Music Cataloging at Yale AACR2

Headings for personal names (AACR2 chapter 22)
In progress

AACR2 Chapter 22: Determining form of name || Usage
Diacritical marks, hyphens, punctuation, and spacing || Pseudonyms || Dates || Fuller forms || Qualifiers


Consult AACR2 and the appropriate LCRIs for the complete rules for establishing personal name headings.

Determining form of name

22.1A "In general, choose, as the basis of the heading for a person, the name by which he or she is commonly known. This may be the person s real name, pseudonym, title of nobility, nickname, initials, or other appellation."

22.1B "Determine the name by which a person is commonly known from the chief sources of information of works by that person issued in his or her language. If the person works in a nonverbal context (e.g., a painter, a sculptor) or is not known primarily as an author, determine the name by which he or she is commonly known from
     · reference sources, as used in this chapter, includes books and articles written about a person.
     · reference sources issued in his or her language or country of residence or activity."

LCRI 22.1B According to this LCRI, name headings for composers are established following the rules for authors, but:

· authors: "For persons living before 1801, when chief sources of information show one form of name and another form is used in modern reference sources in the person's language, prefer the latter."
· composers: "Determine the name of a composer from the form found in the chief sources of information in publications of the printed music in the composer's language. If no form in these chief sources of information is in the composer's language, determine the name from reference sources of the composer's country of residence or activity. If the name is not listed in reference sources of the composer's country of residence or activity, use the form found in the chief sources of information."

How is "usage" determined in establishing a new personal name heading?
from the PCC web site Frequently asked questions on creating personal name authority records (NARs) for NACO

"Usage is how an author's form of name is most "commonly found" or presented in the chief sources of his or her works. [Usage is defined as the] "literal transcription of a name as it appears in a publication, most commonly transcribed in a bibliographic record in a statement of responsibility." Therefore, ... base new personal name headings on usage found on the chief source of the item being cataloged and/or the "usage" found in subfield ‡c of the 245 in bibliographic records in the file being searched, i.e., OCLC or the LC database.

Variation in form of fullness of name as it appears in the same or multiple sources
In cases when usages of a name vary in fullness from one item to another, LCRI 22.3A defines the predominant form as the form appearing in 80% of the author's works.

If the form found on the item being cataloged does not agree with the form already in use as the heading, choose as the AACR2 form the form found in 80% of the author's works as the most commonly found form (counting forms appearing on bibliographic records in which the heading is used in both main and added entries but considering only usage found in the bibliographic description (primarily statements of responsibility) not headings appearing as main or added entries). (The form found in the chief source of a person's thesis is taken into account when choosing the form to be used in the heading.)"

In February 2009, this was changed to:

"If the forms of a name vary in fullness, choose the form most commonly found. ... If no one form predominates, choose the latest form. In case of doubt about which is the latest form, choose the fuller or fullest form."

However:

Because the application of the 80% rule in LCRI 22.3B1 is not about fullness, it will not be changed:

"After an author has been established, if subsequently received works show a form in a language not selected for the heading, change the heading when 80% of the author's works are in that language."

Note that literal transcriptions may appear elsewhere in a record, e.g., as part of the title proper, in an "at head of title" note, in a quoted note, etc. In deciding whether a transcription is a literal one, care must be taken to insure that the transcription has not been altered in some way by cataloging conventions used at the time the transcription was made, e.g., by abbreviation or by omission."


Diacritical marks, hyphens, punctuation, and spacing in personal name headings

22.1D1 Diacritical marks, Accents, etc.: "Include accents and other diacritical marks appearing in a name. Supply them if it is certain that they are integral to a name but have been omitted in the source(s) from which the name is taken."
22.1D2 Hyphens: "Retain hyphens between given names if they are used by the bearer of the name. Omit a hyphen that joins one of a person s forenames to the surname."

