# Presentation: 941155

## BASIC CREATION OF NAME AND TITLE AUTHORITIES

**BASIC CREATION OF NAME AND TITLE AUTHORITIES**

**Module 1: Introduction**

## Scope

- Why do authority work?
- Principles of cataloging underlying authority control
- Benefits of authority control
- What is authority work?
- In-house administration and outsourcing

## Assumptions

- For this workshop we assume that:
- Catalogers use national standards: AACR2, LCRIs, and MARC 21
- Catalogers are working in an online environment
- Library is not a NACO institution

**Notes:**
Because they are the standards are the most widely used in the world this workshop assumes that catalogers use of AACR2R and the associated LCRIs as a content standard and MARC 21 authority records.  This workshop also assumes you are creating authority records for use in an automated library system.  It is important to note that, authority records can be created using other rules, and authority records can be created in non-MARC catalogs, and in both card files and on-line catalogs

This workshop assumes that you are not going to be participating in NACO (the Name Authority Cooperative, through which libraries actually contribute authority records to the LC/NACO Authority File or NAF)
We will give you fuller information about the NACO program towards the end of this series of workshops, in case your institution is interested in progressing to the next level of authority control and cooperative cataloging!
The NACO program offers excellent training programs for those who want to participate in NACO.

## Why do authority work?

## Need for authority work

- We need to do authority work because:
- There is no consistency present in materials cataloged
- Names and titles vary
- Names and titles change
- Headings that are not controlled present challenges to catalog users

## Need for authority work:names vary

- Need for authority work:names vary

- Different names in different publications:
- 	**James R. Smith**
**	****J.R. Smith**
**	****Jim Smith**
- Different names in same publication
**	****Title page: World Soybean Research ****	****Conference**
**	****Cover: Soybean Research Conference**
**	****Preface: Conference on World Soybean ****	****	****	****	****Research**

**Notes:**
As noted we do authority work because there is no consistency in materials we catalog.  Name often vary, for example:

There may be different names in different publications.  For example James R. Smith sometimes publishes under the name J.R. Smith and sometimes under the name Jim Smith

There may also be different names in the same publication.  For example a conference has one name on the title page, another on the cover and yet another in the preface or body of the text of its proceedings

## Need for authority work: titles vary

- Need for authority work: titles vary

- One title on the title page and another on the cover
- 	**Title page: Daisy Rabbit's tree house**
**	****Cover: Story from the village of Sandy Edge**
- One title on the cover and a different title in the running title
- 	**Cover: Magna bibliotheca anglo-judaica**
**	****Running title: Bibliotheca anglo-judaica**
- Motion picture reissued under a different title
- 	**Italian title: ****Ilaria Alpi, il piu crudele dei giorni **
**	****English title: Cruelest day****	**

**Notes:**
Titles can vary as well.
For example an item may have one title on the title page and another on the cover
	Title page: Daisy Rabbit's tree house
	Cover: Story from the village of Sandy Edge
Another may have one title on the cover and a different title in the running title
	Cover: Magna bibliotheca anglo-judaica
	Running title: Bibliotheca anglo-judaica
A motion picture can be reissued under a different title
	Italian title: Ilaria Alpi, il piu crudele dei giorni 
	English title: Cruelest day

## Need for authority work:names change

- Need for authority work:names change

- Women get married and take their husband's name
**	****Jacqueline Kennedy Onassis**
- Actors take on stage names
- 	**Real name: Allen Stewart Konigsberg**
**	****Stage name: Woody Allen**
- Corporate bodies merge and split
- 	**Northside Neighborhood Association merges with Westside Neighborhood Association to create North-Missoula Community Development Corporation**

**Notes:**
Not only can names vary, they can also change. For example
Women get married and take their husband's name
	Jacqueline Kennedy Onassis
Actors take on stage names
	Real name: Allen Stewart Konigsberg
	Stage name: Woody Allen
Corporate bodies merge and split
	Northside Neighborhood Association merges with Westside Neighborhood Association to create North-Missoula Community Development Corporation

## Need for authority work:titles change

- Need for authority work:titles change

- Serial changes its title
- 	**SAMPE quarterly **becomes the **Journal of advanced materials**
- Editions are revised and published under a different title
- 	**1965 ed.: Marine decapod crustaceans of the Carolinas**
**	****1984 ed.: Shrimps, lobsters, and crabs of the Atlantic Coast of the Eastern United States, Maine to Florida**

**Notes:**
Titles can change.  For example
Serial changes its title
	SAMPE quarterly becomes the Journal of advanced materials
Editions are revised and published under a different title
	1965 ed.: Marine decapod crustaceans of the Carolinas
	1984 ed.: Shrimps, lobsters, and crabs of the Atlantic Coast of the Eastern United States, Maine to Florida

## Principles of Cataloging Underlying Authority Control

- Principles of Cataloging Underlying Authority Control

## Paris principles, 1961

*Functions of the Catalogue*
- 	The catalogue should be an efficient instrument for ascertaining
- 		2.1 whether the library contains a particular book specified by
- 			(a) its author and title *or*
- 			(b) if the author is not named in the book, its title alone, 			*or*
- 			(c) if author and title are inappropriate or insufficient for
- 			identification, a suitable substitute for the title; and
- 		2.2
- 			(a) which works by a particular author and
- 			(b) which editions of a particular work are in the library.

**Notes:**
The user of a catalog should be able to:

Identify items by author
Identify items by title or substitute
Identify works by an author
Identify editions of works held

## Principles of cataloging

- Principle of uniform headings
- Principle of unique headings
- Principle of the name commonly known
- Principle that a change of name is a change of identity
- Principle of hierarchical force

## Principle of uniform headings

- Two different names representing the same entity (name variation) should be resolved into one heading with see references from variants

**Notes:**
There should only be one name used to represent an entity:
If variant names are found, choose one to represent the entity,
See references should be made to refer from forms that were not chosen.

## Principle of uniform headings: examples

**Jones, Jim, 1948-**
***	******	******Search under*****:**
**	****	****Jones, James T., 1948-**
**Bouvier, Jacqueline, 1929-**
***	******	******Search under*****:**
**	****	****Onassis, Jacqueline Kennedy, 1929-**
**Kennedy, Jacqueline Bouvier, 1929-**
***	******	******Search under*****:**
**	****	****Onassis, Jacqueline Kennedy, 1929-**

**Notes:**
For example if Jim Jones born in 1948 is also known as James T. Jones you would select one form, in this case Jones, James T., 1948- and have a see reference from the other.  This would display in the catalog as shown to direct patrons to the right form.

Another example is Jacqueline Bouvier; later married President John F. Kennedy, and then Aristotle Onassis. We select one form Onassis, Jacqueline Kennedy, 1929- and make references from the others.  Note that Onassis is the only authorized heading

## Principle of uniform headings: examples

**FBI**
***	******	******Search under*****:**
**	****	****United States. Federal Bureau of**
**	****	****Investigation**
**	****	**
**Chance meeting (Motion picture)**
***	******	******Search under*****:**
**	****	****Blind date (Motion picture)**

**Notes:**
The same thing happen with corporations, for example we select “Federal Bureau of Investigation” to represent the entity and then make a reference to the other forms.

Titles can also vary.  For example a motion picture issued in the United Kingdom as ‘Blind date’ was later issued in the United States as ‘Chance meeting’

## Principle of unique headings

-   Two different entities with the same name should be given different headings

**Notes:**
The second principle is the principle of unique heading.  Two different entities with the same name should be given different headings.  To do this we use additions to names so that each separate entity has a distinct heading.

## Principle of unique headings: examples

- Two people named George Bush
- 		**Bush, George, 1924-**
**	****	****Bush, George W. (George Walker), 1946-**

**Notes:**
For example two people named George Bush.  We use birth dates and middle names to make them different.

Trainers:
You may want to note that sometimes  we are unable to find any information on a person, and we have to establish them on the same record as the other people with the same name who also have no distinguishing information (an initial, a birth date, etc.) to allow us to “break the conflict.”  You will need to be on the lookout for these special “undifferentiated name” records—more later in the section on establishing personal names.
You may also note: when breaking a conflict between two different persons with the same name, you need only add something to one of the names to break the conflict; the name that is already in the file can remain unchanged.

## Principle of unique headings: examples

-    Two museums called Museum of Modern Art
- 		**Museum of Modern Art (New York, N.Y.)**
**	****	****Museum of Modern Art (Rijeka, Croatia)**

**Notes:**
Another example is two museums called Museum of Modern Art.  Here we use the place they are located to make them different.

Trainers:
You may want to note: When breaking a conflict between two corporate bodies with the same name, you need to add something to both names to break the conflict.  This means that you will have to change records retrospectively to break the conflict, which, as we have noted, is not the case with personal names.

