DCM Z1: 008/33 Level of establishment
NARs:
Provisional (008/33 value c) records:
General:
Code an NAR as provisional (008/33 value c) if the authorized access point cannot be formulated satisfactorily because of inadequate information. If the necessary information later becomes available, re-evaluate the NAR and upgrade it to fully established (008/33 value a). In no case should a provisional-level authority record be created with an access point that conflicts with an existing NAR according to NACO normalization rules.
Special administrative regions of Hong Kong and Macau:
Because there is uncertainty about whether Hong Kong and Macau will continue to have two official languages, code all NARs for government bodies in these two places, at the level of the special administrative region and below, as provisional (008/33 value c), regardless of the language in which the authorized access point has been established. If a form in the second of the two official languages becomes available, add that form as a variant access point rather than revising the existing authorized access point. Consult RDA 11.2.2.5.2 and its related policy statement for instructions on choosing the language of the preferred name. Please note that this policy for provisional status does not apply to non-government bodies.
Additional information for PCC participants:
NACO participants may also create provisional records in the following two exceptional situations:
(1) If the contributing library does not have the language expertise to establish the authorized access point as a fully established authority record; this would include situations where the library lacked adequate reference sources for research or where the cataloger was not confident of the correct grammatical form for the access point.
(2) If the contributing library is unable, due to limited resources or other constraints, to complete related authority work or to determine the appropriate reference structure that is required for fully established authority records.
The Policy, Training, and Cooperative Programs Division (PTCP) is prepared to provide language expertise, etc., to NACO participants on request (coop@loc.gov), so that such records can be fully established at the time they are contributed.
BIBCO participants may not create provisional records in the two exceptional situations noted above for NACO participants if the NARs being contributed are in support of BIBCO bibliographic records, i.e., those records with "pcc" in the 042 field.
Preliminary (008/33 value d) records:
Preliminary authority records (008/33 value d) generally are the result of retrospective projects. LC catalogers are expected to upgrade NARs coded preliminary when using the access point on a bibliographic record. NACO catalogers are expected to routinely upgrade NARs coded preliminary when making other modifications to the record. Because of this maintenance requirement, NACO participants are asked to contact the Policy, Training, and Cooperative Programs Division (coop@loc.gov) before embarking on projects that may result in large numbers of NARs coded preliminary being added to the NACO Authority File.
As needed, catalogers may upgrade NARs coded preliminary when working with earlier/later corporate body records, even if the access points in the records being upgraded are not used in the local bibliographic database. Occasionally catalogers may need to create a new NAR without having an item in hand, e.g., for an earlier or later name heading using information from reference sources, or a heading based on information found in field 245 subfield c of bibliographic records when resolving NAR conflicts. Do not code these occasional NARs as "preliminary."
SARs:
LC series practice: As of June 1, 2006, LC does not create or update SARs.
PCC series practice: Transcription of the series statement is mandatory if applicable. Searching for series authority records, tracing the series, and the creation and maintenance of series authority records are optional.
Generally, series data elements should be viewed on the publication and series authority records should be coded a (full). In post-cataloging authority work it is permissible to create SARs without the piece in hand; these records are coded d (preliminary). When a publication in the series has been examined and the preliminary authority record reviewed and updated as necessary, upgrade the SAR to full level.
For more information on DCM Z1 Instructions, select: