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

PCC Task Group on AACR2 & RDA Acceptable Heading Categories FINAL REPORT August 2011 INTRODUCTION 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 CHARGE Charge: The PCC Task Group on AACR2 & RDA Acceptable Heading Categoriesis charged to:  Discern types of headings currently existing within the authority file (LC NAF) that fall into one of the following three categories 1) Headings constructed under AACR2 and valid under RDA, therefore usable as-is Page of 47 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 (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 (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 Department Stanford University Diane Boehr Head of Cataloging National Library of Medicine Robert Bremer Senior Consulting Database Specialist OCLC Ana Cristán Policy and Standards Division Library of Congress Page of 47 Paul Frank Cooperative Programs Section Library of Congress Chamya Kincy Life & Social Sciences Cataloger UCLA Gary Strawn Authorities Librarian Northwestern University John Wright Chair of the Cataloging Services Department Brigham 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 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 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 RDA records should be added to the authority file It is strongly recommended that these changes be Page of 47 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 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 a final set of parameters can be accepted with confidence If the principles expressed in Section are followed, any additions or changes will harmonize with what is currently proposed Page of 47 The LC/NACO Authority File and RDA Definitions – p Principles – p.7 Details – p 10 Scheduling – p 14 Additional Recommendations – p 17 Appendix A The handling of AACR2 conference headings – p 19 Appendix B Subfield $c in personal name fields – p 24 Appendix C Authority records for undifferentiated names – p 31 Appendix D Full-record examples – p 34 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 Page of 47 Definitions 1.1 1.2    1.3 1.4 1.5 Authority record: a MARC record in the LC/NACO Authority File; a MARC record whose 010 field contains subfield $a beginning "n".1 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" 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 The migration of the LC/NACO Authority File is an automated set of changes to the authority records in that file Section of this document describes the major steps in the migration, and how they might be accomplished Day 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 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 The task group did not investigate the effect the switch to RDA might have on other authority files, such as the LCSH authority file Page of 47   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 2.3 2.4 2.5 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 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 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 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 or over a period of time following Day 1, authority records whose 1XX fields are acceptable for use under RDA as is should be re-coded as RDA records Section 3.2 of this document includes the specifications for this re-coding; section gives further information 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 Page of 47 2.6 2.7 2.8 about the scheduling of the re-coding, and the performance of mechanical changes to authority records 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 