## Principle of unique heading: examples

- Different films released under the same title
- 		**Star is born (Motion picture : 1937)**
**	****	****Star is born (Motion picture : 1954)**

**Notes:**
Another example.  Two movies called ‘Star is born’.  Here we use dates of production to make them different.

## Principle of the name commonly known

-    Use for the uniform heading the name by which an entity is most commonly known

**Notes:**
When a person, corporate body or work is known by more than one name, we want to choose as our preferred form (our uniform heading) the name by which they are identified most frequently in works published in their own language in their country of origin

## Principle of the name commonly known

- Personal names (AACR2 22.1A, 22.1B): form found on items issued in the person’s language or in reference sources
- Corporate names (AACR2 24.1A): form found on items issued by the body, in the language of the body, or in reference sources
- Works (AACR2 25.3A): Commonly-appearing title in original language

**Notes:**
Rules for determining which name is the most common are found in AACR2:
Personal names
	AACR2, 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. ...
	AACR2, 22.1B. Determine the name by which a person is commonly known from the chief sources of information (see 1.0A) 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 issued in his or her language or country of residence or activity.

Corporate names
	AACR2, 24.1A.  Enter a corporate body directly under the name by which it is commonly identified, except when the rules that follow provide for entering it under the name of a higher or related body (see 24.13) or under the name of a government (see 24.18).
	Determine the name by which a corporate body is commonly identified from items issued by the body in its language (see also 24.3A), or, when this condition does not apply, from reference sources.

Works
AACR2R 25.3., Works created after 1500
25.3A. Use the title or form of title in the original language by which a work created after 1500 has become known through use in manifestations of the work or in reference sources.
EXAMPLE:
Tchaikovsky, Peter Ilich, 1840-1893. Nutcracker suite. 
Search under: 
Tchaikovsky, Peter Ilich, 1840-1893. Shchelkunchik. Suite.

## Principle of the name commonly known: examples

- 	**Konigsberg, Allen Stewart**
**	****	*****Search under*****: **
**	****	****Allen, Woody **
**	****Blair, Eric Arthur, 1903-1950**
**  ****	****	*****Search under*****: **
**	****	****Orwell, George, 1903-1950**

**Notes:**
For example Allen Stewart Konigsberg is commonly known as Woody Allen. Since he does not write or direct under this name we use Woody Allen as the basis for the heading (which is inverted to Allen, Woody).

Another example is Eric Arthur Blair who is commonly known as George Orwell.  Since he never published works under his real name we use George Orwell as the basis for the heading.

## Principle of the name commonly known: examples

- 	**Eliot, Thomas Stearns, 1888-1965**
**	****	*****Search under*****:**
**	****	****Eliot, T. S. (Thomas Stearns), **
**	****	****1888-1965**

**Notes:**
Another example is Thomas Stearns Eliot who always published using his initials.  So that is the name he is commonly known by, so for the heading we use the initials T. S. Eliot.

## Principle of the name commonly known: examples

**	****PLO**
***	******Search under:***** **
**	****Munazzamat al-Tahrir al-Filastiniyah**
**	****Tchaikovsky, Peter Ilich, 1840-1893. Nutcracker suite**
***	******	******Search under: ***
**	****	****Tchaikovsky, Peter Ilich, 1840-1893. ****	****Shchelkunchik. Suite**

**Notes:**
Sometimes commonly known does not mean commonly known in the language of the cataloger.  It is important to follow the rules and use the language of the entity.

## Principle that a change of name is a change of identity

-    In some cases a change of name implies a change of identity.
-    In cataloging theory this includes:
- Pseudonyms
- Corporate bodies
- Works
-    In these cases, both names are valid and should be represented in a library catalog

**Notes:**
When a corporate body or work changes its name, two separate but related headings are created. Both names then, the older and the newer, can be represented in a library catalog. A similar situation happens for people in the case of pseudonyms. Different headings are created for the different forms of the name; all forms can then appear as headings in the catalog.

## Principle that a change of name is a change of identity: pseudonyms

- If an author uses different pseudonyms (AACR2 22.2B):
- Each different name has its own heading
- Refer from one to the other
- In some cases an author must have works of different types to have separate headings

**Notes:**
Rules for determining how to deal with changes of name are found in AACR2.  For pseudonyms:
AACR2R 22.2B: use by an author of two different names is considered to establish two separate identities for all contemporary authors (those still living and those who died after 1900) and for earlier authors who have “established two or more bibliographic identities, as indicated by the fact that works of one type appear under one pseudonym and works of other types appear under other pseudonyms or the person's real name.” 
“Choose, as the basis for the heading for each group of works, the name by which works in that group are identified. Make references to connect the name (see 26.2C and 26.2D). In case of doubt, do not consider a person to have separate bibliographic identities. ...”

We will be going into this in more detail in the section on personal names.