22.1B Punctuation:
Initials/letters in:
the name portion of heading:
periods: · "If the name of a person consists of or contains initials, input a period after an initial if it is certain that the letter is an initial. In case of doubt, do not input a period.
     examples: see Name headings with initials below.
" If the name consists of separate letters that are presumed not to be initials, omit or include periods according to the predominant usage of the person."
spaces: · "If the name contains two or more forenames represented by initials, consists entirely of initials, or consists entirely of separate letters that are not initials, input a single space between the initials/letters in all cases."
names with portions abbreviated or missing:
"If a part of a name is abbreviated (two or more letters present as opposed to a single letter used as an initial) or if a forename is missing from a name entered under surname, do not leave open space after the abbreviation or missing forename. Instead, insert, as appropriate:"
period: Corpeleijn, W. F. Th.
period and 1 space: Enschedé, Ch._J.
period and comma: Jones, Th., 1910-
additions to name headings: See Qualifiers added to personal name headings below
periods: · in initials: "include periods unless the author's predominant usage makes it clear that the author omits them."
spaces: · "Do not leave spaces between single initials/letters."
abbreviations of 2 or more letters: · "Treat as a distinct word, separating it with a space from preceding and succeeding words or initials/letters."
     example: Ph._D.


Pseudonyms:

LCRI 22.2B 4)
Before August 2007, names of composers and performers may have been excluded from establishing multiple headings when pseudonyms were used; however, beginning August 2007, the guidelines here are to be applied to all contemporary authors without exception. When in current cataloging a heading for a contemporary author that does not follow these guidelines is found, create separate headings for all pseudonyms used on separately published works following the guidelines in "Multiple Headings -'Basic' Headings."

See LC/NACO AACR2 practice for creating NARs for persons who use pseudonyms


22.17 Dates: Add a date whenever it is known (LCRI 22.17)

Post nineteenth century persons (LCRI 22.17)
For persons living in the twentieth or twenty first century or any person who has died since Dec. 31, 1900, the date upon which the heading is based should be a precise one. Specifically, add the date to headings for these persons only if it falls into any of the following categories:
· The person is still living and the year of birth is known ("1942- ").
· The person is no longer living and the years of birth and death are known ("1900-1981").
· The person is no longer living (or there is reasonable doubt that the person is living based on the average life span) and only the year of birth is known ("b. 1900").
· The person is no longer living and only the date of death is known ("d. 1981").
Note: If a date is a specific non-Gregorian year, add the Gregorian equivalent to the heading even if this means using a date in the form "1921 or 2."

Use these forms of dates:

living person 1957-
both years known 1833-1896
same name, same year 1924 Aug. 17-
1924 Dec. 8-
year of birth uncertain; known to be one of two years 1535 or 6-1592
probable year of birth 1563?-1626
year of birth uncertain by several years ca. 1300-1377
approximate year of death 1837-ca. 1896
both years approximate ca. 1508-ca. 1573
year of death unknown b. 1556
year of birth unknown d. 1474
years of birth and death unknown. Some years of activity known. Do not use fl. dates within the twentieth century. fl. 1558-1567
years of birth and death unknown, years of activity unknown, century known. Do not use for the twentieth century. 16th cent.
years of birth and death unknown. Years of activity unknown, but active in both centuries. Do not use for the twentieth century. 16th/17th cent.

Use "or" when the date of birth and/or death is known to be one of two years, applying AACR2 C.7A and LCRI C.7A

when the dates are: in the heading give the: examples
° the last year of one century and the first year of the following century: complete date for both 1899 or 1900
° the first and second years of the same century: complete date for both 1900 or 1901
° any two years within the same century (other than the first and second years of the same century): complete date for 1st date
final digit of the 2nd date
d. 1506 or 7
° the last year of one decade and the first year of the following decade in the same century: complete date for the 1st date
last 2 digits of the 2nd date
1979 or 80
d. 1819 or 20
° any two years within the second decade of the same century: complete date for the 1st date
last 2 digits of the 2nd date
1914 or 15
° the first two years of a decade (other than the first two years of the first decade of the century): complete date for the 1st date
last 2 digits of the 2nd date
1970 or 71
° all other dates not covered above: complete date for the 1st date
final digit of the 2nd date
1978 or 9

Examples of dates in personal name headings:

