Name Authorities: RDA, Corporate Names

Notes

For corporate bodies that are coded as places, i.e. 151, see: Name Authorities: RDA, Places. These include jurisdictions (countries, states, counties, cities, towns, etc.) and other geographic names, such as water, sanitation, utility, conservation, soil, recreation, park, and ranger districts, and active military installations, city sections, and U.S. Indian tribes as legal entities.

For procedures relating to research, name changes, etc. of corporate bodies, see: Name Authorities: General Procedures.

For broader guidelines pertaining to MARC fields in general in authority records, see: Name Authorities: General Field Specific Guidelines, and: Name Authorities: RDA, General Policies.

Sources to Consult

Use this section in conjunction with the following sources, most of which are available in Cataloger’s Desktop:

• RDA, chapters 8, 11
• LC-PCC PS (Library of Congress-Program for Cooperative Cataloging Policy Statements), chapters 8, 11
• DCM Z1 (Library of Congress’ Descriptive Cataloging Manual, section Z1, Name and Series Authority Records): relevant fields, including field 046 (Always consult and follow, unless instructed otherwise.)
• MARC 21 Format for Authority Data (relevant fields, including field 046)
• LC Guidelines
• PCC document: "MARC 21 Encoding to Accommodate New RDA Elements 046 and 3XX in NARs and SARs
• NACO home page (includes: documentation & updates, cataloging FAQs, and training)
• PCC Post RDA Implementation Guidelines and Standards home page
• NACO Normalization
• RDA in NACO Training, PCC
• Guidelines on Using Relationship Designators in NACO Authority Records.Note: This document is only a draft that was posted for comment in 2014; it is not official. Until official guidelines are issued, GPO will follow most, but not all of the guidelines in this unofficial document.
• RDA Record Examples (the Authority Records set includes a few corporate bodies)
• RDA Refreshers (includes some training material on corporate bodies)
• 1/15/2015 Advanced Name Authority Records: Corporate Bodies [Part 1], by Marty Bokow. Required for all staff performing NACO work. Handout and slide presentation (in box at top right) are part of this webinar.
• 1/29/2015 Advanced Name Authority Records: Corporate Bodies, Part 2, by Marty Bokow. Required for all staff performing NACO work. Handout and slide presentation (in box at top right) are part of this webinar. (78 min.)
• SHM H 405 Group One & Group Two lists
• Subjects Heading Manual: Instruction Sheet H 405: Name vs. Subject Authority File
• Guide to Federal Records in the National Archives of the United States(a useful resource for researching older federal corporate bodies)

Before You Begin

Always ensure that the entity whose record you are creating or modifying meets the definition of a corporate body, as found in RDA. Initiatives may be established, modified, or recorded as variant access points as long as they meet the RDA definition of a corporate body.

MARC Fields

110 - Corporate Name

Place Associated with the Corporate Body

To create the authorized access point for government bodies entered directly, and for corporate bodies containing the word "National" in the preferred name, generally add the associated jurisdiction/government name to the preferred name, unless the name or form of the name of the jurisdiction/government is already included in the preferred name. Most Federal U.S. government bodies, therefore, will either be entered subordinately to "United States," or be qualified by the addition of "(U.S.)". Apply this addition also to non-government corporate bodies according to your judgment, to clarify their location. See the optional addition in RDA 11.13.1.3 for justification.

Associated Institution

(An exception to qualifying directly entered government bodies by “(U.S.)” may occur when applying the following practice.)

When applying 11.13.1.4 (Associated Institution) and adding the name of an associated corporate body to the preferred name, add the preferred name of that corporate body as opposed to the authorized access point of that corporate body. Currently, 11.13.1.4 lacks an LC-PCC PS corresponding to LC-PCC PS 11.13.1.8.1: First Exception, but GPO assumes that the same practice is intended, that is: “When adding the name of an institution instead of a local place name as the location of a conference, record the preferred name for the institution, minus any additions used in the institution’s authorized access point (see RDA 11.5).”

