalization practice. LSP/NACO guidelines for normalizing data are as follows:
Position 4 (byte 3) may also be coded "do not display" when the reference is substantially the same as the heading. The cataloger should usually opt to simply not make the reference at all. If the reference is for a formerly authorized heading, make instead a 667 note: Old catalog heading: ...
In cases where the difference is not due to a change in cataloging rules, but, for example, to information either present or absent after the first element to the right of the comma in a personal name, the undisplayed reference technique is not to be used. The variant data should be recorded in the 670. Examples
If a conflict arises between the display of an authority record cross-reference for the pre-AACR2 form of a series heading and an entry for a bibliographic serial record or multi-volume monograph record, the authority record will be updated and the pre-AACR2 form of heading will be coded "do not display" (i.e., the fourth position of the |w subfield is set to "a").
Input other see from cross-reference tracings in a 4xx field without a |w subfield.
4xx |5 subfield
In the past, when a cataloger added a cross-reference to an LC record that was not submitted through NACO, a "|5 NIC" was added to the end of the field. Among the categories formerly not submitted were: hanges based on NUTAF updates, changes to series authority records prior to Oct. 1995, and cross-references without accompanying 670's.
Current practice mandates that the number of local cross-references be strictly limited, since the presence of local cross-references prevents overlay of updated records in NOTIS. When using a NOTIS record containing local cross-references, catalogers should feel free to eliminate those that are not supported by standard 670s. Cross-references that are supported to current standards by 670 fields should be added to the national authority file record in RLIN. Examples
4xx |9 subfield:
As of 1/2/96, local cross-references not acceptable to NACO should not be added to authority records, except in extreme circumstances. Consultation with the NACO Coordinator should be sought before making any local cross- references.
Currently, the only circumstance that could qualify as "extreme" is the indexing problem caused by NOTIS' non-standard translation of the uppercase hooked U character in some Asian languages. NOTIS indexes the uppercase hooked U as the letter "m," which makes some names unsearchable. A local x-ref can be used in this situation when the the first entry element or other important element of a name or series contains a hooked U which renders the name extremely difficult to find. Do not use a local x-ref for all occurences of uppercase hooked U, only the most egregious. Example
Use a 5xx field for an "xx" see also from cross-reference tracing. The first indicator for 530, 550, and 551 fields is blank; the first indicator for 500, 510, and 511 fields, and the subfield codes for all 5xx fields are the same as those used in the bibliographic main, added, subject, and series added entry fields. The second indicator is a filing indicator and is always "0", because initial articles are removed from see also tracings in the authority record. The 5xx field does not end with a period, unless the last word is an abbreviation or initial.
5xx |w subfield:
Input the earlier form of a corporate name or series in a 5xx field with the |w subfield coded "a."
Input the later form of a corporate name or a series in a 5xx field with the |w subfield coded "b."
Do not input subject to name cross-references (55x) in name authority records. Delete them when working on the record for any other reason.
640 Series Dates of Publication and/or Volume Designation
Use for the beginning/ending date(s) of publication and/or the extent of volumes within the series. LC guidelines for NACO LSP usage indicate to always use first indicator value "1" (unformatted style note). Example
641 Series Numbering Peculiarities
Use for a note describing irregularities in the report year coverage and/or numbering of the series. Examples
642 Series Numbering Example
Use for the series numbering example that is to be followed in the |v volume/number subfield of a series added entry tracing in bibliographic records for individual issues of the series.
Add "|5NIC" to the 642 field of any new 642 contributed by Cornell, whether on an original or updated record.
If an LC authority record already has a 642 field, do not include "|5NIC" after the "|5DLC" in the field. However, if the LC authority record does not contain a 642 field (e.g., LC does not trace the series), but the series is numbered and traced by Cornell, input a 642 field with "|5NIC" and contribute the record to NACO as an update.
Do not input a 642 field if the heading established is for a series-like phrase or for an unnumbered series.