Ingegneri, Marc Antonio, ‡d 1535 or 6-1592
Rore, Cipriano de, ‡d 1515 or 16-1565
Senfl, Ludwig, ‡d ca. 1486-1542 or 3
Use "ca." when the date of birth and/or death is uncertain by several years
Guillaume, ‡c de Machaut, ‡d ca. 1300-1377
Vicentino, Nicola, ‡d 1511-ca. 1576
Dalla Viola, Alfonso, ‡d ca. 1508-ca. 1573
Tallis, Thomas, ‡d 1505 (ca.)-1585
   The format of this date (1505 (ca.)-1585) is considered "AACR2 compatible" by LC; AACR2 form would be "ca. 1505-1585"

Use "?" (question mark) when only a probable year of birth and/or death is known
Palestrina, Giovanni Pierluigi da, ‡d 1525?-1594
Morley, Thomas, ‡d 1557-1603?

Use only the year of birth preceded by "b." or year of death preceded by "d." when only one or the other is known
Nenna, Pomponio, ‡d b. 1556
Dufay, Guillaume, ‡d d. 1474

Use year of birth preceded by "b. ca." or year of death preceded by "d. ca." when only an approximate year of birth and/or death is known
Dankowski, Wojciech, ‡d b. ca. 1760
Verdelot, Philippe, ‡d d. ca. 1565

Use year of birth preceded by "b." with "or" or year of death preceded by "d." with "or" when only the year of birth or death is known and is one of two years.
Frye, Walter, ‡d d. 1474 or 5

Examples of when one or both dates are uncertain, unknown, or probable
Orologio, Alessandro, ‡d ca. 1550-1633?
Rossi, Salamone, ‡d 1570?-ca. 1630
Carlton, Richard, ‡d ca. 1558-1638?
Barbarino, Bartolomeo, ‡d d. 1617?
Rasar, William, ‡d b. ca. 1488?

Use "fl." [flourish] dates when years of birth and death are unknown but year(s) of activity are known.
Do not use "fl." dates for persons active in the 20th century.
Conforti, Giovanni Battista, ‡d fl. 1558-1567
Norman, John, ‡d fl. 1509?-1545
Farmer, John, ‡d fl. 1591-1601
Scialla, Alessandro, ‡d fl. 1610
Forestier, Mathurin, ‡d fl. ca. 1500
Courteville, Raphael, ‡d fl. 1687-ca. 1735

Use "cent." to indicate century when years of birth and death and years of activity are unknown, but century of activity is known.
Do not use for person active in the 20th century
Gombert, Nicolas, ‡d 16th cent.
When activity spans two centuries, use both.
Knöfel, Johann, ‡d 16th/17th cent.
Topf, Johann, ‡d 17th/18th cent.

When persons with the same name are born in the same year, use the day of birth to distinguish between them.
Use the abbreviation for the month found in AACR2, appendix B.
These are both music headings; the first is a clarinetist, the second a violist:
Kratochvíl, JiYí, ‡d 1924 Aug. 17-
Kratochvíl, JiYí, ‡d 1924 Dec. 8-
These two are also both music headings:
Wagner, Robert, ‡d 1915 Apr. 20-
Wagner, Robert, ‡d 1915 June 29-
These are music headings that would conflict with non-music headings without the month and day in the date:
Guillou, Jean, ‡d 1930 Apr. 18-
Schmidt, Franz, ‡d 1874 Dec. 22-1939
Follow this even when the death date is known
Irving, Robert, ‡d 1913 Aug. 28-1991
Irving, Robert, ‡d 1913 Apr. 27-
Both day of birth and day of death are needed when the year of birth and death are the same
Müller, Hermann, ‡d 1868-1932
Müller, Hermann, ‡d 1868 Oct. 1-1932 Jan. 17
According to CPSO, it's preferred to find exact dates for all headings, but if only one exact date is known, it is sufficient to resolve the conflict:
Keil, Werner, ‡d 1952-
Keil, Werner, ‡d 1952 Jan. 9-


22.18 Fuller forms

When a heading created by the rules in chapter 22 does not the full form of the person's name, e.g., contains initials or an abbreviation in either the (surname or forename), and the fuller form is known, "[a]dd all the fuller form of the inverted part of the heading and/or the fuller form of the entry element, as appropriate. Enclose the addition in parentheses."