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 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 2.10 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 After the authority file migration, a newly-authenticated PCC RDA bibliographic record may 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 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 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 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 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 Page of 47 2.11 2.12 2.13 2.14 RDA, only RDA 1XX fields can be used as the base element in RDA access points 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 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 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 Effective immediately, no new 7XX fields for RDA access points should be added to LC/NACO authority records 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 in these categories cannot be re-coded by program as RDA After Day 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 Page 10 of 47 recoding, as determined by other characteristics present in the records All authority records for undifferentiated personal names are subject to the manipulations described in sections 3.4 through 3.6.27 27 During the task group’s work, one authority record for an undifferentiated personal name with an 046 field (where subfield $d was not present in the 100 field) was identified, and appropriate changes made Appendix D Full-record examples 1) 100 field acceptable for use as is under RDA AACR2 record before re-coding: 008 890501n| acannaab| |n aaa 010: : |a n 88202651 040: : |a DLC |c DLC |d DLC 100:1 : |a Smithers, Elaine Vertz 670: : |a Her Haley, Marshall, Getchell, Barlow genealogy, 1986: |b t.p (Elaine Vertz Smithers; on label: Elaine Smithers; Waukesha, WI) RDA record after re-coding: 008 890501n| azannaab| |n aaa 010: : |a n 88202651 040: : |a DLC |e rda |c DLC |d DLCa 100:1 : |a Smithers, Elaine Vertz 670: : |a Her Haley, Marshall, Getchell, Barlow genealogy, 1986: |b t.p (Elaine Vertz Smithers; on label: Elaine Smithers; Waukesha, WI) 2) 100 field that cannot be used under RDA without review (because of subfield $c) AACR2 record before re-coding: 008 840131n| acannaabn |a aaa 010: : |a n 82231868 040: : |a DLC |c DLC |d DLC |d NmU |d Uk 100:1 : |a Hamilton, Paul, |c D Phil 400:1 : |a Hamilton, P W A |q (Paul W A.) 670: : |a His Coleridge's poetics, 1983: |b t.p (Paul Hamilton) jkt (fellow & tutor in English, Exeter Coll., Oxford) 670: : |a BNB May-Aug 1983 |b (Hamilton, Paul) 670: : |a Commonwealth univ yrbk., 1983 |b (Hamilton, P.W.A [Exeter], MA Glas & Oxf, DPhil.); 1992 (Hamilton, P.W.A.; prof of Eng & dept hd., Univ of Southampton) 670: : |a His Historicism, 1996: |b CIP t.p (Paul Hamilton) data sheet (b 06-0660) galley (teaches English at Univ of Southampton) 670: : |a Percy Bysshe Shelley, 2000; |b t.p (Paul Hamilton) p of cover (prof of English and Head of Sch of English and Drama, Queen Mary and Westfield Univ of London; author of Coleridge's poetics (1983), Wordsworth (1986), and Historicism (1996)) 670: : |a Historicism, 2003: |b CIP t.p (Paul Hamilton) data view (b 11/02/50) 670: : |a Letter from author, Oct 2003 |b (Paul William Alexander Hamilton, born 11 Feb 1950) AACR2 record after re-coding: 008 840131n| acannaabn |a aaa 010: : |a n 82231868 040: : |a DLC |e |c DLC |d DLC |d NmU |d Uk 100:1 : |a Hamilton, Paul, |c D Phil 400:1 : |a Hamilton, P W A |q (Paul W A.) 667: : |a THIS HEADING CANNOT BE USED UNDER RDA UNTIL IT HAS BEEN REVIEWED INDIVIDUALLY 670: : |a His Coleridge's poetics, 1983: |b t.p (Paul Hamilton) jkt (fellow & tutor