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Name Authority Coding

Fixed Fields:















































SIRSI tags

MARC coding

Values used at EPL

(Record status)

Leader, character position 05

n [new record] c [revised record]

(Type of record)

Leader, character position 06

z [authority record]

(Encoding level)

Leader, character position 17

n [full level]

(Date entered)

008, character position 00-05

[system generated]

(Direct/indirect geographic subdivision)

008, character position 06

n [not applicable]

(Romanization scheme)

008, character position 07

| [1 fill character, no attempt  
to code]

(Kind of record)

008, character position 09

a [established heading]  


008, character position 10

c [AACR 2]  
d [AACR2 compatible] z [RDA]

(Subject heading system)

008, character position 11

a [LC subject headings] d [AACR2 compatible] z [other including local headings]

(Type of series)

008, character position 12

n [not applicable]

(Series numbering)

008, character position 13

n [not applicable]

(Heading use—main or added entry)

008, character position 14

a [appropriate]

(Subject added entry)

008, character position 15

a [appropriate]

(Conference publication)

008, character position 16

b [not appropriate]

(Type of subject subdivision)

008, character position 17

n [not applicable]


008, character position 28

| [1 fill character, no attempt  
to code]

(Reference evaluation)

008, character position 29

a [tracings consistent with heading]  
n [not applicable -- record contains no 4XX/5XX tracings]

(Record update in process)

008, character position 31

a [record can be used]

(Undifferentiated personal name)

008, character position 32

a [differentiated personal name (unique)]  
b [undifferentiated personal name (non-unique)]  
n [not applicable [e.g. corporate name]

(Level of establishment)

008, character position 33

a [fully established]

(Modified record)

008, character position 38

[blank] [not modified]

(Cataloguing source)

008, character position 39

[blank] [National bibliographic agency]  
d [other agency, including EPL]


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Variable Fields:

Follow Marc 21 Authority Format for the use of indicators in variable fields.

MARC Coding



Control number (system generated)

E.g. XX904268


Control number identifier (system generated MARC code for the agency whose control no. is in 001)

E.g. CaAE


Date and time of lasted transaction (system generated)

E.g. 20140402163607.0


Library of Congress Control Number (LCCN)

E.g. n 91128401


National Bibliographic Agency Number (Library and Archives Canada / LAC)

E.g. 1024L6231


Cataloguing source

E.g. CaAE|beng|cCaAE E.g. CaAE|beng|cCaAE|erda E.g. CaOONL|beng|erda|cCaOONL


Special coded dates

E.g. Birth date, death date, date a band started (|s – start period), etc. E.g. |fYYYYMMDD


Dewey Decimal Classification Number

For persons, the Dewey biography number (from the 920's) selected for the person will be added. Indicators: the first indicator is “0”, the second is “4”. Enter Dewey edition in subfield |2, and EPL identification code in |5, e.g. 083 04 |a923.141|222|5CaAE



E.g. Angelou, Maya


Associated Place

|aPlace of birth|bPlace of death|cAssociated countries|fOther associated place E.g. |fKingston, Ont.


Field of Activity

E.g. |aRock music|2lsch E.g. |adidjeridu player



|acomposer, editor, artist, teacher, etc.|2lsch |a is repeatable



E.g. female


Cross reference / See reference from not used variant form of name

E.g. Johnson, Marguerite,|d1928-2014


Cross reference / See also reference: used as heading



Complex see also name reference (not used for original entry)



History note (visible in public facing catalogue)



Cataloguer's note

Cataloguers' notes are coded in the 667 field; follow 667 note with EPL code |5CaAE.


Source note, i.e. title of work used as source of name (not visible in public facing catalogue Repeatable field Also use for cataloguer's notes, i.e. biographical information

E.g. |a Washington post (online), viewed May 28, 2014 |b (Maya Angelou; b. Marguerite Annie Johnson, Apr. 4, 1928, St. Louis


Source data not found



Field used only by LC; accept as is



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Policy for Cataloguers

  • Cataloguers are responsible for searching for authority records for unvalidated names for fields 1XX and 6XX which have a bearing on choice of cutter and for downloading required LC [Library of Congress] and LAC [Library and Archives Canada] names via SmartPort.
  • Search “LC AUTH” (which contains English-language LAC headings since 2018) databasein SmartPort and download the name if the correct one is found.
  • If any cross references are required, i.e. the title page form differs from the 1XX, refer to a cataloguing librarian. Fields which are added locally to name authorities from LC should should conclude with $5CaAE to prevent removal by BSLW overlaying. If overlaid by EPL staff using SmartPort, the additional fields, whether or not identified with $5CaAE, will not be preserved.
  • Generally, EPL concurs with the national libraries for establishing names, but EPL does have local policies which dictate changes in some national library authority records (see Changes to LC and LAC AUTH records).
  • If names in these fields are not available from national library files in the form required, cataloguers should request a new local authority from a cataloguing librarian. Failure to complete this step will mean mis-validation and/or mis-cuttering on physical library materials may occur, e.g.