When adding the full form, observe the following guidelines (LCRI 22.18):
The initial(s) occur(s) in the forename portion of a "surname, forename" heading:
· include in the parenthetical addition the full form as well as the other forenames that appear in the forename portion of the heading.
· do not include a particle or prefix that appears in the forename portion of the heading.
· the parenthetical addition immediately follows the forename portion and before any other addition (e.g., date, title).

The initial(s) occur(s) in the name entered as a given name, etc.,:
· include in the parenthetical addition all the names that appear in the heading.
· do not include a particle or prefix that appears in the forename portion (LCRI 22.18A)
· the parenthetical addition immediately follows the given name and before any other addition (e.g., date, title).

An abbreviation represents any portion of the name:
· add in a parenthetical addition the full form of the name.

Examples of name headings with initials:
Calandra, Matilde T. de, ‡d 1918-
   fuller form of name not known
Siccardi, H. ‡q (Honorio), ‡d 1897-1963
Delgadillo, Luis A. ‡q (Luis Abraham), ‡d 1887-1961
Ponce, Manuel M. ‡q (Manuel María), ‡d 1882-1948
Bisetti V. A. ‡q (Alejandro Bisetti Vandergham), ‡d 1932-
Sosa M., José Octavio ‡q (Sosa Manterola), ‡d 1962-
Velden, R. van der ‡q (Renier), ‡d 1910-
   the prefix "van der" is not included in the qualifier "(Renier)"
Anglebert, J. Henry d' ‡q (Jean Henry), ‡d 1628-1691.
   the particle "d" is not included in the qualifier "(Jean Henry)"

Examples of name headings with abbreviations:
Albrecht, Jo. Wilh., ‡d 1703-1736
Hdez., Isabelle ‡q (Hernández), ‡d 1972-

Terms of address, terms of honor, etc.:
British terms of honor ("Sir," "Dame," "Lord," "Lady") will no longer be included in headings (22.1C, 22.12) but will be retained in statements of responsibility (1.1F7) and in existing headings. They may be used to resolve conflicts in headings (22.19B).
Barbirolli, John, ‡c Sir, ‡d 1899-1970
Hess, Myra, ‡c Dame, ‡d 1890-1965

Surnames with prefix:
See also Entry element for surnames with separately written prefixes
Araújo, João Gomes de, ‡d 1846-1943
Dall'Abaco, Evaristo Felice, ‡d 1675-1742
Vega, Aurelio de la, ‡d 1925-
Mesquita, José Joaquim Emérico Lobo de, ‡d d. 1805

Compound surnames:
Eckhardt-Gramatté, S. C. ‡q (Sophie-Carmen), ‡d 1899-1974
Torrejón y Velasco, Tomás de, ‡d 1644-1728
Tosar Errecart, Héctor A. ‡q (Héctor Alberto), ‡d 1923-

When a person has what appears to be a compound surname, but it cannot be certain, AACR2 22.5C6. says to treat it as compound surname except when the name is English, Danish, Faroese, Norwegian, or Swedish.
For example, the heading for Michael Tilson Thomas is Thomas, Michael Tilson, ‡d 1944-

Compound surnames with a prefix:
López de la Rosa, Horacio, ‡d 1933-

22.8. Entry under given name, etc.
· "Enter a name that does not include a surname and that is borne by a person who is not identified by a title of nobility under the part of the name under which the person is listed in reference sources.
· In case of doubt, enter under the last element, following the instructions in 22.5B.
· Include in the name any words or phrases denoting place of origin, domicile, occupation, or other characteristics that are commonly associated with the name in works by the person or in reference sources. Precede such words or phrases by a comma.
LCRI 22.8A1: ... use in the heading the forms for these words and phrases that are found in the sources used [e.g., in the language of the source]."