Names Containing the term “Inc.” or “Incorporated”

11.2.2.10 is subject to interpretation: “Omit the following terms unless they are an integral part of the name or are needed to make it clear that the name is that of a corporate body: … term indicating incorporation, e.g., Incorporated, etc.” Compare the name you are evaluating with the examples in 11.2.2.10. First consideration: If it is not clear that the name without the term “Inc.” or “Incorporated” is a corporate body, then include this term in the preferred name. If the name without such a term is clearly understood to be a corporate body, then consider next, how integral a part of the name this term is. Consider the following:

(a) Do you find the company’s (or body’s) name presented without the “Inc.”? Then the “Inc.” can probably be omitted from the preferred name. (It may still be included in a variant name.)

(b) Even if the name is always presented with the term indicating incorporation, does the name stand on its own, e.g., American Cancer Society? Then the “Inc.” can probably be omitted from the preferred name. (It may still be included in a variant name.)

Names Containing the Word “Services”

GPO interprets the LC-PCC PS 11.2.2.14 Type 2 as meaning that the word "Services" is treated the same way as the word "Service," i.e. both are considered subordinate terms.

111 - Meeting Name

Consult and follow RDA and LC-PCC PS 11.13.1.8.

If creating a name authority record (NAR) for an individual conference and no NAR for the ongoing collective conference exists, there is no need to create one for the collective conference.

In many cases, it is found that the individual conference name to be set up from the resource being cataloged does not match the access point for the collective conference name. When an individual conference name does not match its corollary collective conference name, regard the collective conference name's authorized access point as the "base authorized access point" to use as the preferred name for the individual conference name. Consider the NAR for the collective conference to be the "base record." In the individual conference name access point, qualify the "base name," and record the variant form found in the resource being cataloged in both the individual and collective conference name records. It is fine if the preferred form is not found/justified in the resource generating the 1XX for the individual conference name. Add parenthetical additions to variants in the NAR for the individual conference name to make the variant(s) unique to that record.

When considering whether an individual conference name that does not match its corresponding collective conference name, represents an actual name change, be very cautious in determining that a true name change has occurred, until the proof is overwhelming. In most cases, use the variant approach mentioned above.

Original Collective Conference Record:

Modified Collective Conference Record:

Individual Conference Record:

When applying the First Exception in 11.13.1.8.1 and adding the name of a corporate body instead of a place, add the preferred name of that corporate body as opposed to the authorized access point of that corporate body. LC-PCC PS 11.13.1.8.1 First Exception: “When adding the name of an institution instead of a local place name as the location of a conference, record the preferred name for the institution, minus any additions used in the institution’s authorized access point (see RDA 11.5).”

368 - Other Attributes of Corporate Body, ǂa Type of Corporate Body

Prefer a Library of Congress Subject Heading (LCSH) term (followed by ǂ2 lcsh). If no term is found, then select a term from another vocabulary cited in Subject Heading and Term Source Codes. If selection of a term involves too much deliberation, either use a broader term or do not include the 368 field.

Exception:
       No specific term for type of project is found:
       Use: Project

Because the exceptional term above is not taken from a specific vocabulary, it is not followed by a subfield ǂ2. (Prior to May 2018, GPO’s policy was to prefer to use an uncontrolled term from a list (Conference, Organization, Firm, Agency, Program, Project), without a subfield ǂ2.)

Do not change 368 ǂa terms in existing records.

370 - Associated Place

Include ǂc Associated Country, whether or not additional subfields are present in the 370 field. (Since a 551 field for the associated jurisdiction cannot at this time (April 2016) be recorded with a suitable relationship designator, this is a good place for this data.)

Examples of correct 370 fields:

370ǂe in MARC is for the place where “an organization has its headquarters or carries out its activities, including the location of a conference.” Therefore, even if the cataloger does not know where an organization’s headquarters is located, subfield ǂe may sometimes still be entered, as in the following examples:

Associated Places for Conferences:

RDA 11.13.18: If the access point represents a series of conferences, etc., do not add the location unless all the conferences in the series were held in the same place.

