   
IFLA Universal Bibliographic Control and International MARC Core Programme (UBCIM)
UNIMARC Manual : Bibliographic Format 1994
7-- Intellectual Responsibility Block
Definition and Scope of Block
This block contains names of persons and corporate bodies having some
form of intellectual responsibility for the creation of the item described.
Intellectual responsibility is defined broadly to include all persons,
corporate bodies or families associated with an item including publishers
when an access point is required. The following fields are defined:
Personal Names
700 Personal Name - Primary Intellectual Responsibility
701 Personal Name - Alternative Intellectual Responsibility
702 Personal Name - Secondary Intellectual Responsibility
Corporate Body and Meeting Names
710 Corporate Body Name - Primary Intellectual Responsibility
711 Corporate Body Name - Alternative Intellectual Responsibility
712 Corporate Body Name - Secondary Intellectual Responsibility
Family Names
720 Family Name - Primary Intellectual Responsibility
721 Family Name - Alternative Intellectual Responsibility
722 Family Name - Secondary Intellectual Responsibility
730
Name - Intellectual Responsibility
Notes on Field Contents
One person, corporate body or family may be selected as having primary
responsibility. In some cataloguing codes this is called the main entry.
Any other persons, corporate bodies or families having equal responsibility
are considered to have alternative responsibility. If a given cataloguing
code does not embody the concept of main entry, all persons, corporate
bodies and families having equal responsibility may be coded as if they
had alternative responsibility. Persons, corporate bodies or families having
tangential responsibility (e.g., editors, translators, illustrators, etc.)
may be coded as having secondary responsibility. If it is not possible
to determine any level of responsibility, all names should be coded as
alternative.
Main entry under title:
In records catalogued according to codes recognising the concept of
main entry, when no personal or corporate name has been specified as having
primary responsibility for an item, it can be assumed that main entry is
under title. Access points for persons or bodies associated with the item
are given in the alternative or secondary responsibility fields as appropriate.
For example, multiple authors, which preclude an author main entry under
some cataloguing codes, would each be considered as having alternative
responsibility; whereas the editor of a collection (which is entered under
title by some cataloguing codes) would be considered to have secondary
responsibility. When the main entry is under title, the main entry will
be found in field 500 if present, otherwise in field 200.
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700 PERSONAL NAME - PRIMARY INTELLECTUAL RESPONSIBILITY
Field Definition
This field contains the name of the person considered to have primary
intellectual responsibility for a work in an access point form, provided
that the record is created according to cataloguing rules recognising the
concept of main entry.
Occurrence
Not repeatable. It may not occur in the same record as field 710 CORPORATE
BODY NAME PRIMARY INTELLECTUAL RESPONSIBILITY or field 720 FAMILY - NAME
PRIMARY INTELLECTUAL RESPONSIBILITY, since a record can have only one access
point with primary intellectual responsibility. If the concept of main
entry does not exist in the cataloguing rules or the source format does
not distinguish it, this field does not occur: field 701 is used for all
personal headings (see Related Fields).
Indicators
Indicator 1: blank (not defined)
Indicator 2: Form of Name Indicator
This indicator specifies whether the name is entered under the first occurring
name (forename) or in direct order or whether it is entered under a surname,
family name, patronymic or equivalent, usually with inversion (EX 5).
0 Name entered under forename or direct order
1 Name entered under surname (family name, patronymic, etc.)
Subfields
$a Entry Element
The portion of the name used as the entry element in the heading; that
part of the name by which the name is entered in ordered lists. This subfield
must be present when the field is present. Not repeatable.
$b Part of Name Other than Entry Element
The remainder of the name, used when the entry element is a surname or
family name (EX 1-11, 14). It contains forenames and other given names.
The form of name indicator should be set to 1 when this subfield is used.
Printing expansions of initials should be entered in $g. Not repeatable.
$c Additions to Names Other than Dates
Any additions to names (other than dates) which do not form an integral
part of the name itself including titles, epithets or indications of office
(EX 6, 7, 8, 12, 15, 16). Repeatable for second or subsequent occurrences
of such additions (EX 8, 16).
$d Roman Numerals
Roman numerals associated with names of certain popes, royalty and ecclesiastics
(EX 12). If an epithet (or a further forename) is associated with the numeration,
this too should be included (EX 17). The form of name indicator should
be set to 0 when this subfield is used. Not repeatable.
$f Dates
The dates attached to personal names together with abbreviations or other
indications of the nature of the dates. Any indications of the type of
date (e.g., flourished, born, died) should be entered in the subfield in
full or abbreviated form (EX 15). All the dates for the person named in
the field should be entered in $f. Not repeatable.
$g Expansion of Initials of Forename
The full form of forenames when initials are recorded in subfield $b as
the preferred form and when both initials and the full form are required
(EX 2). Not repeatable.
$p Affiliation/address
This subfield contains the institutional affiliation of the individual
at the time the work was prepared (EX 18). Not repeatable.
$3 Authority Record Number
The control number for the authority record for the heading. This subfield
is for use with UNIMARC/Authorities (EX 3). Not repeatable.
$4 Relator Code
The code used to designate the relationship between the person named in
the field and the bibliographic item to which the record refers. The list
of codes is to be found in Appendix C. Repeatable.
Notes on Field Contents
Form:
The form of name which appears in the field is determined by the appropriate
cataloguing rules and/or authorities used by the agency responsible for
the preparation of the record. Dates may be entered according to different
calendars.