100 1 Fulber, Rhys (Backstage using LC preferred form)  
245 10 Exilarch [sound recording] /$cConjure One.

Validation will occur on LC's authority file for Fulber, Rhys, who sometimes uses the name Conjure One. In this case, a local authority for Conjure One is required to prevent mis-validation.

100 0 Conjure One (Local authority)  
245 10 Exilarch [sound recording]|cConjure One.




Policy for Cataloguing Librarians

  • Librarians will be responsible for making name authority modifications and resolving name problems, such as adding a cross reference and/or a 670 note as well as contacting LC with requests for corrections.
  • Names are established according to RDA with local policy exceptions noted in a 670 note; new 4XXs and 670s can be added to LC authorities and each field added must be signed $5CaAE to prevent removal by BSLW overlaying; if overlaid using SmartPort, local fields will not be preserved.
  • EPL's vendor of authority services,Backstage Library Works (BSLW) will attempt to validate all remaining headings against (1) our local authority file first, then (2) LC headings, then finally on (3) LAC headings.
  • BSLW will generate reports on validations which require review and on headings that remain unvalidated.

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Authorities & Vendor-supplied Cataloguing

For Physical Objects

  • If a cutter does not seem appropriate for the authorized access point, check the bibliographic record for headings which affect cuttering. If reviewing the work for other reasons, such as DDC or intellectual level, also check the headings which affect cuttering.
  • If such headings doNOT validate, search WorkFlows for any possible authority record.
  • If a match is found for the correct name, the access point can be validated against the existing authority record using the Browse, Get From List, and Next commands.
  • If modifications need to be made to an authority in our file, refer it to a cataloguing librarian; new 4XXs and 670s can be added to LC authorities and each field added must be signed $5CaAE; modifications can be made to locally-created authorities without signing each field. Do not import a national library authority to overlay and update an existing record if a change in the form of the authorized name will occur e.g. Binshtock, Avital when updated becomes Andrews, Avital. Refer this situation to a cataloguing librarian for creation of one or more local authorities to replace a national library authority in our file.
  • Librarians must report to BSLWany new local authorities created to replace any LC or LAC authorities being deleted from EPL's authority file.
  • If validation does NOT occur after searching and finding an appropriate authority in our file or after importing a new national library authority into our file:
  • Record the appropriate national library authority form of name in a bibliographic record. (BSLW should download authority records ifneeded for new cataloguing.) If using a national library authority for subject validation, check that the fixed field “Subj_Use” in the authority record is an “a”.
  • Check the coding in the bibliographic record, that is, check that the correct codes and indicators have been used for the name. For example, field tag 110 used for a personal name will not validate; fictitious characters may now be coded 600 instead of 650.
  • For name subject validation check that the 6XX indicators in the bibliographic record are correct that is, the second indicator may be a zero for LC) a 5 for LAC and a 7 with subfield $2CaAE for local authorities.
  • If no appropriate authority is found in in our local file in WorkFlows nor from LC or LAC via SmartPort, refer to a cataloguing librarian for a local authority. Request a new authority sending a screen-print of the title record and any information quickly available on the work:

E.g. born 1979 in Sussex, England from About the author  
E.g. teaches psychology at New York State University, Buffalo from book jacket.  
E.g. author is a joint pseudonym for mother X and son Y from title page verso


A cataloguing librarian maycopy and pasteauthoritiesfrom LC's website ( if necessary; authority records fromSmartPort's LC file may be omitted from time to time or not available within the monthly span covered by BSLW.

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For Digital Works

  • Bibliographic records will be loaded without regard to validation; Backstage will attempt to validate and report on unvalidated headings and headings which may be mis-validated (Report: 1XX/6XX/7XX |a first 4 characters differ).
  • Delete all subfield “e” content from 1XX and 7XX fields before loading.
  • Because digital works do not have cutters, validation of entries and changes to authorities can be done at any time.

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Verifying Authorities

  • Always verify that the authority is correct, even if it validates:
  • Always check the name authority file in WorkFlows for the correct form of name, that is, do not allow a name to validate without checking the authority file first.
  • Determine if an appropriate authority already exists in WorkFlows.
  • Search national library authority files and if necessary request creation of certain local authorities.


  • A bibliographic record must exist in WorkFlows before requested authority work will be done by a cataloguing librarian.
  • For unvalidated corporate bodies with subdivision(s), search WorkFlows and SmartPort for the complete name as well as each part of the name.
  • When searching in WorkFlows, watch for inconsistent forms of name for an author (i.e. several citations of the same name).

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Changes to LAC and LC Authority Records

  • National library (LAC, LC) authority records are generally established according to RDA although some will still be coded as AACR2. Local authorities are required when national library authorities do not yet exist or when EPL local policies as listed below apply.
  • If a downloaded national library record requires additional information that does not affect access, make additions and add a brief 667 explanatory note if necessary. Fields such as 4XX and 670 added by EPL should be identified with $5CaAE to prevent removal by BSLW overlaying. If overlaid by EPL staff using SmartPort, the additional fields, whether or not identified with $5CaAE, will not be preserved.

EPL POLICY: EPL prefers to use the form of the name used on each public work and may need to over-ride a national library authority.

  • If an LAC name authority recorddiffers from the form of an LC authority prefer the LC form (unless there is a reason to override the LC form by creating a local authority); add 4XX reference for heading not used as well as 667 explanatory note. E.g.

667 LAC prefers Trudeau, Pierre, Elliott, 1919-2000 (1012L9855E).

  • If important information is provided in either national record, transfer it to the new local authority.

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Creating a Local Authority Record

  • Generally use the chief source of information as source for 1XX form of name -- make 4XX references from all other forms found on item and any other required 4XX and 5XX references, refer to section on Cross References for Names.
  • Do not rely entirely on one source of information for the form of name – confirm within the item and often with external sources as well, e.g.

DVD with on-screen credits and container listing of performers Sarah Naylor, violin, and David Millar, piano

No external confirmation for David Millar; Sarah Naylor's duo partner is Douglas Millar

100 Millar, Douglas|c(Pianist)  
400 Millar, David|c(Pianist)  
670 E-mail from DVD publisher (Q. Who is David Millar; what became of Douglas Millar? A. “this is a mistake that was not spotted … I am surprised that Sarah or Douglas did not say anything but please amend your records”)

  • Complete the Control folder:
  • Record format = Corporate/Personal/Title
  • Source = CaAE
  • Date authorized = Today
  • Authorization level = Authorized
  • Created by = EPL-CAT [system-generated]. The “Extended Info” folder is not used.

  • If an error is generated due to 1XX heading not matching the record format, change the format in the Control folder before making changes in the authority folder.
  • Delete the system-generated 961 overlay field if not required when using the “Duplicate Authority” wizard to generate a new authority record.
  • All new authority records should contain at minimum one 670 field providing title information; add additional information about 1XX heading from the item-in-hand, and if considered important, check other online sources for information, e.g. role performed by the person: illustrator, inker, etc.
  • When possible, add 670 note for the nationality of fiction writers as this is important information for the Canadian author note used in fiction bibliographic records.
  • Confirm form of name found on DVDs in an online source such as (Internet Movie Database) before establishing; generally prefer name as given in IMDb if there is a discrepancy in the spelling of the name.
  • Confirm the order of Asian names in an online source -- the recognized surname will often be given in capital letters.
  • Generally Icelandic names are given in direct order, e.g.

100 |aSverrir Guðjónsson,|d1950-

  • If using 1XX form from a national library bibliographic record, code f.f. Srce appropriately and/or provide brief note.
  • Add |d dates to personal names if readily available from a reliable source; document source in 670 note.
  • Generally do not establish geographic names (151) but do download if available; when a geographic name authority is required, e.g. variant form(s) of place name exist, refer to librarian responsible for subject headings to have name established.
  • Add explanatory qualifiers (Musical group), (Musician), (Firm), (Comedy troupe), etc. to 1XX as required.
  • Distinguishing terms used in personal names:
  • Distinctive names do not require further details; often the first use of a name will lack any details beyond the “title page form of name.” Accept names when established by LC/LAC without distinguishing terms, e.g.

Prince (n 84079379)  
400 |aNelson, Prince Rogers  
Tatiana (n 93112858)  
(a Mexican vocalist)  
Poghosian, Michael (no2010036507)  
400 |aPogosyan, Mikael, 1965-

  • Add date of birth/death or identifying other names, if available, to a personal name, preceding subfield d with a comma but no punctuation before subfield q, e.g.,

Giovanni|q(Giovanni Marradi)  
Blond|q(Kevin Senft)  
Robson, Ann P.|q(Ann Provost),|d1931-

  • If a name is not obviously a personal name, add an explanatory qualifier in parenthesis, e.g.,


  • For most given name entries (i.e. without a surname), add an explanatory qualifier in parenthesis (|c), e.g.,

Moses|c(Biblical leader)  
Sailaja|c(Telugu poet)  
Legendary Stardust Cowboy|c(Musician)  
Alice|c(Fictitious character from Carroll)

  • For generic names with surnames (i.e. where 2 or more people use the same form of name in our authority files), and where dates are not available, use an explanatory qualifier to the degree of specificity available or necessary, indicating vocation. Do not precede the qualifier with any punctuation, e.g.,

Smith, John|c(Captain)  
Barnes, James|c(Gardener)  
Hill, Lynn|c(Founder of the Clandestine Cake Club)  
Cunliffe, David|c(Cellist)

  • Use will be made of any of these qualifiers to make unique entries for each name and to distinguish between otherwise identical names having a surname, e.g.

