DCM Z1:  008/33  Level of establishment


NACO participants and provisional (008/33 value "c") records:

In addition to the basic condition for coding an authority record provisional (value "c"), i.e., that the heading cannot be formulated satisfactorily because of inadequate information, NACO participants may create provisional records in the following exceptional situations:

(1)  If the contributing library does not have the language expertise to establish the heading 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 of heading.

(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 headings.

In no case will NACO participants create provisional authority records for headings that conflict (including normalization) with already established headings.  The Cooperative Cataloging Team is prepared to provide language expertise, etc., to NACO participants on request, so that such headings and references can be fully established at the time they are contributed.

Questions about provisional authority records contributed by NACO participants should be referred to the Cooperative Cataloging Team, who may refer them to the appropriate subject team.

BIBCO participants and provisional records:

BIBCO participants may not create provisional records in the two exceptional situations noted above for NACO participants if the NARs being contributed by BIBCO libraries are in support of their BIBCO bibliographic records, i.e., those records with "pcc" in 042.

LC/NACO participants and 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 heading on a bibliographic record.  PCC 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 Cooperative Cataloging Team 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 headings although the heading(s) being upgraded is not used in the local bibliographic database.  Occasionally catalogers may need to create a new heading(s) 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."


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:

DCM Z1:  Introduction