Examples: coded as 100/600/700/800 0_
Mana-Zucca
Gabriel-Marie, ‡d 1852-1928
Giovanni ‡q (Giovanni Marradi)
   The qualifier includes the person's full name (first name and surname) in direct order)
Jacob, ‡c de Senleches, ‡d fl. 1378-1395
Maria Antonia Walpurgis, ‡c Electress, consort of Friedrich Christian, Elector of Saxony, ‡d 1724-1780

Names with surname only: coded as 100/600/700/800 1_
Huggins, ‡c Lady, ‡d d. 1915
Morgan, ‡c Lady ‡q (Sydney), ‡d 1783-1859
Babou, ‡c Monsieur, ‡d 1656-ca. 1740
Delusse, ‡c Monsieur ‡q (Charles), ‡d b. ca. 1720
Villeblanche, ‡c Madame de


22.19 Qualifiers added to personal name headings

Qualifiers (and terms) are added to personal name headings to distinguish between identical headings.

Add the qualifier or term as the last element (in ‡c) in a heading entered under:
· given name: use a brief term added within parentheses
· surname: add a qualifier, separated by a comma
A qualifier:
should "appear with the name in works by the person or in reference sources"
may be a term of honour or address, title of position or office, initials indicating an academic degree or initials denoting membership in an organization

LCRI 22.19 Musicians
"When no other means is available for distinguishing between a musician and another person with the same name for whom a heading is already established (including changing the existing heading), a word designating a musician's occupation, such as "violinist," "keyboard player," or "soprano," may be used as a qualifier. The term used should be in English and in the form of an agent noun, e.g., "oboist" for one listed as playing the oboe."

Punctuation for a qualifier or term with:
initials: include periods unless the author's predominant usage makes it clear that the author omits them.
abbreviation consisting of more than a single letter: treat is as if it were a distinct word, separating it with a space from preceding and succeeding words or initials/letters.
spaces: omit spaces between single initials/letters.


Qualifiers added to personal names in music by Deta Davis, Library of Congress, 3/10/99 used with permission

Qualifiers that establish the nature of the name
22.11A concerns qualifiers for personal names not conveying the idea of a person.

A suitable qualifier in English is made up by the cataloger and added in parentheses following a name which does not convey the idea of a person. Since the purpose of this qualifier is merely to establish that this is the name of a human being, a general term such as "(Musician)" is most appropriate. Caveat: in conflict situations, a more definite qualifier is permissible, e.g., "(Blues musician)."

Qualifiers that resolve conflicts between identical names
22.19 concerns qualifiers to resolve conflicts between identical names

As directed by the Cataloging Policy and Support Office, the Music Teams in LC's Special Materials Cataloging Division have developed the following guidelines to standardize the application of RI 22.19. These guidelines apply to both rule 22.19A (forename entry) and 22.19B (surname entry). The rules apply in different ways to these two types of headings, for example, forename entry qualifiers are separated from the name by parentheses and are always devised by the cataloger, whereas qualifiers following names entered under surname are ordinarily taken from a source and separated only by a comma, and the special provision for musicians is an exception to that.

I. Research
The policy for adding an agent noun as a distinguishing term for a musician's name is that appropriate research must be performed and recorded in a 670 or 675 field of the name authority record. RI 22.19, Distinguishing Terms: Musicians, states "When no other means is available for distinguishing between a musician and another person with the same name..." Music and Sound Recordings Teams I-II interpret this to indicate that the cataloger must perform, if possible, and document research. (There may be rare instances where there are no available reference sources in which a person can be expected to be found) If a conflict cannot be broken by searching the musician's name, the other person with the same name must also be researched.

Various cataloging agencies within LC and outside have differed in their application of this directive. The long-term problem resulting from not performing research is that musicians' names with distinguishing terms have begun to conflict with each other, thus requiring the use of less-common qualifiers. As a consequence, some of the names with the more unusual qualifiers are not easily found, resulting in even more conflicts.

The currently existing name-authority records employing an agent noun as a distinguishing term but lacking the requisite 675 field should not be used as examples or precedents; they must be recognized as displaying inadequate information and be corrected whenever possible.

II. Choice of distinguishing term

RI 22.19 states that "a word designating a musician's occupation, such as 'violinist, 'keyboard player,' or 'soprano,' may be used as a qualifier. The term used should be in English and in the form of an agent noun, e.g. 'oboist' for one listed as playing the oboe." Although the examples are oriented toward instrumentalists and vocalists, there is no reason not to understand the RI as also applying to other directly musical occupations, e.g., composers, conductors, etc.