372 - Field of Activity

Include this field when the field of activity of the corporate body is readily available and helpful. Prefer to use a topical term from LCSH and apply ǂ2 lcsh. Use discipline words instead of full sentences. Broad terms may be used. Single, general terms are sufficient, and they may apply to the parent body. Do not belabor constructing a subdivision that describes the field of activity of the lower body, especially one that serves a generic function (such as: Acquisitions, Planning, Management, Data Processing, etc.). Capitalize subdivisions as they appear in LCSH.

For a corporate body, use a field of business in which the corporate body is engaged, its area of competence, responsibility, jurisdiction, etc. (see MARC 21 Format for Authority Data)

If using a geographic scope as part of the field of activity, make sure the geographic scope reflects the entire potential coverage of the body, rather than simply the location of the body.

If using multiple terms from the same vocabulary source, repeat ǂa rather than the field. Be selective about adding the subdivision "Research." (SHM H 2020: "use for general works that discuss comprehensively all aspects of research, such as proposals, finance, goals, etc., as applied to this topic. Do not assign the subdivision to works that discuss the results of research in a particular field.) When in doubt, do not include "—Research" in the field of activity for a corporate body that performs research.

373 - Associated Group (11.5)

Prefer this field for groups having an uncertain or ambiguous relationship. Use the 510 field for related bodies that can be described using one of the relationship designators found in RDA Appendix K.4.3. Use the 5XX (and 4XX) field for hierarchically superior (parent) bodies.

Per DCM Z1: 373, “prefer a controlled vocabulary, such as the LC/NACO Authority File.” However, if the associated corporate body is not represented by a record in the NACO Authority File (naf), the name may still be recorded in the 373 field. In such cases, the preferred name is recorded per RDA 11.5.1.3. If the body is represented by a record in the naf, then the authorized access point is recorded. If using multiple terms from different vocabulary sources, repeat the field. If using multiple terms from the same vocabulary source, repeat ǂa rather than the field.

410/411 - See From Tracing

Also consult: Name Authorities: General Field Specific Guidelines, under the heading “4XX – See From Tracing”

Neither RDA nor any LC-PCC PS mentions inverted references. Some variants are optional and do not need to be justified by any instruction. If it helps to add an inverted reference, then do so. Before adding, first ask the question: Will an inverted reference assist in finding the authorized name? (Note: The sections on inverted references in LCRI 26.3A3 were not carried over into RDA.)

According to RDA 11.13.2.1, qualify the variant as you would the authorized access point.

For example, variant individual conference names should carry the same qualifiers as the authorized access point.

If the authorized access point is qualified by "(U.S.)," the variant access point is usually also qualified by "(U.S.)," unless any part of the variant name already contains the term "United States" or "U.S." Even if the variant name in the 4XX field is in a different language than the preferred name in the 1XX field, the variant name may still be qualified by “(U.S.).”

Initialisms or Acronyms Written in All Capital Letters

When providing a variant consisting of an initialism or acronym written in all capital letters (with or without periods between them) add a qualifier to the initialism or acronym. Apply the following sequence of instructions: 11.13.2.1: scroll down to: “… Make additions to the name, if considered important for identification. Apply the instructions at 11.13.1.2—11.13.1.8, as applicable.” (Note the first group of examples below this: “Addition to a name not conveying the idea of a corporate body.”) Therefore, see: 11.13.1.2: “Include a term designating a type of corporate body (see 11.7.1.4) ...” See 11.7.1.4 for examples of terms in the singular that designate a Type of Corporate Body. Especially, see: LC-PCC PS 11.13.1.2: Initialisms and Acronyms: “If the name chosen for the authorized access point for a corporate body is an initialism or acronym written in all capital letters (with or without periods between them), add a Type of corporate body qualifier to the name. Alternatively, a spelled out form of the name may be used as an Other designation addition (see 11.7.1.6) if such an addition better identifies the corporate body.” See the examples below this.