in English, Exeter Coll., Oxford) 670: : |a BNB May-Aug 1983 |b (Hamilton, Paul) 670: : |a Commonwealth univ yrbk., 1983 |b (Hamilton, P.W.A [Exeter], MA Glas & Oxf, DPhil.); 1992 (Hamilton, P.W.A.; prof of Eng & dept hd., Univ of Southampton) 670: : |a His Historicism, 1996: |b CIP t.p (Paul Hamilton) data sheet (b 06-0660) galley (teaches English at Univ of Southampton) 670: : |a Percy Bysshe Shelley, 2000; |b t.p (Paul Hamilton) p of cover (prof of English and Head of Sch of English and Drama, Queen Mary and Westfield Univ of London; author of Coleridge's poetics (1983), Wordsworth (1986), and Historicism (1996)) 670: : |a Historicism, 2003: |b CIP t.p (Paul Hamilton) data view (b 11/02/50) 670: : |a Letter from author, Oct 2003 |b (Paul William Alexander Hamilton, born 11 Feb 1950) 3) 100 field that can be used under RDA with changes (abbreviation in 100 $d) AACR2 record before re-coding: 008 860501n| acannaab |a aaa 010: : |a n 85325223 040: : |a DLC |b eng |c DLC |d Uk 100:1 : |a Smith, Roland, |d 1943 Apr 11670: : |a His Soviet policy towards West Germany, 1985: |b t.p (Roland Smith) p of cover (in Brit Diplomatic Service; with Int'l Inst for Strategic Studies 1983/84) 670: : |a Dipl Ser list, 1985 |b (Smith, Roland Hedley; b Apr 11 1943; Counsellor and Head, Chancery BNG Berlin since 1984; at IISS 1983) AACR2 record after re-coding: 008 860501n| azannaab |a aaa 010: : |a n 85325223 040: : |a DLC |b eng |e |c DLC |d Uk 100:1 : |a Smith, Roland, |d 1943 Apr 11667: : |a THIS HEADING CANNOT BE USED UNDER RDA UNTIL IT HAS BEEN UPDATED 670: : |a His Soviet policy towards West Germany, 1985: |b t.p (Roland Smith) p of cover (in Brit Diplomatic Service; with Int'l Inst for Strategic Studies 1983/84) 670: : |a Dipl Ser list, 1985 |b (Smith, Roland Hedley; b Apr 11 1943; Counsellor and Head, Chancery BNG Berlin since 1984; at IISS 1983) RDA record after the migration: 008 860501n| azannaab |a aaa 010: : |a n 85325223 040: : |a DLC |b eng |e rda |c DLC |d Uk 046: : |f 100:1 : |a Smith, Roland, |d 1943 April 11670: : |a His Soviet policy towards West Germany, 1985: |b t.p (Roland Smith) p of cover (in Brit Diplomatic Service; with Int'l Inst for Strategic Studies 1983/84) 670: : |a Dipl Ser list, 1985 |b (Smith, Roland Hedley; b Apr 11 1943; Counsellor and Head, Chancery BNG Berlin since 1984; at IISS 1983) 4) 110 field that can be used under RDA with changes (abbreviations) AACR2 record before re-coding: 008 961104n| acannaab| |a ana c 010: : |a no 96057488 |z n 92099552 040: : |a IWhN |c IWhN |d DLC 110:1 : |a Chicago (Ill.) |b Dept of Planning and Development 410:1 : |a Chicago (Ill.) |b Dept of Planning & Development 410:1 : |a Chicago (Ill.) |b Planning and Development, Dept of 510:1 : |w a |a Chicago (Ill.) |b Dept of Planning 670: : |a Chicago neighborhood development, 1992 |b (City of Chicago, Department of Planning and Development) 670: : |a Project recommendations, 1996: |b t.p (Dept of Planning & Development, Chicago) 675: : |a Its Major population groups in 1980?: t.p (City of Chicago, Department of Planning) AACR2 record after re-coding: 008 961104n| azannaab| |a ana c 010: : |a no 96057488 |z n 92099552 040: : |a IWhN |e |c IWhN |d DLC 110:1 : |a Chicago (Ill.) |b Dept of Planning and Development 410:1 : |a Chicago (Ill.) |b Dept of Planning & Development 410:1 : |a Chicago (Ill.) |b Planning and Development, Dept of 510:1 : |w a |a Chicago (Ill.) |b Dept of Planning 667: : |a THIS HEADING CANNOT BE USED UNDER RDA UNTIL IT HAS BEEN UPDATED 670: : |a Chicago neighborhood development, 1992 |b (City of Chicago, Department of Planning and Development) 670: : |a Project recommendations, 1996: |b t.p (Dept of Planning & Development, Chicago) 675: : |a Its Major population groups in 1980?: t.p (City of Chicago, Department of Planning) RDA record after migration: 008 961104n| azannaab| |a ana c 010: : |a no 96057488 |z n 92099552 035: : |a (OCoLC)oca04198281 040: : |a IWhN |e rda |c IWhN |d DLC 110:1 : |a Chicago (Ill.) |b Department of Planning and Development 410:1 : |a Chicago (Ill.) |b Department of Planning & Development 410:1 : |w nnea |a Chicago (Ill.) |b Dept of Planning and Development 410:1 : |a Chicago (Ill.) |b Planning and Development, Department of 510:1 : |w a |a Chicago (Ill.) |b Department of Planning 670: : |a Chicago neighborhood development, 1992 |b (City of Chicago, Department of Planning and Development) 670: : |a Project recommendations, 1996: |b t.p (Dept of Planning & Development, Chicago) 675: : |a Its Major population groups in 1980?: t.p (City of Chicago, Department of Planning) 5) 100 field acceptable for use under RDA as is, showing generation of 046 and 378 fields AACR2 record before migration: 008 940621n| acannaab| |n aaa c 010: : |a nr 94020575 040: : |a NjP |c NjP 100:1 : |a Stevens, Jonathan H |q (Jonathan Hodgdon), |d 1959670: : |a Analysis and modeling of infiltration and solute transport 1994: |b t.p (Jonathan H Stevens) 670: : |a Info from Princeton University Graduate School, 6-16-94 |b (Stevens, Jonathan Hodgdon, b 9-9-59) RDA record after migration: 008 940621n| azannaab| |n aaa c 010: : |a nr 94020575 040: : |a NjP |e rda |c NjP 046: : |f 100:1 : |a Stevens, Jonathan H |q (Jonathan Hodgdon), |d 1959378: : |q Jonathan Hodgdon 670: : |a Analysis and modeling of infiltration and solute transport 1994: |b t.p (Jonathan H Stevens) 670: : |a Info from Princeton University Graduate School, 6-16-94 |b (Stevens, Jonathan Hodgdon, b 9-9-59) 6) Undifferentiated personal name otherwise acceptable for use under RDA This example is prepared under the assumption that most AACR2 authority records for undifferentiated personal names will be split apart during the migration AACR2 record before migration: 008 970228n| acannaabn |n aba 010: : |a n 97021312 035: : |a (OCoLC)oca04282928 035: : |a (Uk)003362301 040: : |a DLC |b eng |c DLC |d Uk |d IOrQBI |d Uk 100:1 : |a Roberts, Elizabeth 670: : |a [Author of Animal train] 670: : |a Animal train, 1994: |b t.p (Elizabeth Roberts) 670: : |a [Author of Snwffyn a'r bêl bigog] 670: : |a Snwffyn a'r bêl bigog, c1989: |b t.p (Elizabeth Roberts) 670: : |a [Author of After a fashion] 670: : |a After a fashion, 2009: |b t.p (Elizabeth Roberts) back jacket flap (editor of Black & white photography magazine; of Queen Elizabeth II published in 2008 and Margaret Thatcher published in 2009 by Ammonite Press) 670: : |a [Author of Sitka spruce] 670: : |a Sitka spruce, c2002 |b verso t.p (research & text by Elizabeth Roberts) Above record is deleted, and replaced by the following new records: 008 121231n| azannaabn |n aba 010: : |a |z n 97021312 040: : |a DLC |b eng |e rda |c DLC 100:1 : |a Roberts, Elizabeth 670: : |a Animal train, 1994: |b t.p (Elizabeth Roberts) 008 121231n| azannaabn |n aba 010: : |a |z n 97021312 040: : |a DLC |b eng |e rda |c DLC 100:1 : |a Roberts, Elizabeth 670: : |a Snwffyn a'r bêl bigog, c1989: |b t.p (Elizabeth Roberts) 008 121231n| azannaabn |n aba 010: : |a |z n 97021312 040: : |a DLC |b eng |e rda |c DLC 100:1 : |a Roberts, Elizabeth 670: : |a After a fashion, 2009: |b t.p (Elizabeth Roberts) back jacket flap (editor of Black & white photography magazine; of Queen Elizabeth II published in 2008 and Margaret Thatcher published in 2009 by Ammonite Press) 008 121231n| azannaabn |n aba 010: : |a |z n 97021312 040: : |a DLC |b eng |e rda |c DLC 100:1 : |a Roberts, Elizabeth 670: : |a Sitka spruce, c2002 |b verso t.p (research & text by Elizabeth Roberts) Appendix E Examples of changes to headings Each group shows one currently-established heading in two forms: as given in the current version of its authority record, and as modified by the instructions in this document 100:1 : |a Schubert, Franz, |d 1797-1828 |t Quartets, |m strings, |n D 804, |r A minor; |o arr 100:1 : |a Schubert, Franz, |d 1797-1828 |t Quartets, |m strings, |n D 804, |r A minor; |o arranged 130: 0: |a Bible |p O.T |p Jeremiah |l Dutch 130: 0: |a Bible |p Jeremiah |l Dutch 130: 0: |a Bible |p N.T 130: 0: |a Bible |p New Testament 130: 0: |a Bible |p N.T |l Ewondo 130: 0: |a Bible |p New Testament |l Ewondo 130: 0: |a Occasional paper (University of Guelph Dept of Geography) 130: 0: |a Occasional paper (University of Guelph Department of Geography) 100:1 :|a Jones, Alan, |d 1946 Nov 2100:1 :|a Jones, Alan, |d 1946 November 2100:1: |a Jones, Amelia M., |d fl 1853 100:1: |a Jones, Amelia M., |d active 1853 100:1 : |a Jones, Ambrose, |d d 1678 100:1 : |a Jones, Ambrose, |d -167828 100:1 : |a Jones, Kelsey, |d 1922-2004 |t Selections 100:1 : |a Jones, Kelsey, |d 1922-2004 |t Works |k Selections 130: 0: |a Koran |l Greek 130: 0: |a Qur’ān |l Greek 28 Or, if the recommendation in section 5.8 of this document is accepted, 100:1 : |a Jones, Ambrose, |d died 1678 Appendix F Impact on the LC/NACO Authority File The following assumptions prevailed during the gathering of the statistics reported in this appendix:  Subfield $c in AACR2 personal name headings that may be used under RDA may include "Dame," "Sir", "Sr.", "Jr." or a roman numeral; other occurrences of subfield $c in AACR2 headings identify names that must be reviewed for use under RDA  Authority records for undifferentiated personal names should be split apart when possible The following table shows the overall effect of the changes described in this document, in categories defined by the cataloging rules code in byte 10 of the 008 field AACR2 records are separated into two groups: those that are excluded from re-coding to RDA, and those that can be re-coded as RDA Record type Pre-AACR AACR1 AACR2 not recodable29 AACR2 re-codable AACR2-compatible RDA Other Total Records Re-coded to Records with changes RDA other than re-coding 56,096 10,046 26,284 4,542 218,258 36,766 7,795,520 42,194 11,534 120 8,150,006 7,795,520 0 7,795,520 1,954,214 14,150 2,12430 11 2,021,853 As a result of the migration, 7,863,159 authority records (7,795,520 AACR2 records recoded to RDA plus the following records changed but not re-coded: 10,046 pre-AACR, 4,542 AACR1, 36,766 excluded AACR2, 14,150 AACR2-compatible, 2,124 RDA, 11 other) will be modified in some manner This represents over 96% of the 8,150,006 records in the LC/NACO Authority File; nearly the entire LC/NACO Authority File must be re-issued at some point as a result of the changes recommended in this document 29 This figure includes undifferentiated name records that cannot be split into records for individual personalities If it is decided that undifferentiated name records should be maintained as they are at present, at least until after the migration, this figure will be about 4,000 lower Also, no attempt was made to identify and exclude authority records whose 1XX fields contain excluded 1XX fields plus additional subfields; the final number of AACR2 headings excluded from being re-coded as RDA will be higher than the number shown here, but the size of the change is not known 30 This figure does not include authority records changed solely because their 1XX was built on an RDA