Black, James, 1879-1949  
Black, James, 1950-  
Black, James, 1975-  
Black, James, approximately 1758-1814  
Black, James|c(Auctioneer)  
Black, James|c(Drummer)  
Black, James H.|q(James Hay),|d1921-  
Black, J. W.|q(James Whyte),|d1924-2010  
x-ref Black, James Whyte …

  • If a name lacks a surname but is commonly associated with a place of origin or domicile, an occupation or title, or other information, include these words or phrases as an integral part of the name. Precede such words or phrases by a comma.

Paul,|cof Aleppo, Archdeacon,|d1627-1669  
Elizabeth,|cEmpress of Russia,|d1709-1762  
Clinton, Michael,|cM.B.A

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Procedures for Creating a Local Authority

  • Create a local authority record by duplicating a national authority record (or by copying/pasting LC/LAC information to a new local record).
  • State why EPL is not using the LC/LAC form in a 667 or 670 note:

E.g. “LC (or LAC) prefers ______ (Control #); EPL prefers the form on each published work.”

  • Edit the 1XX to EPL's preferred form of name - often this means transferring 4XX information into the 1XX and vice versa, but do NOT delete the entire 1XX
  • Remember to remove the text DUPLICATE AUTHORITY from the 1XX
  • Delete LC's 001, 003, 010 (or LAC's 016)
  • Change the 040 to CaAE|beng|cCaAE or CaAE|beng|cCaAE|erda
  • NOTE: If LC/LAC's record, which was duplicated, was not already in RDA format, choose whether or not to add |erda to 040 and also change Rules to z (008 position 10) if using RDA.

  • RDA fields are all optional additions
  • Change date to today's date, i.e. YYYYMMDD000000
  • Modify fixed fields: Rev_Eval to a (008 position 29) and Sys/Thes to z (008 position 11) (see image above). Save.
  • Open Modify Authority wizard to finish editing
  • Add CaAE to Source on the Control panel and set date to Today; copy the control number to paste into 001. Save.
  • Edit to remove 961 as needed. Use your judgment, making sure that the 961 contains the form that should be replaced overnight. Save.
  • Delete the LC/LAC record
  • Use form of name found consistently on fiction works for an author's name that has been transliterated from a non-Latin alphabet if required to provide a recognizable “Cutter” for alphabetic shelf arrangement.
  • A decision may also be made to correct a national library authority record that is in error, e.g. the form of name given is obviously incorrect (spelling, incorrect/lacking birth or death dates, etc.). Major changes will be referred to a cataloguing librarian who will suggest changes to national libraries. If the error is corrected, Backstage can update the LC/LAC authority in our file. If EPL has used a local authority, Backstage will be informed that the local authority has been deleted and an LC/LAC authority will be substituted (by EPL or Backstage).
  • Delete any |u coding from the end of 5XX references.
  • Check MARC 21 Authority Format for correct |w subfield coding in 4XX/5XX name references. In general, in a personal name authority record, if there is a |w subfield in a 4XX or 5XX field, delete the subfield. In a corporate body name authority record, if there is a |w subfield in a 5XX field coding earlier/later forms of name, retain the letter which is in the first position, and delete the remaining codes, e.g.

110 |aCanada.|bDept. of Agriculture.|bResearch Branch  
510|wb|aCanada.|bAgriculture Canada.|bResearch Branch

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Creating Reciprocal Local Authority Records

  • Reciprocal local authorities for multiple forms of name are to be used if LC/LAC are using a single form of name when EPL's collection contains the name in varying forms (i.e. pseudonyms, pre-and post-marriage names, secular and religious names, etc.). For example, EPL has works by Lisa Unger under her maiden name Miscione, Lisa, 1970-, as well as under her married name Unger, Lisa, 1970-.