Selection of subfields:
It may not always appear obvious, when presented with a source record to be
converted to UNIMARC, which sub-elements of the name in a source format
correspond to which UNIMARC subfields. These notes are intended to give
general guidance but are not exhaustive. It is necessary to be aware
that names formed according to different cataloguing rules, or even
originating from different authority files based on the same rules will
not always interfile correctly in one sequence. Until standards are
established UNIMARC can provide only a framework for identifying the
distinct data elements.
One way of conceiving of the differences between Entry Element ($a),
Part of Name Other than Entry Element ($b), and Additions to Names Other
than Dates ($c) is by referring to their use. The first element, entry
element, is the word under which the entry would be formed in an ordered
list. The second element subdivides the list ordered by the first element.
The third element, Additions to Names Other than Dates, will either be
used as a third filing element, or may in some cases, especially when it
precedes the Part of Name Other than Entry Element, be ignored for ordering
purposes.
Where family names begin with a particle such as a preposition, it will
be placed at the start of subfield $a. If the name files under the next
element after the particle, the particle will usually be placed at the
end of the name. It is recommended that these particles be entered in subfield
$b Part of Name Other than Entry Element (EX 9, 10, 11).
Titles of address, epithets or qualifiers to names added by the cataloguer
should be entered as Additions to Names Other than Dates, subfield $c.
Punctuation:
There are no standards for punctuation in this field. However, it is
recommended that punctuation be retained where it is available in the source
format. In source formats where punctuation is not available, but is printed
out by an algorithm generated from the definition of the subfields, it
is recommended that the punctuation which would be used in display be included
in the UNIMARC record.
Because there are no standards for punctuation in this field, recipients
of records in the UNIMARC format will have to be aware of the practices
adopted by the agency preparing the record; therefore agencies distributing
records should attempt to be consistent in their own records. Details should
be included in the documentation accompanying exchange tapes (See Appendix
K).
Related Fields
200 $f, $g TITLE AND STATEMENT OF RESPONSIBILITY, First Statement of
Responsibility and Subsequent Statement of Responsibility.
Data in field 200 is recorded as it appears on the item. The name of the
person mentioned in $f or in some cases $g to whom is attributed primary
responsibility for the item (if any) will be entered in 700 in a form suitable
for an access point.
701 PERSONAL NAME ALTERNATIVE INTELLECTUAL RESPONSIBILITY
If there are further persons considered to have equal or alternative
responsibility to the person named in field 700, field 701 is used to record
the required access points for these. This will occur when documents are
written 'by Glenn L. Jenkins, Adelbert M. Knevel, Frank E. Di Gangi', or
in the provisions of certain cataloguing rules when complementary text
and illustrations, for example photographs and accompanying text are the
responsibility of different persons. One or other of the persons with equal
responsibility will be entered in field 700, the other(s) in 701, without
any implication that the ones entered in 701 fields have any less responsibility
for the item than the one entered in 700. Where the cataloguing rules do
not recognise 'main entry' primary personal responsibility, headings are
entered in field 701 and field 700 is not used.
702 PERSONAL NAME SECONDARY INTELLECTUAL RESPONSIBILITY
If there are persons considered to have less responsibility than the
person named in field 700 they should be entered in 702 fields.
Examples
EX 1
700 #l$aBenson,$bRowland S.
The name in access point form: Benson, Rowland S.
EX 2
700 #1$aLawrence$bD.H
700 #1$aLawrence$bDavid Herbert
700 #1$aLawrence$bD.H.$gDavid Herbert
The above examples illustrate different 700 fields for the same entity
that result from various agencies because of variations in the access point
form: Lawrence, D.H. or Lawrence, David Herbert or Lawrence, D.H. (David
Herbert).
The variations result from the application of different cataloguing
rules for headings. The third example above includes parentheses to distinguish
between the preferred form of the forenames and the full form.
EX 3
700 #1$aBridges-Webb,$bCharles$3014678
Charles Bridges-Webb (a hyphenated name) is entered under Bridges-Webb.
The authority file number in the system is 014678.
EX 4
700 #l$aDay Lewis,$bCecil
C. Day Lewis has a compound surname without a hyphen. The cataloguing code
enters the name as: Day Lewis, Cecil.
EX 5
700 #0$aMao Tse Tung
700 #l$aMao,$bTse Tung
Chinese names are in normal usage (outside cataloguing) written with the
family name first. This results in differing treatment among cataloguing
codes. Mao Tse-Tung (to use one possible rendering of the name into the
roman alphabet) may be entered according to some cataloguing codes as:
Mao Tse-Tung; according to others as Mao, Tse-Tung. This is because some
codes feel that the punctuation, in this case a separating comma ',' represents
the division between family name and given names while others feel that
a comma denotes inversion from the usual form and omit it here since no
inversion has been required.
Note that when the name is entered in direct order, i.e. under the name
which comes first, and the whole of the name is entered in the same subfield,
the second indicator, Form of Name Indicator, is set to 0. However, if
the first element is regarded as a surname by analogy with Western treatment
of surnames, then the second indicator is set to 1.
EX 6
700 #1$aStanhope,$cLady$bHester
An author has a title which comes before the given names according to the
cataloguing code used. The order of subfields is retained, as always in
UNIMARC.
EX 7
700 #1$aParker,$bTheodore$c(Spirit)
The cataloguing code of the source format stipulates that epithets be used
under certain circumstances:
Parker, Theodore (Spirit).
EX 8
700 #1$aArundel,$bPhilip Howard,$cEarl of,$cSaint
An individual has two separate titles; they are entered in separate subfields.
According to the cataloguing code used, 'Arundel' is the entry element.
EX 9
700 #1$aBergh,$bGeorge van der
Entry in catalogue: Bergh, George van der. Depending on the prefix, names
are sometimes entered under the prefix, at other times not.
EX 10
700 #1$aLa Fontaine Verwey$bHerman de
Entry in catalogue: La Fontaine Verwey, Herman de
EX 11
700 #1$aDu Perron,$bE.
Entry in catalogue: Du Perron, E.
EX 12
700 #0$aVittorio Emmanuele$dII,$cre d'Italia
Monarchs are entered under their given names in the majority of cataloguing
rules.
EX 13
700 #0$aPan Painter
700 #0$aJackie
Pseudonyms sometimes consist of a phrase or other appellation that does
not contain a real name and are then usually entered in direct order.
EX 14
700 #1$aOrwell,$bGeorge
700 #1$aOther,$bA.N.
Pseudonyms having the appearance of a forename, forenames or initials,
and a surname are according to most cataloguing codes entered under the
pseudo-surname.
EX 15
700 #0$aJoannes,$cDiaconus,$ffl.1226-1240
An example of the name of a medieval person consisting only of a given
name. An epithet and date are added.
EX 16
700 #0$aAlexandra,$cEmpress,$cConsort of Nicholas II, Emperor of Russia
Two epithets are separately identified in the source format. This distinction
should be carried over into UNIMARC.
EX 17
700 #0$aJohn$dII Comnenus,$cEmperor of the East
EX 18
700 #1$aBrown$bB.F.$pChemistry Dept., Harvard University
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701 PERSONAL NAME - ALTERNATIVE INTELLECTUAL RESPONSIBILITY
Field Definition
This field contains the name of a person considered to have alternative
intellectual responsibility for a work, in access point form. If the record
is created according to cataloguing rules which do not recognise the concept
of main entry or the source format does not separately identify main entry,
all personal names to be used as access points will be entered in Field
701.
Occurrence
Optional. Repeatable.
Indicators
Indicators are as for field 700.
Subfields
Subfields are as for field 700.
Notes on Field Contents
The same guidelines apply as for field 700.
Related Fields
200 $f TITLE AND STATEMENT OF RESPONSIBILITY, First Statement of Responsibility
Data in field 200 is recorded as it appears on the item. When there are
two or three names in the first statement of responsibility, subsequent
names after the first will often be names of persons with alternative intellectual
responsibility and will be entered in field 701 in access point form.
700 PERSONAL NAME - PRIMARY INTELLECTUAL RESPONSIBILITY
When field 701 is used strictly for names of persons having alternative
intellectual responsibility, field 700 (or rarely 710) must be present.
If field 701 is used because the cataloguing rules do not recognise the
concept of main entry, then field 700 will not be present.
702 PERSONAL NAME - SECONDARY INTELLECTUAL RESPONSIBILITY
When there are persons considered to have less responsibility than
the persons named in fields 700 and 701, they should be entered in field
702.
Examples
The form of the data in the examples under field 700 applies equally
here.
EX 1
700 #1$aNewton,$bClive R. (Primary)
701 #1$aParker,$bR.S (Alternative)
The above is an example including an instance of a person with alternative
intellectual responsibility. The statement of responsibility on the title
page is 'by Clive R. Newton and Robert S. Parker'. The established form
for Robert S. Parker is Parker, R.S.
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702 PERSONAL NAME - SECONDARY INTELLECTUAL RESPONSIBILITY
Field Definition
This field contains the name of a person considered to have secondary
intellectual responsibility for a work, in access point form.
Occurrence
Repeatable. In the majority of cataloguing codes, the existence of a
person with secondary responsibility does not necessarily imply the existence
of a person with primary responsibility in the record. Therefore field
702 can be present without a field 700, 710 or 720.
Indicators
Indicators are as for field 700.
Subfields
Subfields are as for field 700 with the following exception.
$5 Institution to Which Field Applies
Name of institution to which field applies in coded form. Since there are
no internationally accepted codes, the codes from USMARC Code List for
Organizations, which includes codes for many non-U.S. library agencies,
are recommended. Otherwise, the full name of the agency or a national code
may be used. If the institution holds more than one copy the subfield should
also contain the shelfmark after a colon. Not repeatable.
Notes on Field Contents
The same guidelines apply as for field 700.
The field is used, where applicable for printers, publishers, former
owners and other connected with the production or history of particular
volumes.
Subfield $5, code of the Institution to Which Field Applies is used
only when the physical characteristics are peculiar to an individual copy.
It is generally used for older monographic publications (antiquarian).
Related Fields
200 $f, $g TITLE AND STATEMENT OF RESPONSIBILITY, First Statement of
Responsibility and Subsequent Statement of Responsibility
Data in field 200 is recorded as it appears on the item. The name of the
person mentioned in $f or in $g to whom is attributed secondary responsibility
for the item (if any) will be entered in Field 702 in access point form.
700 PERSONAL NAME - PRIMARY INTELLECTUAL RESPONSIBILITY
The name of the first person mentioned in the title page with primary
intellectual responsibility should be entered in the 700 field. Names of
persons with secondary intellectual responsibility are entered in 702.