In the past, in order to keep the number of characters in |v below the old NOTIS 10-character limit, sometimes a "local alternate" 642 was necessary so that volume numbering displayed on index screens in the OPAC. New series should be established without concern for character limits. Old authority records with local numbering examples and 690s indicating local practice should be referred to the Authorities Unit for updating.
In general, catalogers should not set up a local numbering pattern without consultation with the Authorities Unit to explore alternatives. In all cases, local numbering should not be contributed to NACO, and an 040$dNIC and 690 explanation is necessary in those rare cases when one is perpetuated.
Additional 642 numbering examples that are due to a change in the publisher's form of numbering transcribed in the series statement of a bibliographic record should always be contributed to NACO. Examples
Recording national-level, Library of Congress, and NACO decisions for form of numbering (From DCM update, Oct. 1998):
The national-level decision for form of numbering is to be followed by those libraries creating BIBCO records. The USMARC identification code used for this national-level decision in subfield $5 is "DPCC" (PCC = Program for Cooperative Cataloging). LC staff and NACO participants should include the national-level and local decisions in SARs according to the following guidelines.
[instructions to LC staff omitted]
NACO Participants: new SAR
642 $a [form of number] $5 DPCC
642 $a [form of number] $5 DPCC $5 NIC
NACO Participants: existing SAR
If your local tracing decision is to trace, optionally add your USMARC identification code as the last $5 in the one 642 field. Note: only one NACO participant may include a form of numbering decision in a SAR.
642 $a [form of number] $5 DPCC $5 NIC 642 $a [form of number] $5 DPCC $5 DLC $5 NIC [examples represent single fields in different SARs]
643 Series Place and Publisher/Issuing Body
Use for the place of publication and the name of the publisher/issuing body of the series. Do not include brackets around data in this field, even though information may have been bracketed in a corresponding bibliographic record.
Multiple place and publisher/issuing body information for different ranges of volumes/dates are contained in separate 643 fields, with the current publishing information in the first 643 field. If the precise date or volume information is not available, the data in the |d subfield may be input in angle brackets. Examples
644 Analysis Practice (Series)
Use for the code that indicates the analysis practice for the series. The |a subfield contains a single code only:
Add Cornell series treatment information (with library unit, if applicable) only for series contributed to NACO by Cornell, or when Cornell's treatment varies from LC's. As of 1/2/96, local treatment information is not routinely added to LC series authority records when Cornell and LC make the same treatment decisions.
Use a "d" subfield to indicate volumes and/or dates to which the analysis practice applies, e.g., for a title that was at one time partially analyzed, but now treated as a serial.
When updating LC SARs, if Cornell analysis practice is different from LC analysis practice, input a second 644 field with Cornell's analysis practice and "|5 NIC". Also add a |d NIC to the 040 field. Examples
Do not input a 644 field if the heading is established for a series-like phrase.
Do not input a 644 if the heading is used only as a serial title by all of Cornell's locations. In this case, retain all LC treatment fields, and add a 690/1 stating that Olin (Mann, etc.) treats as a serial. Include the NOTIS ID number and call number with the statement.
645 Tracing Practice (Series)
Use for the code that indicates the tracing practice for the series. The |a subfield contains a single code only:
Add a "|d NIC" to the tracing decision only when the record is an original Cornell contribution to the NACO files.
Use a "d" subfield to indicate volumes and/or dates to which the tracing practice applies:
When updating an LC SAR, if Cornell tracing practice is the same as LC tracing practice, do not add local tracing practice to the record. If Cornell tracing practice is different from LC tracing practice, input a second 645 field with Cornell's tracing practice and "|5 NIC". Also add a |d NIC to the 040 field. Examples
Do not input a 645 field if the heading is established for a series-like phrase.
Do not input a 645 if the heading is used only as a serial title by all of Cornell's locations. In this case, retain all LC treatment fields, and add a 690/1 stating that Olin (Mann, etc.) treats as a serial.