Procedures for Creating Reciprocal Locals:

  • Duplicate an LC/LAC already in EPL's authority file or newly downloaded via SmartPort.
  • Edit the duplicate record to state why EPL is not using the LC/LAC form in a 667 note (use cut and paste for accuracy): “LC (or LAC) prefers ___ (n __); EPL prefers the form on each published work.|5CaAE”
  • If the LC/LAC form is represented in our collection remove the DUPLICATE AUTHORITY; delete LC's 001, 003, 010 (or LAC's 016); change 040 and 005 as above.
  • Edit 4XX changing any forms also used in EPL's collection to 5XX, e.g.,

  • Edit the 4XX to the LC/LAC form and modify the fixed fields Ref_Eval to a (008 position 29) and Sys/Thes to z (008 position 11). Save.
  • Open Modify Authority wizard to finish editing.
  • Add CaAE to Source on the Control panel and set date to Today; copy the control number to paste into 001. Save.
  • Edit to remove 961 as needed. Use your judgment, making sure that the 961 contains the form that should be replaced overnight. Save.
  • Delete the LC/LAC record
  • Duplicate your newly created local authority
  • Exchange places between the 1XX and the first 5XX; remove the text DUPLICATE AUTHORITY; edit the control panel as above. Save.
  • Open Modify Authority wizard to finish editing; remove 961. Save.
  • Repeat as necessary for all forms used in EPL's collection. Arrange all 4XX and 5XX pseudonyms in alphabetical order, e.g.,

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Cross References for Names

  • Cross references (x-ref) are made when a person/body is known by several forms of name but the forms in the cross-references are not used on any published works, for example, Sia, 1975- has a cross-reference for her birth-name 400 Furler, Sia Kate Isobelle, 1975- as authorized names.
  • Add as required all 4XX and 5XX references and provide 670(s) justifying the reference.
  • Cross references are made for:
  1. Compound names: x-ref from part of name not used, e.g.

100 Fra, Irene, 1971-  
400 Fra Gálvez, Irene, 1971-

100 Johnstone-Burt, Hugo  
400 Burt, Hugo-Johnstone-

  1. Names with prefixes: x-ref from part(s) of name not used, e.g.

100 Cruz, Gloria de la  
400 De la Cruz, Gloria  
100 De la Parra, Alondra, 1980-  
400 Parra, Alondra de la, 1980-  
400 La Parra, Alondra de, 1980-

EPL POLICY: If we learn that an EPL name authority is in error, the authority will be corrected.  
E.g. Previously, Ricky Van Shelton's works were cuttered VAN (for Van Shelton, Ricky); we now accept LC's preferred form: Shelton, Ricky Van based on later information which clarified that Van is his middle name. Going forward, his works would be cuttered as SHE.

EPL POLICY: Relabelling should be considered rarely and on a case-by-case basis.

  1. Maiden/married names: x-ref from name(s) not used; see also references if both names used, e.g.

100 Grant, Kathryn, 1933- (the film actress in the 1950s)  
500 Crosby, Kathryn, 1933- (Mrs. Bing Crosby, memoir author and actress post 1977)

100 Forss, Sarah Nelson  
400 Nelson, Sarah (Sarah Jane) (x-ref must not conflict with another Sarah Nelson)

100 Chen, Justina, 1968- (ceased using married name)  
400 Headley, Justina Chen, 1968-

EPL POLICY: EPL prefers local authorities for different forms of name when a person has separate identities at different stages in life or for separate activities or markets (more than transliteration or pseudonyms are involved).  
E.g. Denise Ho is a Canadian English-language novelist; her books are cuttered HO. LC's preferred form of name is He, Yunshi, which is used for the same person as a Chinese speaking singer/actress in Hong Kong.  
E.g. 12 Girls Band recordings are cuttered TWE; we do NOT use LC's preferred form Nu zi shi er yue fang, since EPL has no titles without English-language credits.

  1. Real name/pseudonym(s): x-ref from name(s) not used; see also references if both (or more) names used, e.g.

100 Eliot, George, 1819-1880  
400 Cross, Marian Evans, 1819-1880  
100 Everage, Edna, Dame, 1934-  
500 Humphries, Barry, 1934-

  1. Common name/title of nobility: x-ref from name(s) not used, e.g.

100 Disraeli, Benjamin, 1804-1881  
400 Beaconsfield, Benjamin Disraeli, Earl of, 1804-1881

  1. Full name/shorter form: x-ref from name(s) not used, including nicknames, e.g.

100 Ivy, 1966-  
400 Bielinski, Ivan, 1966-

100 Healey, John, 1973-  
400 Healey, John Britt, 1973-

  1. Name as established/title page form: x-ref from name(s) not used, e.g.

100 Chan, Jaycee, 1982- (actor/martial artist Jackie Chan's son)  
400 Fang, Zuming, 1982- (since 2004, this is his name in the Eastern Hemisphere; in the West he is “Jaycee Chan”; credits may list both forms of name)  
400 Chan Jo-Ming, 1982 (birth name)