heading that is not identical with the established AACR2 heading During the actual migration, this figure may be expected to be slightly higher The following table shows the reasons certain AACR2 records are not to be re-coded as RDA Reason for exclusion Contain Polyglot Contain & Ongoing 111 conference Ongoing 110 conference Personal name with $c Records 688 14,672 70,443 13,260 119,195 Changed 132 2,812 108 324 33,390 one more category: undifferentiated names that can’t be split (assuming the split) The following table shows the effect on headings of the mechanical changes described in sections 3.3, 3.4 and 3.5 of this document, and Appendix D Category 046 field created from 100/700 subfield $d 378 field added from 100/700 subfield $q X00 arr expanded31 X00 b changed to trailing hyphen X00 cent expanded X00 ca expanded X00 d changed to leading hyphen X00 fl expanded X00 violoncello replaced X00 abbreviated month replaced X00 Selections changed X10 arr expanded X10 Dept expanded X10 Dépt expanded X10 Selections changed X11 Dept expanded X11 abbreviated month replaced X11 Selections changed X30 arr Expanded X30 testament removed from Bible heading X30 abbreviated testament expanded in Bible heading X30 Dept expanded X30 violoncello changed to cello X30 Koran changed 31 Fields affected 1,633,681 425,600 3989 109,554 38,447 85,319 116,425 56,404 7,962 6979 23,609 127,236 52 1595 377 2951 261 At the time these statistics were gathered, Northwestern's copy of the LC/NACO authority file contained 5,965,783 100 fields, 4,157,518 400 fields and 58,714 500 fields; 1,378,644 110 fields, 1,844,536 410 fields and 274,636 510 fields; 174,484 111 fields, 188,626 411 fields and 15,961 511 fields; 506,425 130 fields, 334,212 430 fields and 32,647 530 fields; and 124,677 151 fields, 122,118 451 fields and 11,723 551 fields Counts of 4XX and 5XX fields in Northwestern's copy of the file will be found to be slightly elevated from counts in other copies of the file, because of locally-added fields X51 Dept expanded 7XX deleted Undifferentiated name records require review Undifferentiated name records deleted Undifferentiated name records created 327 16,769 6,575 49,556 126,317 Only 218,372 of the AACR2 1XX fields in those authority records that can be re-coded as RDA require some change This means that under the criteria specified in this document all but about 2.8% of otherwise-acceptable AACR2 headings can be used under RDA without any change Appendix G Significant differences between 100 and 700 $a The following list identifies those authority records whose 100 subfield $a differs (in a normalized comparison) from its 700 subfield $a A few of these are simple errors (Tryon/Tyron); a few of the remainder might be useful in a project such as that envisioned in section 5.11 LCCN N 00099340 N 2001059916 N 2002063029 N 2004017377 N 2004094107 N 2004103585 N 2004116575 N 2006001545 N 2006001545 N 2006019081 N 50000674 N 50002405 N 50009777 N 50011735 N 50017256 N 50022521 N 78008189 N 78036676 N 78088994 N 79000823 N 79018345 N 79020254 N 79029972 N 79077964 N 79083307 N 80011305 N 80015622 N 80043620 N 80044275 N 80057167 N 80059506 N 80063394 N 80087651 N 80094361 N 80097546 N 80102038 N 80103825 N 80109211 N 80125767 N 80144747 N 81011070 N 81019792 N 81029903 100 subfield $a vasquez g, magaly lilienthal, m e weissbrot, johannes gourley, d r wills, a j kitinov, b u evans, mark menander menander vargas, joao helion costa ristikivi, karl ashley, michael sen, sukumar tryon, thomas barrault, jean louis primo de rivera, jose antonio rovira i planas, pere zosimos holliday, john henry stanfield, j ron guevara, ernesto nelson, bill