701 PERSONAL NAME - ALTERNATIVE INTELLECTUAL RESPONSIBILITY
Alternative means a second or further instance of primary responsibility.
However, if the record is catalogued according to rules which do not recognise
the concept of main entry or the source format does not make the distinction,
all personal names should be entered in field 701.
Examples
The form of the data in the examples under field 700 applies equally
here.
EX 1
702 #1$aIrvin$bThomas Francis$4440
The name of a person with secondary intellectual responsibility including
a relator code that he is an illustrator.
EX 2
702 #1$aCunningham$bArthur$4110$5Uk: X.200/175
Binder of a British Library copy, pressmark X.200/175.
EX 3
702 #1$aSkrlec$bNikola$4390$5CiZaNSB: L III H13
702 #1$aKusevic$bJosip$4390$5CiZaNSB: L III H13
Book with book-plate by Nikola Skrlec (a former owner) is part of the
Kusevic's Library now stored in the National and University Library,
Zagreb.
EX 4
317 ##$aRukopisni ex libris: 'Velimir Gaj 1873'. Iz knjiznice Ljudevita
Gaja$5CiZaNSB IIC-8º -75
702 #1$aGaj$bVelimir$4390$5CiZaNSB: IIC-8º -75
702 #1$aGaj$bLjudevit$4390$5CiZaNSB: IIC-8º -75
Velimir Gaj inherited his father's, Ljudevit Gaj's, Library which he later
sold to the present owner, National and University Library, Zagreb. The
Library is known after his father's name.
A further example of the use of this field appears as EX 5 of the 317 field.
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710 CORPORATE BODY NAME - PRIMARY INTELLECTUAL RESPONSIBILITY
Field Definition
This field contains the name of the corporate body considered to have
primary intellectual responsibility for a work, in access point form, provided
that the record is created according to cataloguing rules recognising the
concept of main entry and the source format separately identifies the main
entry.
Occurrence
Not repeatable. It may not occur in the same record as a 700 field PERSONAL
NAME - PRIMARY INTELLECTUAL RESPONSIBILITY or a 720 field FAMILY NAME -
PRIMARY INTELLECTUAL RESPONSIBILITY, since a record can have only one access
point with primary intellectual responsibility. If the concept of main
entry does not exist in the cataloguing rules, or the source format does
not distinguish it, this field does not occur: field 711 is used for all
corporate body name headings (see Related Fields).
Indicators
Indicator 1: Meeting Indicator
The first indicator specifies whether the corporate body is a meeting or
not. Meetings include conferences, symposia, etc. If the name of the meeting
is a subdivision of the name of a corporate body, the name is regarded
as that of a corporate body (EX 13)
0 Corporate name
1 Meeting
If the source format does not distinguish meeting names from other corporate
names, the indicator position should contain the fill character.
Indicator 2: Form of Name Indicator
The second indicator denotes the form of the corporate name as follows:
0 Name in inverted form
An inverted form may be used when the first word of a corporate name or
meeting begins with an initial or forename relating to a personal name
(EX 9, 10, 14).
1 Name entered under place or jurisdiction
Used for corporate names relating to governments or other agencies of jurisdiction
that are entered under the name of the place (EX 3, 5, 6, 7, 17). According
to certain cataloguing codes other kinds of institutions associated with
a place are also entered under that place, e.g. universities, learned societies,
art galleries (EX 15).
2 Name entered under name in direct order
Used for all other kinds of corporate names.
Subfields
$a Entry Element
The portion of the name used as the entry element in the heading; that
part of the name by which the name is entered in ordered lists, i.e. the
part of the name up to the first filing boundary. This subfield is must
be present if the field is present. Not repeatable.
$b Subdivision
The name of a lower level in a hierarchy when the name includes a hierarchy;
or the name of the corporate body when it is entered under place (EX 2-6,
13, 15). This subfield excludes any additions to the name added by the
cataloguer to distinguish it from other institutions of the same name (see
$c, $g, $h). Repeatable if there is more than one lower level in the hierarchy
(EX 3, 4, 5).
$c Addition to Name or Qualifier
Any addition to the name of the corporate body added by the cataloguer,
other than number, place and date of conference. Repeatable. (EX 69,11,16).
$d Number of Meeting and/or Number of Part of Meeting
The number of a meeting when the meeting belongs to a numbered series.
Not repeatable. (EX 12-14)
$e Location of Meeting
The place where a meeting was held when it is required as part of the heading.
Not repeatable. (EX 11-14)
$f Date of Meeting
The date of a meeting when it is required as part of the heading. Not repeatable.
(EX 11-14)
$g Inverted Element
Any part of the name of the corporate body which is removed from the beginning
of the name in order to enter the body under a word which is more likely
to be sought. Not repeatable. (EX 9, 10, 14)
$h Part of Name Other than Entry Element and Inverted Element
In a heading with inverted element, the part of the name following the
inversion. Not repeatable (EX 9, 10, 14).
$p Affiliation/address
This subfield contains the address of the corporate body (EX 17). Not repeatable.
$3 Authority Record Number
The control number for the authority record for the heading. This subfield
is for use with UNIMARC/Authorities (EX 12). Not repeatable.
$4 Relator Code
Used to designate the relationship between the corporate body named in
the field and the item to which the record refers. A list of codes is to
be found in Appendix C. Repeatable.