100 Healey, Kevin  
400 Healey, K. (Kevin) (author uses only an initial on some published works)

100 Illés, Monika  
400 Phillips, Monika  
LC prefers Phillips, Monika … ; EPL prefers the form on each published work.

  1. Variant spellings: x-ref from name(s) not used, e.g.

100 Caṭṭopādhyāya, Śaratcandra, 1876-1938  
400 Chatterji, Saratchandra, 1876-1938

100 Tchaikovsky, Peter Ilich, 1840-1893  
400 Chaikovsky, P. I., 1840-1893

EPL POLICY: EPL accepts forms used by LC/LAC if the variation from title page form arises because of a different scheme of transliteration applied.

  1. Acronyms/initialisms (corp. bodies): x-ref from name(s) not used or name spelled out. E.g.

110 UNICEF  
410 United Nationals International Children's Emergency Fund  
410 U.N.I.C.E.F.

  1. make x-refs for initialisms both with and without periods/spaces [SIRSI currently files a period as a space] as they will file differently, e.g. K.T.A.S. and KTAS. E.g.

110 Ukrainian Canadian Committee  
410 K.U.K.  
410 KUK

110 L.T.D. (Musical group)  
410 LTD (Musical group)

  1. Do not establish corporate bodies with periods if work being catalogued does not use periods. RDA prefers to transcribe punctuation as it appears on the source (RDA 1.7.3), adding punctuation only as necessary for clarity.
  2. Direct order names: x-ref from name reversed, e.g.

100 Gunnar Guðbjörnsson (an Icelandic name)  
400 Guðbjörnsson, Gunnar

100 Auntie Owl  
400 Owl,|cAuntie

  1. Name with date to name without a date (and vice versa): use only if date (or name without a date) used by a national library that is a non-preferred source. Ensure that no conflict results from 4XX. E.g.

100 Trudeau, Pierre Elliott, 1919-2000 (LAC's preference)  
400 Trudeau, Pierre Elliott (LC's preference)  
Note: An EPL authority was created to reconcile LC and LAC (N.B. LC is preferred at EPL and since 2018 LAC does not keep a separate authority file; its English-language authorities shouldagree with LC; add local notes to LC authorities signed $5CaAE to add Canadian details)

  1. Make x-ref from form of name used by a national library when local policy prefers a different form of name – add 667 or a 670 note for clarification. E.g.

100 T. I., 1980-  
500 Harris, Tip, 1980-  
LC prefers T. I., 1980-; EPL prefers the form on each published work.

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Family Names

  • If a national library authority record uses the form of name on the item as its 100 form of name, use the authority record regardless of number of cross-references; but if the form of name on the item only appears as one of the cross-references in the source record, establish the name originally in WorkFlows.

E.g. Form of name on item: Schmitt family

LC establishes the name as:  
100 |aSchmidt family  
400 |aSchmitt family

Establish the name originally in WorkFlows, or consider using: 600 Schmitt, Thomas|xFamily instead of 600 Schmitt family if better identification is provided.

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  • When establishing a pseudonym as an authority heading, make a cross-reference to the real name if known (add a 4XX or a 5XX, as appropriate), e.g.

  • If the real name is established with dates, use dates in the headings for the other names.
  • Fictitious characters, including animals, are generally considered pseudonyms, even if the "real" author's name is unknown.

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Non-unique or Non-distinctive names (RDA 8.3)

  • Names should be made unique and distinctive; differentiate one form from another “by recording as many of the additional identifying elements as necessary in the following list:
  • Title of the person (indicating rank, honour or office),
  • Fuller form of name,
  • Profession or occupation,
  • Period of activity, and/or
  • Other designation associated with the person.”

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Preferred titles for a musical work (RDA 6.14.2), for a legal work (RDA 6.19.2) and for sacred scriptures (RDA

  • Authorized access points (author-title) are downloaded/established only for classical music and laws/by-laws/regulations. Laws can be the result of any number of enacting jurisdictions. E.g.

110 United States  
245 The narcotic laws of Mexico and the United States… from the United States of America, Mexico, the State of California and the State of Baja California.

  • Author-title entries are used but not need be validated for literary criticism.
  • Preferred titles are downloaded/established only for anonymous classical music, collected legal documents, such as treaties and collections of treaties, and sacred works, e.g. Bible, Koran.
  • Use language subfield (l) for classical music and sacred works only.