rubinshtain, shimon ortuzar s, juan de dios bahya ben joseph ibn pakuda konzhiev, nikolai mikhailovich resnick, michael d challes, robert linkov, vladimir iakovlevich feshin, nikolai ivanovich moses israel ephraim fishl ben moses israel keogh, james edward canellas lopez, angel bateson, p p g milchin, arkadii emmanuilovich frolov, ivan timofeevich iashkin, ivan iakaulevich chlenov, mikhail anatolevich rosetti, constantin alexandru paredes nunez, juan kargalov, vadim viktorovich kuvakin, valerii aleksandrovich 700 subfield $a vasquez gonzalez, magaly lilienthal, max weissbrodt, johannes gourley, dick r wills, andy j kitinov, baatr u austad, mark evans meanander meanander vargas, joao h costa riistikivi, karl ashley, mike sena, sukumara tyron, thomas barrault, j l jose antonio rovira, pere zosimus holliday, doc stanfield, james ronald guevara, che nelson, william a rubinstein, shimon ortuzar, juan de dios bachja ibn josef ibn paquda konzhiev, n m resnick michael d chasles, robert linkov, v ia fechin, nicolai feldman, mosheh yisrael feldman, efrayim fishl keogh, jim canellas, angel bateson, patrick milchin, a e frolov, i t iashkin, i ia chlenov, m a rosetti, c a paredes, juan kargalov, v v kuvakin, valery N 81038417 N 81046348 N 81047796 N 81053041 N 81070061 N 81077020 N 81101944 N 81123614 N 81123744 N 82002575 N 82013207 N 82040797 N 82068348 N 82126597 N 82161885 N 82225774 N 82247568 N 82275102 N 83024211 N 83050824 N 83071792 N 83133988 N 83237837 N 84009577 N 84804640 N 85099019 N 85177403 N 85205607 N 85211137 N 85230187 N 85237581 N 85283654 N 85327029 N 85334705 N 85338184 N 85378924 N 85387264 N 85821775 N 86064228 N 86087622 N 86820578 N 86822899 N 86837278 N 87877078 N 87887835 N 87891784 N 87916674 N 88078221 N 88119150 N 88121329 N 89123286 N 89125617 averintsev, sergei sergeevich rubim, albino rozhin, vasilii pavlovich malchow, howard l payne, stephen m bhattacaryya, jivananda vidyasagara taylor, anne robinson majumdar, badiul alam voznesenskii, n trimbaciu, stefan razlogov, kirill emilevich maksimov, v i ruiz de la pena, juan ignacio sahin, mehmet cetin madsen, jakob schow lai, chuenyan david abi hasira, jacob ben masoud popescu vilcea, g sena, paritosha espino, gonzalo arueti, inah kopp, p e brants, kees kidd, kathy h muntner, sussmann cahoon, g a millet, robert l lochhaas, thomas a raza, sayed haider melamed, avraham kieszczynski, lucjan parczewski, alfons millas garcia, juan jose welch, d r mani, buddha rashmi berke, wm pitt ford, t r ramirez, carlos f santos, antonio duarte dos zur lippe, ernst lafontaine, thomas p martinez reverte, javier roggenkamp, gerhard heinrich wilhelm gorringe, timothy baifus, yaakov yisrael lagos, maria ines freericks, bernard yamada, toru matsliah, tal ruso, nirah look, p f a van riviere, j edmond averintsev, s s rubim, antonio albino canelas rozhin, v p malchow, h l payne stephen m vidyasagara, jivananda taylor, a r majumadara, badiula alama dimitrii trambaciu, stefan razlogov, k e maksimov, vladimir ivanovich ruiz de la pena solar, juan ignacio sahin, m cetin schow madsen, jakob lai, chuen yan david abihatsira, jacob popescu valcea, gheorghe sen, paritosh espino reluce, gonzalo aruetty, ina kopp, ekkehard brants, kornelis louis karel kidd, kathryn h muntner, zisman cahoon, garth a millett, robert l lochhaas, tom raza, s h melamed, abraham lucjan kieszczynski parczewski, a j millas, juan jose welch, danny r mani, b r berke, william pitt ford, thomas r ramirez aznar, carlos f duarte, antonio lippe weissenfeld, ernst lafontaine, tom reverte, javier roggenkamp, gerhard h w gorringe, t j baifus, y y lagos pope, maria ines feericks, bernard yamada, thoru mazliah, tal rousso, nira