Notes on Field Contents
Form:
The form of the name which appears in this field is determined by the
appropriate cataloguing rules and/or authorities used by the agency responsible
for the preparation of the record.
It may not always appear obvious, when presented with a source record
to be converted to UNIMARC, which sub-elements of the name in a source
format correspond to which UNIMARC subfields. These notes are intended
to give general guidance but are not exhaustive. It is necessary to be
aware that names formed according to different cataloguing rules or even
originating from different authority files based on the same rules will
not always inter-file correctly in one sequence. Until further standards
are established UNIMARC can provide only a framework for identifying the
distinct data elements.
Corporate names are problematic since many corporate bodies do not have
a precise name which remains constant. Furthermore individual cataloguing
rules formalise the names in different ways and therefore use different
kinds of data elements.
Inverted data:
One type of name which often presents difficulties is a corporate name
formed from a personal name, e.g., W. H. Smith & Sons Ltd, J. F. Kennedy
Center, Winston Churchill Memorial Centre. Some cataloguing codes stipulate
that these should be entered in direct order in subfield $a; other rules
require that the names be treated as a personal name and inverted hence
coded in subfields $g and $h. UNIMARC accommodates both possibilities (EX
9, 10, 14).
Entry under place:
Names of governments at all levels, e.g. national, provincial, and local,
are formalisations of a different kind. Many such bodies have long formal
names, but the practice of cataloguing codes is generally to take a short
name of the place, e.g., France, Australia, rather than the formal name
(Republic of France, Commonwealth of Australia) (EX 7). Subordinate governmental
bodies are often prefixed with the name of the government (EX 5, 6). Cataloguing
rules vary as to whether bodies under government control but without legislative
or executive power, such as national museums, are entered under the name
of the government or under their own names. If entered under their own
name, e.g., Civic Museum, they may need a qualification to distinguish
between other organisations of the same name in other places. Some cataloguing
rules have a further category of organisation entered under name of place:
bodies like universities, learned societies etc. which are specifically
attached to a place and tend to have the place name as part of their name;
these may formalised in such a way as to bring the name of the place to
the fore (EX 15). The remainder of the name will be stripped of connecting
prepositions; thus it is not strictly an inversion.
Qualifications:
Guidance may be required on what elements are to be considered qualifications
and hence are to be entered in subfield $c. This may be a place added in
order to distinguish the body from others of the same name, e.g., Liberal
Party (Australia). It may be a statement of type of body to distinguish
it from a different type of body with the same name, e.g. Gibraltar (Diocese)
to distinguish it from the colony, and New York (State) to distinguish
it from the city. A third kind of addition consists of a term added to
a name to convey that it is a corporate body, e.g., Eagles (Rugby club),
Ecologica (Firm), HVJ (Radio station) (EX 16). Usually cataloguing rules
prescribe that the qualification be added in parentheses as in the examples
above.
Formalised additions to names of meetings:
There are no universally accepted standards for the data elements 'Number',
'Location' and 'Date of meeting'. Numbers may be in Arabic or roman numerals,
place names may be entered according to the language of the record, or
the language on the original (EX 11-14). The date may be entered in any
form, although for an exchange record, if month and day are required in
the heading, the date in international standard format (e.g., '19831101',
for 1 November 1983) is recommended as it can easily be converted into
any language if desired.
Punctuation
There are no standards for punctuation in this field. It is recommended
that punctuation be retained where it is available in the source format.
In source formats where punctuation is not available, but is printed out
by an algorithm generated from the definition of the subfields, it is recommended
that the punctuation which would be used in display be included in the
UNIMARC record. This includes parentheses which occur at the beginning
and end of one or a group of subfields.
Because there are no standards for punctuation in this field, recipients
of records in the UNIMARC format will have to be aware of the practices
adopted by the agency preparing the record. Agencies distributing records
should attempt to be consistent in their own records. Details should be
included in the documentation accompanying exchange tapes (See Appendix
K).
Related Fields
200 $f, $g TITLE AND STATEMENT OF RESPONSIBILITY, First Statement of
Responsibility and Subsequent Statement of Responsibility
Data in Field 200 is recorded as it appears on the item. The name of the
corporate body mentioned in $f or, rarely, in $g, to which is attributed
primary responsibility for the item, if any, will be entered in field 710
in access point form.
711 CORPORATE BODY NAME - ALTERNATIVE INTELLECTUAL RESPONSIBILITY
A corporate body may have alternative intellectual responsibility to
either a person, body or family named in fields 700, 710 or 720. In this
case field 711 is used since there may be no more than one occurrence altogether
in a record of fields 700 and 720.
712 CORPORATE BODY NAME - SECONDARY INTELLECTUAL RESPONSIBILITY
A corporate name may have secondary intellectual responsibility, in
which case it will be entered in field 712.
Examples
EX 1
710 02$aLight Railway Transport League
Unnamed members of an organisation called The Light Railway Transport League
wrote a book entitled Johannesburg tramways, and, according to the
cataloguing rules, the organisation has primary intellectual responsibility
for the work. The cataloguing code used generally stipulates the removal
of initial articles from all corporate body headings.
EX 2
710 02$aBell and Howell.$bMicro Photo Division
A division within the organisation Bell and Howell is entitled Micro Photo
Division.
EX 3
710 02$aUnited States.$bFarm Credit Administration.$bPublic Affairs Division.