When qualifying initialisms and acronyms with a Type of Corporate Body term, use a term in the singular form, such as those used in the examples in 11.7.1.4 and 11.13.1.2. Specifically, prefer a term used in the 368ǂa, as described above in the section: 368 - Other Attributes of Corporate Body, ǂa Type of Corporate Body. Always use the singular form of the term.

Prefer a term from GPO’s short list of broad terms. Government bodies are usually qualified by “(Agency),” unless “(Program)” is more appropriate. If none of the terms in the short list are appropriate, consider terms from SHM H 405 Group One & Group Two lists. If an appropriate term cannot be found, or if the cataloger judges it will better identify the corporate body, then, “Alternatively, a spelled out form of the name may be used as an Other designation addition … if such an addition better identifies the corporate body,” per LC-PCC PS 11.13.1.2.

When choosing a term with which to qualify an initialism or acronym, the cataloger may happen to search OCLC, and find that the intended qualifying term will result in a conflict with an existing variant access point. Or, the intended qualifying term may create a potential, future conflict, if an existing variant initialism that stands alone, such as DPL, might later become qualified by the same intended term. Thus, the cataloger may hesitate to record the variant access point, DPL (Agency), because the existing variant access point, DPL, represents a different agency, and may later be modified to also form: DPL (Agency).

The cataloger need not consider actual or potential conflicts with other variant access points, when choosing a qualifying term for a variant name. While the cataloger must always test for conflicts with authorized access points, there is no requirement to consider conflicts (actual or anticipated) with other variant access points when choosing the qualifier. (See LC-PCC PS 11.13.1.1: Conflicts.) The cataloger, therefore, may either choose a qualifier that causes the variant to conflict with another variant, or choose a qualifier that distinguishes the variant from other variants.

Variants for Names Containing Ampersands (&)

When the preferred name (or authorized access point, or 110/111) contains an ampersand (&), provide a variant name substituting the word “and” for the ampersand. This variant need not be justified by actual usage. However, the reverse situation should only be justified by actual usage, that is, only provide a variant name containing an ampersand, when such a form of the name appears in a source, and is transcribed in the 670 field.

410 - See From Tracing - Corporate Name

Also consult: Name Authorities: General Field Specific Guidelines, under the heading “4XX – See From Tracing”

Variant Names Entered Subordinately

Supply variant names if considered important for identification or access, according to the following examples in 11.2.3.7:

3rd Group of Examples: Name as Subdivision of Authorized Access Point for a Higher or Related Body

4th Group of Examples: Name as Subdivision of Authorized Access Point for Immediately Superior Body

5th Group of Examples: Name as Direct Subdivision of Authorized Access Point for a Higher-Level Body

Follow 11.2.3.3 (also see 11.2.2.13 under Variant names): “Record as a variant name the name as a subdivision of a higher or related body if the preferred name is recorded in direct form. Record only if the name might reasonably be searched in that variant form.” Prefer variant names entered under an intervening parent body to variant names entered directly under the jurisdiction. When providing a variant name (or cross-reference) directly under the jurisdiction, also provide variant names under intervening bodies, if available, as justified in 670 notes. When one or more cross-references under intervening bodies are made, a cross-reference directly under the jurisdiction is optional according to that cataloger’s judgment. The cataloger should consider whether such a reference “might reasonably be searched in that variant form.”

(Note: LCRI 26.3A7 was not carried over into RDA: “References from Jurisdiction: If a government body is entered independently, make a reference from its name as a subheading of the government that created or controls it (cf. 24.17).” In addition, neither AACR2 24.17A’s final sentence: “Refer to the name of a government agency entered directly from its name in the form of a subheading of the name of the government (see 26.3A7),” or the examples that followed it, were carried over into RDA.)