look, paul f a van riviere, jim e N 91043711 N 91064236 N 91112390 N 93109017 N 93109466 N 94087887 N 94108343 N 94117338 N 95031343 N 95044785 N 95087592 N 95106763 N 96005617 N 96051323 N 96077889 N 97036245 N 98067685 N 98075565 N 98803158 N 99273836 N 99800441 NB 99036685 NB2001080021 NB2004014201 NO 00022085 NO 00068946 NO 90016180 NO 95011756 NO 95027651 NO2001019621 NO2001021541 NO2001083942 NO2002059525 NO2003002527 NO2003017414 NO2003029121 NO2004123533 NO2005082258 NO2007055084 NO2008075387 NO2009011096 NO2010150218 NO2010188617 NO2011000987 NR 00010429 NR 00019204 NR 90021467 NR 91029887 NR 92002952 NR 93035511 NR 93050001 NR 95013089 NR 95013930 vasquez t, carlos tsivian, yuri chapman, d a zavala, roberto munoz quiros, j ma sniegoski, tom beck, georgette c cuadra l, elvira kent, steve l munguia, dionicio ivanova, i a villavicencio, daniel mungiu, alina matvejev, sergej d thornhill, c j rantzer, philip garner, jenny penick checa, francisco falcone, tommaso arjona, angeles kingsnorth, a n dalton, j p kozitskii, g v kleinert, sabine desouza, david majumadara, manasija mende, rana von liria, carlos f meredith, m m berlichingen, adolf von fortune, sean fowler, j e pockels, karl friedrich striphas, theodore g burshtain, deror costa i font, joan kustov, s v hadad, david polacco, joseph c payas, gertrudis mash, samuel david foster, john alexander hastings klain, yehudah ben yehiel frolov, ivan timofeevich fierro, merari basok, mosheh barlev, yehiel avraham ben binyamin ungar, shemuel david avigdor mordekhai ben avraham ezra abu shaqrah, farid grissgott, yehoshua hayim lissner, e e rumi, ahmad ibn abd al qadir vasquez tamayo, carlos tsivian, iu g chapman, david zavala maldonaldo, roberto munoz quiros, jose maria sniegoski, thomas e beck brandt, georgette c cuadra, elvira kent, steven l munguia, dionisio ivanova, izolda anatolevna villavicencio carbajal, daniel h mungiu pippidi, alina matvejev, sergije d thornhill, chris rantser, philip garner, jenny lou penick checa y olmos, francisco falcone, tomasso arjona garrido, angeles kingsnorth, andrew n dalton, john p kozitskii, grigorii vasilevich kleinert, inge sabine de souza, david majumder, manasij mende altayli, rana von fernandez liria, carlos meredith, madison monroe berlichingen, adolf gotz von forturne, sean fowler, james pockels, carl friedrich striphas, ted burstein, dror costa font, joan kustov, sergei vladimirovich haddad, david polacco, joe c payas puigarnau, gertrudis mash, s david foster, j a h klain, yehudah yehiel frolov, i t fierro villavicencio, merari bassok, moshe barlev, yechiel avraham ungar, samuel d kats, avigdor mordekhai ben avraham ezra abu shakra, farid grussgott, s c lissner, ernest ernestovich ahmad al rumi al aqhisari NR 95040162 NR 96018918 NR 98015731 NR2003026259 NR2004016078 NR2004028778 NR2005001006 NR2005006405 NR2007001446 burovskii, andrei mikhailovich shisha, yosef hintze, f f melnikov, d kulefski, yaakov mosheh argov, hagai zbylut, michelle l warren, jerry vaikhbroit, yehoshua elimelekh ben shemuel david burovskii, a m schischa, joseph hintze, ferdinand f melnikov d kulefsky, y m argov, haggai zbylut, michelle ramsden lecotier, jaques weichbrod, yehoshua ... international congreso congreso internacional congress congresso congresso internazionale di studi congresul constitution in congress seminar constitutional conference constitutional convention constitutive... constitutive session consultation consultative meeting convegno convegno di studi convegno di studio convegno internazionale convegno nazionale convegno regionale convention council council of toledo... 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