Technical Services Procedures
Maintaining the Online Catalog - Authority Work: Creating NACO Name Records in OCLC
Page Editor: Janet Baldwin
Last Updated:
January 18, 2007
For new name authority records (personal, corporate, or conference),
original catalogers enter records into OCLC via NACO, except in those
cases where local deviation from NACO is approved. The library's NACO Names Coordinator (currently Lisa Robinson) reviews the records before submitting them to OCLC.
Authority records can be created for any name. But they are only required
if:
- Cross-references are needed. For example:
- Compound surnames
- Personal names entered under first element
- Authors who publish under varying forms of their name (except where they normalize as the same).
- The name includes data that is not in the 245 |c and which must be
recorded in a 670. For example:
- Names for which a date is added. The default is to add a date when readily available.
- Names for which chief source initials are filled out. The
default is to add |q [full names] when readily available.
As of summer 2006 the Library of Congress began allowing the addition of death dates to name authority records with open birth dates. See the MSU Libraries' policy on adding death dates.
Search the library catalog. If the necessary record is not there, follow these steps:
- Search in the OCLC authority file. If found:
- Does record need corrections or additions? If yes, save in Connexion, make changes, and move or copy record to the Names Review File on the server for review by the NACO Names coordinator.
- If record is correct and complete, add your initials in a 690 field and export to the catalog. If you are overlaying an incomplete authority record in the catalog, add a 949 field to your record indicating the overlay (e.g., *ov=.a12345678; ).
- If no record is found in OCLC, go on to step 2.
- Search in the bibliographic file. If found:
- Does heading follow rules? If yes, use this form for your bib. record.
- If not, create the correct heading in your bib. record.
- Create an authority record. To use the Authority macro in Connexion:
- Place your cursor on the name you are creating.
- Go to: Tools: Macros: Manage: GenerateAuthorityRecord and click on Run.
- Edit all fields as necessary.
- Search any 4xx/5xx in both bibliographic and authority files.
- Record LC and/or OCLC headings and usage in 670s as
appropriate.
- Record MiEM and your initials in a 690 field (e.g., MiEM:jkb). Do not add the
date.
- If OCLC records need to be corrected to match the new authority record,
record their numbers in the 690 field (e.g., bfm 52-23768). [bfm
stands for Bib File Maintenance.] Use the LC number
for DLC records, the OCLC number for other records.
- If there is an authority record in the catalog that needs to be overlaid
with your new record, add a 949 field to your record indicating
the overlay (*ov=.a12345678)
- Notes or questions for NACO coordinator go into the 690 field. If you are not finished with the record, put DRAFT at the beginning of the 1XX field so that the coordinator will not review it.
- Move or copy record to the Names Review
File on the server. (Use the Move or Copy icon
or go to Action > Move [or Copy] Record and choose nar_review.auth.db.
The Names coordinator will review record, add to OCLC, and export to
the catalog.
BRIEF NOTES ON FIELDS
(Further details
and examples can be found in the NACO manual.)
Fixed Fields (those that must be filled in when using wfan):
Upd status:
a Record can be used
a References have been evaluated and are consistent with headings
b References have not been evaluated (found, but never used)
n Not applicable (does not contain 4xx/5xx references)
Auth status:
a Fully established heading
that has been used on a bibliographic record
Name:
a Differentiated personal
name
b Undifferentiated personal
name
n Not applicable (not
a personal name heading) = 110/111
Source:
c Cooperative cataloging
(i.e., NACO)
100/400
A cross-reference is needed if name differs to the left
of the comma or in the 1st element to the right of the comma. For example,
Smith,
John M. |q (John Michael) -- no cross-ref required
Smith,
J. C. |q (Joan Carol) -- cross-ref required
670 Brief
title, year: |b [where data found] ([data found])
Software
fabrication, 2002 : |b t.p. (Jack Greenfield)
675 Optional
690 Initials, but no date.
Also used for notes to coordinator & BFMs (bibliographic file maintenance
nos. to be sent by coordinator to LC so that they can update their records
to the new form)
952 No longer used
because the field is not working correctly in Connexion. If record is not ready for review, add DRAFT to the beginning of the 1XX field.
RULES & LCRIs
AACR2: 22.1B.
Determine the name ... 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 ... or is not known primarily as an author, determine
the name by which he or she is commonly known from reference sources issued
in his or her language ....
LCRI: 22.1.B
If an abbreviated name, add full name in parentheses, if known.
For Others (Non-authors):
d) If the only reference source is the item being cataloged, generally
use the fullest form found anywhere in the item whenever the name varies
in fullness. If the item gives both a nickname and a real name, generally
use the real name. When a less full form or a nickname is clearly the
one by which the person is best known, however, use this less full form
or the nickname in the heading.
AACR2: 22.3A1
If the forms of a name vary in fullness, choose the form most commonly
found. As required, make references from the other form(s). If no one
form predominates, choose the latest form. In case of doubt ... chose
the fuller or fullest form.