Place Names as Jurisdictions vs. Locations

When adding the associated place name to corporate bodies, a cross-reference under "United States" is only made when the location attribute represents a jurisdiction, i.e. for government bodies. For non-government bodies, do not provide a 410 through United States, because the cross reference would characterize the location as jurisdictional rather than geographic, which would erroneously transform the character of the non-government body to a government body.

Additionally, use a 670 and/or 678 to make the exact nature of a non-government body that is qualified by "(U.S.)" clear to users

Variant Names Entered Directly

Follow 11.2.3.3: “Record as a variant name a direct form of the name if the preferred name is recorded as a subdivision of a higher or related body. Record only if the name might reasonably be searched in that variant form.” Apply the second sentence conservatively. There is a longstanding precedent to use discrimination when adding tracings to the LC NACO file, so as not to undermine the consistency of the file. For example, too many variants of the following nature, even if found in actual usage, would seem to introduce inconsistency:

Such variant names would not come under the 6th Group of Examples in 11.2.3.7: Name of a Subordinate Body Whose Name Does Not Suggest Subordination Recorded Directly. Therefore, do not automatically supply a directly entered variant to a preferred name that is entered subordinately. It is true that there is nothing comparable in RDA or its LC-PCC PS to the former LCRI 26.1: "In general, construct a reference in the same form in which it would be constructed if chosen as the heading" or LCRI 26.3: “Generally, trace a reference from variant forms of entry that apply to the name chosen for the heading … For variant forms of a name, generally, trace only one reference from each variant.” However, until receiving explicit guidance to the contrary, GPO will cautiously interpret “Record only if the name might reasonably be searched in that variant form.” (RDA 11.2.3.3)

When deciding whether or not to provide a directly entered variant for a name whose authorized access point is entered subordinately, consider the following:
--Does the variant usage tend to stand by itself? Then it probably may be entered directly.
--Does it include a word or phrase that would qualify as an 11.2.2.14 type (bodies recorded subordinately)? Then, prefer to also enter the variant indirectly, unless it still stands alone, as when the higher body does not appear on the same source/page.
-- “Record only if the name might reasonably be searched in that variant form.” (11.2.3.3)

Variants for Names Containing the Term “Inc.” or “Incorporated”

When the preferred name (or authorized access point, or 110) omits a term indicating incorporation (such as “Inc.” or “Incorporated”), that term may be included in a variant access point.

411 - See From Tracing - Meeting Name

Additional Identifying Element(s) for Initialisms/Acronyms in Variants for Meeting Names

The final group of examples in RDA 11.13.2.1 shows variant access points for conferences having the same qualifiers as their respective authorized access points. Follow this practice.

In addition, when qualifying a variant meeting name consisting of an initialism or acronym written in all capital letters (with or without periods between them), add a Type of corporate body qualifier to the initialism/acronym. Follow this with the same additions that are recorded in the authorized access point. See the example in LC-PCC PS 11.13.1.8.1.

510/511 – See Also From Tracing (Related Corporate/Conference Name)

Relationships and Relationship Designators

“Related corporate body is a core element for LC and PCC for sequential relationships with immediately preceding and immediately succeeding corporate bodies.” (LC-PCC PS for 32.1) When applying RDA relationship designators in the 510 or 511 fields, use terms from RDA Appendix K.4.3 (LC-PCC PS K.1). Capitalize the initial letter of the term and follow the term with a colon (DCM Z1: 5XX section). Use subfield ǂi in conjunction with ǂw code "r" for relationship designators. This includes references made to describe name changes. Use the terms "Successor" and "Predecessor" in a subfield ǂi, rather than following the previous practice of using the earlier/later values in subfield ǂw.

Do not use relationship designators for place names, including jurisdictions, that are coded 151 in the Name Authority File. Per Guideline 11 of: Guidelines on Using Relationship Designators in NACO Authority Records, “Do not use subfield ǂi with subfield ǂw "r" for place names (X51) until relationship designators for places are developed. (Currently RDA has a placeholder for Appendix L).” Note also that Guideline 8 is titled: “Relationship links Between Non-Jurisdictional Corporate Entities.” According to DCM Z1: Field 551, “Do not use subfield ǂi with subfield ǂw coded "r" until relationship designators for places are developed. (Currently RDA has a placeholder for Appendix L).”