The term "musician" appears to be used with increasing frequency as a distinguishing term to break conflicts. The term has been used in two particularly frequently occurring instances:
1. when a person performs two or more musical functions (composer and conductor and arranger, and didjeriduist and music editor) without a clear dominance of one over the others;

2. when a person's chief function is other than that of an instrumentalist (conductor, arranger, music editor, method book writer, etc.) While the use of the term "musician" might seem to be sanctioned by RI22.19 and/or rule 22.19B, the RI actually stipulates the use of more definite, performer-oriented terms, and the rule stipulates that the term must appear with the name. The RI does not sanction the use of more general terms like "musician." Even if the term may be justified with a very liberal interpretation of the rule itself, the rule's requirement that the term appear with the name is met very infrequently. The existence of this word as a distinguishing term in existing name and bibliographic records should not be used as an example or precedent.

Because the distinguishing term must appear with the name in the item or in reference sources (22.19B), it must be documented in a 670 citation. DCM Z1, 670, p. 5, Transcription of other data, instructs us to transcribe distinguishing terms in the following manner:

Do not abbreviate or translate distinguishing terms (e.g., titles of address or office) that appear in conjunction with personal names in statements of responsibility and that potentially could be used as part of the heading. Other data may be abbreviated or summarized. Generally informally translate other data from foreign languages into English, paraphrasing or summarizing as convenient.

To clarify, this means that distinguishing terms for musicians (n.b. that the directive does not limit the terms to titles of address or office) must be transcribed, not simply extrapolated even if they are not put to immediate use as a qualifier. If there is no transcribable information, it is better to allow researchers and catalogers to do their own research based on the bibliographic record or the item in hand.

Again, practice regarding the qualifying term and the transcription of data in the 670 has not been standard. We hope to perform as much clean up as time will permit regarding, for instance, the use of "musician" as a qualifier. However, information or terminology which is currently recorded in any NAR's 670 is available for use. We cannot make judgments at this point about whether a cataloger may have found or extrapolated that information or terminology. It is the responsibility of each cataloger creating NARs to provide accurate and appropriate information within the record. When birth and/or death dates are not available to break a conflict between identical name headings, a qualifier can be used.


1. Use the term "that appears with the name in works by the person or in reference sources" (22.19B1).
2. Agent nouns should replace other constructions: e.g., "vocals," "vocals by," "vocal performances," etc., would turn into "vocalist" while "sung by," "songs," etc., would turn into "singer."
To determine which form of a noun to use, e.g., flutist, flautist, or flute player, search for the subject heading for that term. In this case, it would be "flute player" (sh85-49533)
3. Only English terms are used. Substitute terms in other languages with their English equivalents.
Olson, Karen, ‡c musician
Ross, Brad, ‡c composer
Rosen, Lawrence, ‡c arranger
Rafael, Juan, ‡c vocalist
Young, Thomas, ‡c singer
Sheppard, Susan, ‡c violoncellist
Juhász, Zoltán, ‡c recorder player
Smith, George B., ‡c Pipe-Major
Qualifiers for personal names entered under phrase (and forename) (22.11A): "If such a name does not convey the idea of a person, add in parentheses a suitable designation in English."
Doca ‡c (Singer)
Abbreviations denoting degrees are sometimes used:
Donnelly, Mary, ‡c M.Ed.
Heller, Karl, ‡c Dr. phil.
John, Hans, ‡c Prof. Dr. sc. phil.
Becker, Barbara, ‡c BMusic
Laurie, Margaret, ‡c Ph. D. (This person's degrees are M.A., B. Mus., Ph. D.; only the last is used in the heading)
Other means of breaking conflicts include:
including additional elements of the name that would not normally be included in the heading according to AACR2:
Bentley, Judith ‡q (Judith Cook)
Hobson, Bruce ‡q (R. Bruce)
Méndez, Juan ‡q (Juan Antonio Méndez Varas)


Comments to Mickey Koth Yale University Music Library
©Yale University Library Last revised September 1, 2011.