The division responsible for the document is a subordinate body of a subordinate
body.
EX 4
710 02$aAslib.$bComputer Applications Group.$bAcquisition, Cataloguing
and Circulation Working Party
A working party of a group which is responsible to an organisation requires
three levels.
EX 5
710 01$aNew South Wales.$bDepartment of Education.$bDivision of Research
and Planning
A government body preceded by the name of the state (province) in the form
specified in the cataloguing code.
EX 6
710 01$aEssex$c(County).$bAdvisory Unit for Computer Education
A local government body has a qualification indicating the level of government
of the body.
EX 7
710 01$aGermany.$c(Democratic Republic)
Certain cataloguing codes prescribe qualifiers for names of countries where
ambiguity might arise.
EX 8
710 02$aNational Conference of Catholic Bishops$c(United States)
A qualifier consisting of place name may be entered in order to distinguish
between organisations of the same name in different countries.
EX 9
710 02$aHugh Wilson and Lewis Womersley$c(Firm)
710 00$aWilson$g(Hugh)$hand Lewis Womersley$c(Firm)
The above give examples of both direct order and indirect order for corporate
names. Certain cataloguing codes invert the names of corporate bodies which
begin with the name of a person. The part of the name which is placed after
the 'surname' element is entered in $g and the rest of the name of the
body which followed the 'surname' in direct order is entered in $h.
EX 10
710 02$aE.A. Gibson Shipbrokers
710 00$aGibson$g(E.A.)$hShipbrokers
Another example of both direct and indirect order.
EX 11
710 12$aNASECODE II$c(Conference)$f(1981 :$eTrinity College, Dublin)
Names of conferences are entered as headings in a formalised form. On the
title page: 'proceedings of the NASECODE II conference held at Trinity
College Dublin from 17th to 19th June 1981'. Conference is added as a qualifier
to explain the term NASECODE II. The subfields are entered in the order
required by the cataloguing rules. First indicator is set to 1.
EX 12
710 12$3CRNO4586$aWorld Airports Conference,$d5th,$eLondon,$f1976
When the conference has a number which is not part of the name (compare
EX 11 above), it may be included as part of the formalised heading.
An authority record number is present.
EX 13
710 02$aReading University Agricultural Club$bAnnual Conference$d(11th
:$f1977 :$eUniversity of Reading)
If a conference is closely associated with a corporate body, many cataloguing
codes stipulate that it be entered as a subordinate body to that corporate
body, and therefore indicator position 1 is 0.
EX 14
710 10$aRichards$g(A.N.)$hSymposium $d(17th :$f1975 : $eKing of Prussia,
Pa.)
710 12$aA.N. Richards Symposium$d(17th :$f1975 :$eKing of Prussia, Pa.)
Where the name of a conference begins with a personal name it may be formulated
in the same way as in EX 9 and 10. The above shows two ways of entering
a conference that begins with a personal name. The name may be inverted
or not, according to the cataloguing rules followed.
EX 15
710 01$aCalifornia.$bUniversity
A university entered under its place.
EX 16
710 02$aMaria Teresa$c(Ship)
The name of a ship with a qualification in order to convey that it is a
corporate body.
EX 17
710 01$aUnited States.$bNational Technical Information Service.$p5202 Port
Royal Road,
Springfield, VA 22161
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711 CORPORATE BODY NAME - ALTERNATIVE INTELLECTUAL RESPONSIBILITY
Field Definition
This field contains the name of a corporate body considered to have
alternative intellectual responsibility for a work in access point form.
If the record is created according to cataloguing rules which do not recognise
the concept of main entry or the source format does not separately identify
main entry, all corporate names to be used as access points will be contained
in field 711.
Occurrence
Repeatable.
Indicators
Indicators are as for field 710.
Subfields
Subfields are as for field 710.
Notes on Field Contents
The same guidelines apply as for field 710.
Related Fields
200 $f TITLE AND STATEMENT OF RESPONSIBILITY, First Statement of Responsibility
Data in field 200 is recorded as it appears on the item. If there are two
or three names in the first statement of responsibility, subsequent names
after the first will often be names with alternative intellectual responsibility
and, if the name of a corporate body, will be entered in field 711 in access
point form.
710 CORPORATE BODY NAME - PRIMARY INTELLECTUAL RESPONSIBILITY
If field 711 is used strictly for names of corporate bodies of alternative
intellectual responsibility, field 710 (or 700) must be present. If field
711 is used because the cataloguing rules do not recognise the concept
of main entry or the source format does not distinguish it, then field
710 will not be present.
712 CORPORATE BODY NAME - SECONDARY INTELLECTUAL RESPONSIBILITY
If there are corporate bodies considered to have less responsibility
than the corporate bodies named in fields 710 and 711, they should be entered
in field 712.
Examples
The form of the data in the examples under field 710 applies equally
here.
EX 1
710 01$aPennsylvania.$bState University.$bDept. of Agricultural Economics
and Rural Sociology
711 01$aPennsylvania.$bAgricultural Experiment Station, University Park
The corporate bodies have joint responsibility for a serial. The name appearing
second is coded as alternative.
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712 CORPORATE BODY NAME - SECONDARY INTELLECTUAL RESPONSIBILITY
Field Definition
This field contains the name of a corporate body considered to have
secondary intellectual responsibility for a work, in access point form.
Occurrence
Repeatable.
Indicators
Indicators are as for field 710.