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Uniform Titles for Classical Music

  • Use a reputable, outside source for establishing the title portion of composer-composition title uniform titles. Grove music online is now available as an EPL database through Oxford music online. For required uniform titles, refer to Classical Sound Recordings, Composers/Uniform Titles.
  • Titles of compositions are given in the original language of composition (not necessarily the nationality of the composer). If original language of composition cannot be determined, establish with language of the item in hand providing an explanation in a 667 note.
  • Do use the transliterated title of composition for titles that have been transliterated from non-Latin alphabets, e.g. Cyrillic (Russian, Ukrainian, etc.) or Chinese.
  • Ensure that a 400 uniform title reference is made for any variant form of title found in the title in hand.
  • Cross references for arias. Make a 400 reference for the composer and aria, omitting the name of the opera. Derived LC headings for part titles often require extra 400 references in the form of Composer-Title of opera-Variant part title. Add additional 400s to national library records as required.
  • Make a 670 note for any useful available information from the item in hand or appropriate online source that expands upon uniform title, e.g. opus no., number of movements, titles of parts of a suite, etc.
  • LC authority records for some uniform titles, usually collective titles, e.g. |tPiano music.|kSelections, often contain numerous 400 references for all the item titles in which the uniform title was found. Delete these unwanted references (but do not delete actual variant titles) and add a brief 667 note, e.g. 667 |ax-refs deleted. |5CaAE [No longer possible with BLW as they will reinstate original LC records).
  • Follow RDA for formulating uniform headings for two or more parts of a musical work e.g. Nr. 5 is the preferred title for a part of Johannes Brahm's Ungarische Tänze in a compilation also including Nr. 6 of the same work. There is an alternative rule to identify two or more parts collectively. Record the conventional collective title and Selections as the preferred title for the parts unless the parts form a group called a Suite by the composer.
  • Download or establish the uniform title for a complete work when part of the work is being used -- each part of the uniform title (including composer) should be authorized with correct reference structure.

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Overlaying of Names

  • When an authority record overlays an existing authority record a 961 field is system generated that updates the headings in bibliographic records from the old heading to the new heading (updates overnight when the “Add, Delete, Update Database' report is run).
  • Updating LC and LAC authorities should become the responsibility of Backstage. When updating of entries for which a local authority has been created, forward requests for changes to cataloguing librarians who will not only make the changes, check that they took effect but will also be responsible for notifying Backstage in order that their copy of our authority file will be kept up-to-date. ­­­­­­­­­­

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  • For musical group names in the form: [Personal name (first name and surname)] and the [group name], where no national library record exists, two names will be established and used in bibliographical records as a personal name (100) with the accompanying group as a separate entry (710).

Ken Smithson and the Moon Trio  
100 1\ Smithson, Ken  
710 \2 Moon Trio

Lauren Mann & the Fairly Odd Folk  
100 1\ Mann, Lauren  
710 \2 Fairly Odd Folk

  • A name, which appears to be a personal name [forename and surname] or a phrase name, should remain with the group name if the name does not represent an individual musical artist.

Jive Bunny and the Mastermixers (Musical group) n 92037504  
(A British novelty pop music act with a cartoon rabbit in their videos and with a rabbit-costumed human for promotional purposes)  
King Gizzard and the Lizard Wizard (Musical group) no2015170600  
(An Australian rock band none of whose members are King Gizzard or the Lizard Wizard)

Clovis Crawfish and the All-Star Bayou Band (Musical group) as a local authority  
(Clovis Crawfish is a character in a series of Louisiana-based children's books. All-star Cajun musicians present the bits of music from the books in an album by Clovis Crawfish and the All-star Bayou Band)

  • Musical group names consisting of first name only linked with a group name are generally established as a single entity.

110 2\ Susanna & the Magical Orchestra

110 2\ Martha and the Muffins (Musical group)

  • Exceptional cases have been established where a single-word name is not a first name but is the musical artist's established name.

110 2\ Prince and The Revolution (Musical group)  
110 2\ Fitz and the Tantrums (Musical group)

  • Follow national library record when available unless deemed in error.
  • Qualifiers for musical groups (Musical group vs. Musical duo/trio): if national library record available, use as found; if no national library record, use term (Musical group) for duos, trios and groups. Make an added entry in the bibliographic record and reciprocal 5XXs in authority records when a member's name is also part of the group's name [see also General Sound Recordings, 7XX Added entries #3].
  • Generally do not consider a listing of surnames to be a group name unless established as such by LC or LAC, i.e. trace as separate 1XX/7XX(s); however a listing of first names will be established as a group name if required. E.g.,

Judy & David (Musical group)

  • Choice of name for authors using pseudonyms -- use name that indicates actual authorship. E.g.,

t.p. Ann Rule writing as Andy Stack  
100 1 |a Stack, Andy  
t.p. Ken Goffman (a.k.a. R. U. Sirius)  
100 1 |a Goffman, Ken