## Principle that a change of name is a change of identity: pseudonyms examples

- Principle that a change of name is a change of identity: pseudonyms examples

**	****Dodgson, Charles Lutwidge, 1832-1898**
**	****	*****Search also under:***
**	****	****Carroll, Lewis, 1832-1898**
**	****Carroll, Lewis, 1832-1898**
**	****	*****Search also under:***
**	****	**** ****Dodgson, Charles Lutwidge, 1832-****	****1898**

**Notes:**
Charles L. Dodgson (Real name used in works on mathematics and logic)
Lewis Carroll (Pseudonym used in literary works)

## Principle that a change of name is a change of identity: corporate bodies

- Principle that a change of name is a change of identity: corporate bodies

- When a corporate body changes its name (AACR2 24.1C1):
- Establish separate headings for each new name
- Refer from one to the other

**Notes:**

AACR2R, 24.1C1. If the name of a corporate body has changed (including change from one language to another), establish a new heading under the new name for items appearing under that name. Refer from the old heading to the new and from the new heading to the old (see 26.3C).

We will be going into this in more detail in the section on corporate bodies

## Principle that a change of name is a change of identity: corporate bodies examples

- Principle that a change of name is a change of identity: corporate bodies examples

**	****National Association for the Study and Prevention of Tuberculosis**
**	****	*****Search also under the later heading*****:**
**	****	****National Tuberculosis Association**
**	****National Tuberculosis Association**
**	****	*****Search also under the earlier heading*****:**
**	****	****National Association for the Study **
**	****	****and Prevention of Tuberculosis**

## Principle that a change of name is a change of identity: corporate bodies examples

- Principle that a change of name is a change of identity: corporate bodies examples

- 	**British Honduras**
**	****	*****Search also under the later heading*****:**
**	****	****Belize**
**	****Belize**
**	****	*****Search also under the earlier heading*****:**
**	****	****British Honduras**

## Principle that a change of name is a change of identity: works

- Principle that a change of name is a change of identity: works

- In many cases when a work changes its name it retains its identity.
- For example when a work is translated and receives a new title it remains the same work
**Twain, Mark, 1835-1910. Aventuras de Huckleberry Finn**
- 	*Search under*
**Twain, Mark, 1835-1910. Adventures of Huckleberry Finn. Spanish**

## Principle that a change of name is a change of identity: works

- However, in some cases when a work changes its name it does not retain its identity
- Under AACR2 25.2B a manifestation of a work in the same language that is a revision or updating of the original work is not connected by a uniform title but by giving the title of the earlier edition in a note in the entry for the later edition and by making an added entry as appropriate

**Notes:**
When a corporate body or work changes their name we consider them to have two different identities. In most cases, both are valid and should be represented by distinct headings in a library catalog

Works (rev. versions; series and serials, to be covered in another unit)
AACR2R, 25.2B.: Do not use a uniform title for a manifestation of a work in the same language that is a revision or updating of the original work. Relate editions not connected by uniform titles by giving the title of the earlier edition in a note in the entry for the later edition (see 1.7B7, 2.7B7, etc.) and by making an added entry as appropriate (see 21.30G).

We will be going into this in more detail in the section on uniform titles.

## Principle that a change of name is a change of identity: works examples

- 2nd ed, 1977: Basic human psychology
- 3rd ed., 1982: Human physiology and mechanisms of disease
- Both by Arthur C. Guyton
- No uniform title used to connect the two

**Notes:**
The text Basic human physiology (2d ed., 1977) changed its title to Human physiology and mechanisms of disease (3rd ed., 1982). Both are entered under the author Guyton, Arthur C., but no attempt is made to assign a work identifier using a uniform title to pull these two records together; they are treated as if they were two different works by the same author

## Principle of hierarchical force

-    When a heading has a hierarchical relationship to any other headings that begin with that heading, cross references made on the main heading are not repeated on the subordinate headings

**Notes:**
A heading has a hierarchical relationship to any other headings that begin with that heading and include subsequent titles or subdivisions, such that a cross reference that is made on the main heading is not repeated on the subordinate headings

## Principle of hierarchical force: examples

- A cross reference from ‘FBI’ is on the record for ‘United States. Federal Bureau of Investigation’
- The FBI reference is not repeated on records for corporate subdivisions of the FBI

## Principle of hierarchical force: examples

- Cross references to Tchaikovsky are only on the authority record for Tchaikovsky
- Cross references to Nutcracker are only on the authority record for Nutcracker
- Cross references to Nutcracker suite are only on the authority record for the suite

## EXERCISES1-10

- EXERCISES1-10

- 	Identify the cataloging principle being applied in each of these cases

**Notes:**
Do not move on to next slide until exercises are completed and you are ready to show the answers

## Benefits of Authority Control

## Benefits for catalog users and public services librarians

- Guarantee that users find *all* the works of the author they are looking for
- Guarantee that users find the particular work they are looking for
- Increases precision and recall
- Reduces large result sets
- Federated searching can be done with more confidence

**Notes:**
Authority control is value that librarians can add to our catalogs.  Without authority control we create finding lists not catalogs. 