Subfields
Subfields are as for field 710 with the following exception.
$5 Institution to Which Field Applies
Name of institution to which field applies in coded form. Since there are
no internationally accepted codes, the codes from USMARC Code List for
Organizations, which includes codes for many non-U.S. library agencies,
are recommended. Otherwise, the full name of the agency or a national code
may be used. If the institution holds more than one copy the subfield should
also contain the shelfmark after a colon. Not repeatable.
Notes on Field Contents
The same guidelines apply as for field 710.
The field is used, where applicable for printers, publishers, former
owners and others connected with the production or history of particular
volumes.
Subfield $5, code of the Institution to which Field Applies is used
only when the physical characteristics are peculiar to an individual copy.
It is generally used for older monographic publications (antiquarian).
Related Fields
200 $f, $g TITLE AND STATEMENT OF RESPONSIBILITY, First Statement of
Responsibility, and Subsequent Statement of Responsibility
Data in field 200 is recorded as it appears on the item. The name of the
corporate body mentioned in $f or in $g to which is attributed secondary
responsibility for the item (if any) will be entered in field 712 in access
point form.
710 CORPORATE BODY NAME - PRIMARY INTELLECTUAL RESPONSIBILITY
The name of the first corporate body mentioned in the title page with
primary intellectual responsibility should be entered in field 710. Names
of corporate bodies with secondary intellectual responsibility are entered
in 712. In the majority of cataloguing rules, it is possible for a body
to have secondary responsibility without any body with primary responsibility
being present in the record. Therefore field 712 can be present without
a field 700, 710, or 720.
711 CORPORATE BODY NAME - ALTERNATIVE INTELLECTUAL RESPONSIBILITY
Alternative means a second or further instance of primary responsibility.
However, if the record is catalogued according to rules which do not recognise
the concept of main entry or the source format does not separately identify
it, all corporate names should be entered in field 711.
Examples
The form of the data in the examples under field 710 applies equally
here. Below are given examples of a corporate body with secondary responsibility.
EX 1
712 02$aIEA Coal Research
On title page: Coal research projects, United Kingdom, London, IEA Coal
Research. IEA Coal Research is given as publisher, but clearly has a certain
degree of intellectual responsibility for the item.
EX 2
712 02$aNacionalna i sveucilisna biblioteka$bKnjigoveznica$5CiZaNSB:
R IV-4º -5b
This copy of J. W. Valvasor's Crain, 1689 was rebound in the Binding
Department of the National and University Library, Zagreb, on 23/05/91.
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720 FAMILY NAME - PRIMARY INTELLECTUAL RESPONSIBILITY
Field Definition
This field contains the name of a family considered to have primary
intellectual responsibility for a work, in access point form, provided
that the record is created according to cataloguing rules recognising the
concept of main entry, and the source format separately identifies the
main entry.
Occurrence
Not repeatable. It may not occur in the same record as a 700 field PERSONAL
NAME PRIMARY INTELLECTUAL RESPONSIBILITY or a 710 field CORPORATE BODY
NAME PRIMARY INTELLECTUAL RESPONSIBILITY, since a record can have only
one access point with primary intellectual responsibility. If the concept
of main entry does not exist in the cataloguing rules, or the source format
does not make the distinction, this field does not occur: field 721 is
used for all family name headings (see Related Fields).
Indicators
Indicator 1: blank (not defined)
Indicator 2: blank (not defined)
Subfields
$a Entry Element
The family name in access point form. Not repeatable.
$f Dates
The dates of a family when they are required as part of the heading. Not
repeatable. (EX 3).
$3 Authority Record Number
The control number for the authority record for the heading. This subfield
is for use with UNIMARC/Authorities. Not repeatable.
$4 Relator Code
The code used to designate the relationship between the family named in
the field and the bibliographic item to which the record refers. The list
of codes is to be found in Appendix C. Repeatable.
Notes on Field Contents
The form of name which appears in the field is determined by the appropriate
cataloguing rules and/or authorities used by the agency responsible for
the preparation of the record.
All data forming the heading itself (except dates) is entered in $a;
any qualification must be entered in parentheses to indicate it is not
part of the name itself.
Punctuation:
There are no standards for punctuation in this field. However, it is
recommended that punctuation be retained where it is available in the source
format. If the source format uses additional subfields it is recommended
that punctuation be printed out by an algorithm generated from the definition
of the additional subfields. Because there are no standards for punctuation
in this field, recipients of records in the UNIMARC format will have to
be aware of the practices adopted by the agency preparing the record. Agencies
distributing records should attempt to be consistent in their own records.
Related Fields
200 $f, $g TITLE AND STATEMENT OF RESPONSIBILITY, First Statement of
Responsibility, and Subsequent Statement of Responsibility
Data in field 200 is recorded as it appears on the item. The name of the
family mentioned in $f, or rarely in $g, to whom is attributed primary
responsibility for the item (if any) will be entered in 720 in access point
form.
721 FAMILY NAME - ALTERNATIVE INTELLECTUAL RESPONSIBILITY
A family may have alternative intellectual responsibility in similar
circumstances to a corporate body. The field should be used in all cases
if a source record does not distinguish between primary and secondary responsibility
for families.
722 FAMILY NAME - SECONDARY INTELLECTUAL RESPONSIBILITY
A family may be regarded as having secondary intellectual responsibility,
in the same way as a corporate body (see Field 712).