  • Phrase names for music artists: enter in direct order unless name can be confirmed as a forename and surname. Check RDA; DJ is a prefix unless there is a surname or initial surrogate. E.g. (RDA headings from LC),

LL Cool J, |d1956-  
DJ E-Z Rock, DJ QBert,|d1969-, DJ Sneak, DJ Tamara  
DJ Cary, DJ Envy, DJ Koze,|d1972-  
DJ Jazzy Jeff (RDA

Slick Rick |c (Musician), Magic Slim|c(Musician), Keb' Mo'|c(Musician)  
Timber Timbre|c(Musician)

  • But do accept LC names where a surname is represented by an initial and one or more other parts of the name are given in full, then record the initial that represents the surname as the first element (RDA, e.g.
G., Michael
A., Dominique,|d1968-
  • Performance names, e.g. African names for performing artists. African performers often assume a "performance name" which is then used alone or with their real name in various forms, e.g. Tabu Ley "Rochereau". If variant forms of name appear anywhere on a single item (e.g. Rochereau on label; Rochereau Tabu Ley on container), choose one form of name adding 400's for variant forms rather than establishing name authorities for each form of name.
  • Compound names:
  • When a person variously uses a compound name (with a hyphen) and a single name both beginning with the same name, use one name authority record choosing one form of name (the predominant name, if this can be determined) with a cross-reference for the variant form. E.g.,

Item 1: Joan Bradley  
Item 2: Joan Bradley-Smith  
Name auth.: 100 |a Bradley, Joan  
400 |a Bradley-Smith, Joan  
400|aSmith, Joan Bradley-

  • If a person variously uses a compound name (with a hyphen) and a single name which differ as to the initial element, establish two separate name authority records for that person with connecting see-also references. E.g.,

Item 1: Stephen Kovacevich  
Item 2: Stephen Bishop-Kovacevich  
Name auth.: 100 |aKovacevich, Stephen  
500 |a Bishop-Kovacevich, Stephen  
100 |a Bishop-Kovacevich, Stephen  
500 |a Kovacevich, Stephen

  • If a person variously uses a compound name (without a hyphen) and a single name which differ as to the initial element, establish two separate name authority records for that person with connecting see-also references. E.g.,

Item 1: Sebag Montefiore, Simon  
Item 2: Montefiore, Simon, 1965-  
Name auth.: 100 |a Sebag Montefiore, Simon, 1965-  
500 |a Montefiore, Simon, 1965-  
100 |a Montefiore, Simon, 1965-  
500 |a Sebag Montefiore, Simon, 1965-

  • Odd diacritic markings, hyphens, etc. may be introduced by layout artistry; a name authority should not include markings which are not necessary. E.g.,

Pla·ce·bo = Placebo (Musical group) [name included phonetic markings]  
A-cou-stix (acoustix in printed text) = Acoustix (Musical group)

  • Chinese names: When it cannot be determined which portion of the name is the surname (i.e. a single syllable surname cannot be identified), assume the order given on the item, regardless of origin of publication, is the Chinese direct order of surname first, forename last; E.g.,

T.p.: Wu Ying  
100: Wu, Ying  
400: Ying, Wu

  • Accept LAC names for corporate bodies that have been established with initialisms for the body within the name. E.g.,

110 |a Environmental Management Solutions (EMS) Inc.  
110 |a Laboratory Centre for Disease Control (LCDC) Expert Working Group

  • Names with nicknames: If a person consistently uses a nickname, establish the name with the nickname, e.g.,

100 |a McTell, Blind Willie  
400 |a DeJesus, Georgina “Gina”,|d1990-

Recording initials or letters
  • If separate letters or initials appear on the source of information without full stops between them, transcribe the letters without spaces between them in the 245 title statement
  • When creating a local authority: if written in capital letters an abbreviation is implied whether full stops or not; use periods and internal spaces for a personal name and periods and no spaces for a corporate name, e.g. Rowling, J. K., Wong, S. G., land, k. d. etc.
  • Include any typographic devices when they appear as part of multi-letter abbreviation of a name; leave a space after the full stop following the first initial RDA 8.5.6, e.g. H. D.; D. S., Master
  • If an initial representsa given name and the initial is followed by another initial or a name leave a space after the full stop following the first initial RDA, Rowling, J. K. ; Mrs. R. F. D.
  • If the nameconsists entirely or primarily of separate letters, leave a space between the letters (regardless of whether they are followed by full stops or not) General RDA guidelines and Identifying persons
  • If the name includes initials or abbreviations forming part of a title or term of address, leave a space between the initial or abbreviation and a subsequent initial, abbreviation, numeral or word e.g. DJ Q

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Revised: Feb. 9, 2022