Mergers

When two bodies (corporate or conference) merge to form a third, follow the examples below:

Do not follow the final paragraph in Guideline 8 of: Guidelines on Using Relationship Designators in NACO Authority Records, which states: “Exception: Until further notice, do not use the Appendix K relationship designators “Mergee” or “Product of a merger.” The relationship designators “Predecessor” or “Successor” may be used instead.” This statement is outdated, and has been superseded in actual PCC practice.

Although not as common as mergers of corporate bodies, two or more conferences may also merge to form a new conference name.

510 - See Also From Tracing - Corporate Name

For Mergers, see Section Above

Hierarchical Superior Relationship

Always include the immediately superior body, if known, in a 510 field, with the relationship designator "Hierarchical superior," even if redundant (that is, even if the immediately superior body is already recorded in the 110 or 410 field, still provide the 510 field). Only record the immediately superior body as the “Hierarchical superior,” not a body that is two or more levels superior. When in doubt, do not include this relationship. Superior bodies that are not the immediate parent body may still be recorded in the authorized or variant access points. Automated processing, especially during Phase 2 of the Changes to the LC NACO File, may have added 510 hierarchical superior fields by taking the data from the 110 or 410 field. (Many of these automated updates were made in March 2013.) Do not follow the example of this automated processing. Instead, apply this more limited use of the “Hierarchical superior” relationship. See Guideline 9 of: Guidelines on Using Relationship Designators in NACO Authority Records.

Do not make a “Hierarchical superior” relationship to a jurisdiction or geographical name that would be coded 151 in MARC format in the Name Authority File. According to the NACO and SACO Programs Coordinator at the Library of Congress, jurisdictional place names (such as “United States”) “are always coded X51 in authority records, unless a subordinate entity is included with the jurisdiction, in which case the entity is treated as a corporate name (X10), and not as a place name. This has always been a MARC convention.” See: RDA in NACO Training, PCC: module 5, Describing Places, Slide 21 for more details on MARC authority coding for jurisdictions. See Guideline 11 of: Guidelines on Using Relationship Designators in NACO Authority Records. According to DCM Z1: Field 551, “Do not use subfield ǂi with subfield ǂw coded "r" until relationship designators for places are developed. (Currently RDA has a placeholder for Appendix L).” Therefore, do not include a “Hierarchical superior” relationship (coded 510 or 551) in the following examples

Do not include a 510 or 551 hierarchical superior relationship to “United States.”

Do not include a 510 or 551 hierarchical superior relationship to “Bedford County (Va.).”

In summary, record the hierarchical superior relationship when the immediately superior body is known. When not known, or when in doubt, leave it out.

The "hierarchical superior" relationship is not reciprocal. Do not add "hierarchical subordinate" references to any records.

667 - Nonpublic General Note

Follow the LC-PCC PS for 11.13.1.8.2, to include the 667 note shown below, in the record for the overall conference series, “when there are authority records for both collective and individual instances of an ongoing conference.” Do not anticipate this need--only include this field in a collective conference record when records for individual instances of the conference already exist.

667 See also related access points for individual instances of this conference which include specific information about the number, date, or place of the individual conference.

678 - Biographical or Historical Data (11.11)

Only include this field if the information is readily available and does not require significant time to construct a statement. Record a brief statement intended to be read by the public. The PCC’s RDA in NACO Training, Module 1, Foundations, recommends the following format:

[Corporate body’s name in direct order] ([dates if available]) was/is a … [describe the corporate body].

Note that the information in the 678 field still requires justification in a 670 field. The 678 note is an additional service provided for public use.

This field may also be used to make the exact nature of a non-government body clear to users.