LCRI: 22.3A
Variant Forms Within One Item
If the name of an author appears in two or more forms in one work, apply the following:
1. If the name appears in two or more sources, once in the chief source
and one or more times in other sources, choose the form appearing in the
chief source.
title page:
T.B. Smith
verso of t.p.:
T. Basil Smith III
heading: Smith,
T. B. (T. Basil)
2. If the name does not appear in the chief source but does appear once
in another prominent source (cf. 0.8) and one or more times in other sources,
choose the form appearing in the prominent source.
verso of t.p.:
R.J. Gottschall
page 239:
Robert J. Gottschall
heading: Gottschall,
R. J. (Robert J.)
3. In all situations not covered by 1) or 2) above, choose the fullest
form of name.
verso of t.p.:
Victoria Galofre Neuto
page 1 of
cover: Victoria Galofre
heading: Galofre
Neuto, Victoria
Note: Do not choose for the heading a form appearing in the following
sources if the name appears prominently elsewhere in the item: 1) the
copyright statement; 2) the colophon for items published in the Soviet
Union.
22.3B. Language
22.3B1. Persons
using more than one language
For an author who writes in two or more languages, the rule includes
an "in case of doubt" provision, when there is no predominant language,
that sends the cataloger to reference sources of the person's country
of residence or activity. If there are no such reference sources, the
person is not listed, or for any other reason reference sources do not
settle the matter, use in the heading the form of name in the person's
native language.
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.
AACR2: 22.18. Fuller Forms
22.18A. If a fuller form of
a person's name is known ... add the fuller form to distinguish between
headings that are otherwise identical.
Optionally, make the additions specified above even if they are not needed
.... However, do not add:
- unused forenames to headings that contain forenames
- initials of names that are not part of the heading
- unused parts of surnames to headings that contain surnames.
LCRI: 22.18. Fuller Forms
22.18A.
For names that conflict, see 22.18-22.20.
For references, apply the provisions of LCRI 26.
Apply the optional provision. This means adding within parentheses the full form of an initial or abbreviation used in the heading when the full form is known with certainty. (In some cases of doubt, do not add the full form.) Do not search solely to discover this information if there is no conflict.
When adding the full form, observe the following guidelines:
1. If the initial occurs in the forename portion of the surname-forename
heading, give in the parenthetical addition not only the full form but
also the other forenames that appear in the forename portion of the heading.
However, do not include a particle or prefix that appears in the forename
portion. Place the parenthetical addition directly after the forename
portion and before any other addition (e.g., date, title).
Flam, F. A. (Floyd A.)
Smith, T. B. (T. Basil)
Wright, G. H. von (George
Henrik), 1916-
Beruete y Moret, A. de
(Aureliano), 1876-l922
Jaina, Pra. (Pr...ka¿a)
("Pra." is the systematically romanized form
of a single nonroman initial)
Smith, Arthur D. (Arthur
Dwight), 1907-
Bvindi, Francis A. A.
L. (Francis A. A. Lovemore), 1955-
NACO Manual
quotes
A. Trace a reference from each variant that affects the primary elements of the name (see LCRI 26.2). Generally, this means variations in all elements to the left of the comma and in the first element to the right of the comma.
Do not trace a 4XX "see" reference that would normalize to the same form as the 1XX or to the same form as the 1XX or 5XX in another record. (Note that 5XX "see also" references will normalize to the same form as established headings.)
Refer from other variants (i.e., those that do not affect the primary entry elements) when it is judged the access to the catalog would be improved, as in the case of differing search strategies in other databases. One frequently applicable factor is a rather common-sounding surname seen in the form found prominently.
B. Generally make one reference from each possible entry element of the name chosen as the heading.
C. Generally make only one reference from each variant. Use judgment in determining whether to make references that are "variants of variants."
D. In references with initials, generally include in parentheses the full form, if known. However, if the heading contains an initial without the full form being given there, make the reference "match" the heading.
100 1 Carroll-Spillecke, Maureen,
|d 1953-
400 1
Spillecke, Maureen Carroll-, |d 1953-
400 1
Carroll, Phyllis Maureen, |d 1953-
400 1
Carroll-Spillecke, M. |q (Maureen), |d 1953-
100 1 Hays, James D., |d 1926-
400 1
Hays, J. D. |q (James D.), |d 1926-
[not 400 10 Hays, J. D.
|q (James Donald), |d 1926- ]
100 1 Smith, John Samuel
400 1
Smith, John S. |q (John Samuel)
[In this case, since "John
Smith" is a very common name, it is a good idea to trace this cross reference
even though the primary elements are the same in the 100 and 400 fields.
See LCRI 26.2.]
100 0 H. D. |q (Hilda Doolittle),
|d 1886-1961
400 1
Aldington, Hilda Doolittle, |d 1886-1961
400 1
D., H. |q (Hilda Doolittle), |d 1886-1961
100 1 Williams, J. Llewellyn |q (John
Llewellyn)
400 1
Williams, John Llewellyn
100 1 Sword, Penelope Haley, |d b.
1736
400 1
Haley, Penelope, |d b. 1736