Examples
EX 1
720 ##$aCecil (family)
EX 2
720 ##$aBuchanan (clan)
EX 3
720 ##$aShah dynasty,$f1768-
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721 FAMILY NAME - ALTERNATIVE INTELLECTUAL RESPONSIBILITY
Field Definition
This field contains the name of a family considered to have alternative
intellectual responsibility for a work, in access point form; if the record
is created according to cataloguing rules which do not recognise the concept
of the main entry, or the source format does not separately identify main
entry all family names in a form suitable for an access point will be contained
in field 721.
Occurrence
Repeatable.
Indicators
Indicators are as for field 720.
Subfields
Subfields are as for field 720.
Notes on Field Contents
The same guidelines apply as for field 720.
Related Fields
200 $f TITLE AND STATEMENT OF RESPONSIBILITY, First Statement of Responsibility
Data in field 200 is recorded as it appears on the item. If there are two
or three names in the first statement of responsibility, subsequent names
after the first will often be names with alternative intellectual responsibility.
720 FAMILY NAME - PRIMARY INTELLECTUAL RESPONSIBILITY
If field 721 is used for names of families of alternative intellectual
responsibility, field 720 (or rarely 710 or 700) must be present. If field
721 is used because the cataloguing rules do not recognise the concept
of main entry, or the source format does not distinguish it, then field
720 will not be present.
722 FAMILY NAME - SECONDARY INTELLECTUAL RESPONSIBILITY
If there are families considered to have less responsibility than persons
or entities in fields 700, 701, 710, 711, 720, 721, they should be entered
in field 722.
Examples
The form of the data in the examples under field 720 applies equally
here.
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722 FAMILY NAME - SECONDARY INTELLECTUAL RESPONSIBILITY
Field Definition
This field contains the name of a family considered to have secondary
intellectual responsibility for a work, in a form suitable for an access
point.
Occurrence
Repeatable.
Indicators
Indicators are as for field 720.
Subfields
Subfields are as for field 720 with the following exception.
$5 Institution to Which Field Applies
Name of institution to which field applies in coded form. Since there
are no internationally accepted codes, the codes from USMARC Code
List for Organizations, which includes codes for many non-U.S. library
agencies, are recommended. Otherwise, the full name of the agency or
a national code may be used. If the institution holds more than one
copy the subfield should also contain the shelfmark after a colon. Not
repeatable.
Notes on Field Contents
The same guidelines apply as for field 720.
Subfield $5, code of the Institution to Which Field Applies is used
only when the added entry/ies are peculiar to an individual copy. It
is generally used for older monograph publications (antiquarian).
Related Fields
200 $f, $g TITLE AND STATEMENT OF RESPONSIBILITY, First Statement of
Responsibility, and Subsequent Statement of Responsibility
Data in field 200 is recorded as it appears on the item. The name of the
family mentioned in $f or in $g to whom is attributed secondary responsibility
for the item (if any) will be entered in field 722 in access point form.
720 FAMILY NAME - PRIMARY INTELLECTUAL RESPONSIBILITY
The name of the first family mentioned in the title page with primary
intellectual responsibility should be entered in field 720. Names of families
with secondary intellectual responsibility are entered in 722.
721 FAMILY NAME - ALTERNATIVE INTELLECTUAL RESPONSIBILITY
Alternative means a second or further instance of primary responsibility.
However, if the record is catalogued according to rules which do not recognise
the concept of main entry, or the source format does not separately identify
it, all family names should be entered in field 721.
Examples
The form of the data in the examples under field 720 applies equally
here.
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730 NAME - INTELLECTUAL RESPONSIBILITY
Field Definition
This field contains in unstructured form the name of an entity considered
to have intellectual responsibility for a work. The name does not follow
cataloguing rules.
Occurrence
This field should be used only when other 7-- fields are unsuitable.
Repeatable.
Indicators
Indicator 1: Form of Name Indicator
This indicator specifies whether the type of name has been determined
or not.
0 Type of name cannot be determined
1 Personal name
2 Not a personal name
Indicator 2: blank (not defined)
Subfields
$a Entry Element
The name used as the entry element in the heading. Not repeatable.
$4 Relator Code
The code used to designate the relationship between the entity named
in the field and the bibliographic item to which the record refers.
The list of codes is to be found in Appendix C. Repeatable.
Examples:
EX1
<META NAME="DC.Creator" CONTENT="Derek Weselak">
730.0#$aDerek Weselak$4070
The record was converted from a Dublin Core entry which makes no distinction
between personal authors and others. "Creator" has the sense
of primary responsibility for the item so the relator code for "author"
is added.
EX2
<META NAME=DC.Creator.Organization" CONTENT="Information
Systems, British Library">
730.2#$aInformation Systems, British Library$4070.
EX3
<META NAME="DC.Creator.Personal" CONTENT="Weselak,
Derek">
700.#1$tWeselak$bDerek
CONTENT takes the form "term comma term" and the NAME is "Creator.Personal".
The name can with some confidence be assigned to a more specific 7--
field by the use of computer algorithms.
EX4
<META NAME="DC.Contributor" CONTENT="Derek Weselak">
730.0#$aDerek Weselak
The record was converted from a Dublin Core entry which makes no distinction
between personal authors and others. "Contributor" has the
sense of any responsibility for the item other than primary responsibility,
eg illustrator, sponsor, so no relator code can be added.
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