Recording national-level, Library of Congress, and NACO tracing decisions (From DCM update, Oct. 1998):
The national-level tracing practice, to be followed by those libraries creating BIBCO records, is separate from the local tracing practice at the Library of Congress or at any NACO institution. The national-level tracing decision always will be to trace. The USMARC identification code used for this national-level decision in $5 is "DPCC" (PCC = Program for Cooperative Cataloging). LC staff and NACO participants should include the national-level and local decisions in SARs according to the following guidelines.
[instructions to LC staff omitted]
NACO participants: new SAR
645 $a t $5 DPCC
645 $a t $5 DPCC $5 NIC
[two fields in one SAR:]
645 $a t $5 DPCC
645 $a n $5 NIC
Optionally, add your local tracing decision. Note: only one NACO participant may include a local tracing practice in a SAR.
645 $a t $5 DPCC $5 NIC 645 $a t $5 DPCC $5 DLC $5 NIC [examples represent single fields in different SARs]
[two fields in one SAR] 645 $a t $5 DPCC 645 $a n $5 NIC
646 Classification Practice (Series)
Use for the code that indicates the classification practice for the series. The |a subfield contains a single code only:
Add "|5 NIC" for Cornell series treatment information (with library unit, if applicable) only when contributing an original SAR to the NACO files.
When updating an LC SAR, if Cornell classification practice is the same as LC classification practice, do not add a |5 for Cornell's practice. If Cornell classification practice is different from LC classification practice, input a second 646 field with Cornell's classification practice and "|5NIC". Also add a |d NIC to the 040 field. Examples
Make an explicit classification practice statement only for series, not serials.
Use a "d" subfield to indicate volumes and/or dates to which the classification practice applies, e.g., for a title that was at one time classed together, but is now treated as a serial.
Do not input a 646 field if the heading is established for a series-like phrase.
Do not input a 646 if the heading is used only as a serial title by all of Cornell's locations. In this case, retain all LC treatment fields, and add a 690/1 stating that Olin (Mann, etc.) treats as a serial.
If the volumes are classified as a collection or with the main or other series, also include an 090 field in the series authority record.
663 Complex See Also Reference -- Name
Use for the explanatory text and the headings referred to that are required when relationships exist between an established name and other established names that cannot be adequately conveyed by one or more simple cross-references generated from 5xx See Also From tracing fields. The 1xx heading is the authorized form, and the record is an authority record (KIND fixed field contains value "a"). LC guidelines for NACO LSP usage indicate that code "c" in position 4 (byte 3) is a valid code in the "w" subfield of 5XX fields. Example
664 Complex See Reference -- Name
Prior to March, 1984, LC used 664 in a reference record for complex see also references. Currently, LC NACO must be consulted before this field is used.
665 History Reference
LC does not use this field currently, although there are some examples of its use that have not been deleted from the database because the rest of the record has not yet needed to be updated for any reason. Example
666 General Explanatory Reference -- Name
LC NACO must be consulted before this field is used.
667 General Note
Use for information about a 1xx name or uniform title heading that is not from a source cited in the 670 Source Data Found field, but is needed in the record to clarify the usage or scope of the heading in an established heading record.
The following is a representative, but not a comprehensive, list of types of notes to be added:
LC uses the 667 field to provide messages indicating the action when a record is being updated. Fields used for this purpose begin with the legend "MESSAGE" and are deleted by LC when the record update is completed. Examples
*670 Source Data Found
Use for the citation from the item being cataloged or for the citation of a consulted source in which information is found to justify 1xx or the 4XX's in an established heading record. Each source citation is contained in a separate 670 field.
When reviewing LC copy added to the CUL database, add 670 fields for the item being cataloged to validate a cross-reference being added by the cataloger.
For locally-created authority records, the citation in the 670 field includes enough information to identify the work being cataloged, such as the title, (author and title, if title is not distinctive) and imprint date. The |b subfield contains a parenthetical statement of the information found in the source, plus a statement of the location of the information within the source. For example:
When the author is the same as the 1xx heading, one of the following may be used in the citation: His, Her, Author's (gender unknown), or Its (not a personal name).
If, under AACR2 rule 22.20, one heading is used for more than one person, prepare one authority record combining all persons of the same name. List the first work being cataloged and sources found pertaining to each person in separate groups, captioning each group with an informal descriptive term for that person consisting of the title of the first work cataloged, and the person's relationship to it. The descriptive term is placed within brackets. The order of the groups does not matter. Also code value "b" in the UNIQUE fixed field.
Multiple occurrences of location/information found within the same source are contained in a single |b subfield.
Use a 670 field for additional information that is not included in the heading (e.g., a person's birthdate).
Use a 670 field to record information found in the Cornell basic card catalog, Mansell, or database.
An additional 670 field may contain the citation for a reference source consulted when verifying the form of heading. Examples
Normally, names shown in cross reference tracings must be justified by information cited from the sources. However, justification is not required in at least the following cases: (a) References justified by rules or rule interpretations only; (b) References made on the basis of the cataloger's awareness of different romanizations or orthographies; or (c) Name/title cross-references derived from the work being cataloged, from other works cataloged under the same name, or from information in standard reference sources.
For series, the 670 field contains a citation of the primary source (the item being cataloged) on which the form of series used in the heading is based and the exact location within that source where the series heading is represented. Do not, however, record the actual series heading in the 670 field. If variant forms appear within the same item, record them and their locations as necessary in the citation(s). Make the necessary cross-references.
LC/NACO no longer requires the "last name, comma, first initial" form for the author citation of the 670. If the title being cited is distinctive, it is not necessary to include the author's name. The following is the proper format (and punctuation for) a bibliographic source citations for names:
NOTE: When including an author citation, use only forename initials for personal name main entries.
The most common elements of (and punctuation for) a bibliographic source citation for a series include:
When the name that appears in the heading or in 4XX cross references appears in a source cited (including the work being cataloged), it must be given in full, as it appears in the source, without abbreviation by the cataloger--regardless of how identical the consequent citation of the name is with the name in the heading, in cross-reference tracings, or in citations from other sources. Data other than names should be given in as brief a form as possible, yet should be easily comprehensible within the context.
675 Source Data Not Found
Use for a citation for a consulted source in which no information is found about the 1xx heading in an established heading record. A 675 citation must accompany every 5XX in NACO-level records, unless the information that would be coded there is taken from another issue of the same serial title that was cited in the 670. In that case, add the information to the 670. Examples
678 Epitome
Use for biographical, historical, or other information about the 1xx heading in an established heading record or a subdivision record. LC does not use this field in current authority records; the 678 field is used only when manual authority cards are converted to machine-readable form.
680 Scope Note
Use for information about a 1xx subject heading or subject subdivision term in an established heading record or a subdivision record that describes the scope of the heading in the subject heading system identified in the S/SYS fixed field; use for information such as a precise definition of a potentially ambiguous term, contrasting information regarding the scope and usage of similar headings, instructions for making additional subject entries, and notices to users. The |i subfield contains the italicized information from the LCSH red books. Example
681 Subject Example Tracing Note
Use for a note that documents the use of the 1xx subject heading or subject subdivision term in an established heading record or a subdivision record. The information is primarily intended to serve as a tracing of the use of headings in examples and notes to assist catalogers in updating records. The |i subfield contains the italicized information from the LCSH red books. Example
682 Deleted Heading Information
Field used in LC authority records to explain why an authority record in LC's Subject Authority File is being deleted.
690 Local Note Field
Create a 690/1 field to clarify coding used in 644-646 fields as a result of partial analysis or serial treatment by one or more Cornell units. Do not make a special search for the NOTIS number of a serial, but include it if available. Serial call numbers may also be included here.
The last 690 is used for the cataloger's initials and date. Input the two or three character initials first, followed by a space, and then followed by the date in the month/day/year style.
For LC authority record input from copy, if the cataloger has changed some of the information on the LC authority record copy, input the cataloger's or reviser's initials in the 690 field.
Do not use the 690 field for inputter's initials.
For conversion of manual authority card files, the 690 field contains the source of the authority record information. Examples
Table of Contents | Instruction Level | Example Level
Rev. 1/5/98 dih