Even more important for “federated searching.” When many institutions use the same forms of name for authors, works and subjects, researchers can more easily do cross-collection searching with confidence that they are getting accurate information about what is held in many different collections

## Benefits for vendors

- Provides for more efficient searching
- Provides for adherence to standards so data can be more easily manipulated by computers
- Less computer power

## Benefits for technical services

- Catalogers
- catalog is more accurate
- provides for adherence to standards
- allows for exchange of records
- Acquisitions
- less likely to acquire duplicates
- ILL
- fewer mistakes

## Benefits for administrators

- Shows a standard of professional service
- Provides for more efficient searching
- Potential cost savings

**Notes:**
The hallmark of professional service as opposed to the cheap and inefficient searching provided by Google and the like; a justification for spending tax dollars on libraries as institutions

## What is Authority Work?

- What is Authority Work?

## What is an authority file?

- Collection of individual authority records
- Includes all types of headings (names, titles, subjects, etc.)
- Different and often separate from the bibliographic file

**Notes:**
Authority files contain authority records that represent the following entities:
Persons
Corporate bodies and jurisdictions (the latter overlapping with geographic names)
Conferences and other recurring events
Works

Authority files also contain records for topical subjects, geographic areas, genres and forms, but we are not covering those entities in this set of workshops.

In contrast, bibliographic files contain bibliographic records that represent expressions and manifestations of works

## The authority record

- Most authority records are created using  nationally accepted standards and rules including:
- Anglo American Cataloging Rules 2nd Edition (AACR2)
- Interpretations of the AACR2 rules by the Library of Congress (Library of Congress Rule Interpretations; LCRIs)
- MARC21 format for authority data

## The authority record

- Authority records include:
- Preferred form (1XX): used
- See reference tracings (4XX): not used
- See also reference tracings (5XX): related headings
- Sources for the heading and references (6XX)
- Scope and history notes (6XX)

**Notes:**
The authority records contain see reference tracings that direct users from variant forms of name to the preferred form of name for the entity 

The preferred form of name for the entity is the only form found in the bibliographic record headings fields

The authority records also contain see also references that direct users from related entities to this entity (such as from an earlier name of a corporate body to the current name)

The authority record may also contain scope and history notes that explain the use of the heading or help the librarian identify the entity that is represented by the heading

## The authority record: see reference example

- The authority record: see reference example

- As found in authority record:
- 	110 2_ $a Royal Canadian Mounted Police
- 	410 2_ $a Mounties
- As displayed in OPAC:
**	****Mounties**
***	******search under:***
**	****Royal Canadian Mounted Police**

**Notes:**
Example of a see reference in MARC:
	110 2_ $a Royal Canadian Mounted Police
	410 2_ $a Mounties
OPAC display:
Mounties
Search under:
Royal Canadian Mounted Police

## The authority record: see also reference example

- The authority record: see also reference example

- As found in authority record:**	**
**	****110 1_ $a United States. $b Dept. of Homeland Security**
**	****510 1_ $w a $a United States. $b Office of ****	****Homeland Security**
- As displayed in OPAC:
**	****United States. Dept. of Homeland Security**
***	******Search also under the earlier name*****:**
**	****United States. Office of Homeland Security**

**Notes:**
The ‘$w a’ in the reference tracing labels the name in the 510 field as the earlier name. When this becomes a reference tracing, it ends up referring from the earlier name to the later name.

Note that the $w subfield is displayed at the start of the field by some systems and at the end by others.

There would also be an authority record for the Office of Homeland Security, with a see also reference tracing for the Department of Homeland Security, labeled as the later name.

## The authority record: source of information example

- The authority record: source of information example

**	****100 1_ $a Stuart, Gloria**
**	****670 __ $a The crime of Dr. Forbes [MP], ****	****1936: $b credits (cast, Gloria Stuart)**
**	****670 __ $a Halliwell****’****s Filmgoer****’****s comp., ****	****1988 $b (Stuart, Gloria; b. 1909; AKA ****	****Gloria Stuart Finch)**
**	****670 __ $a Letter from Gloria Stuart, 1-****	****30-89 $b (operator of private press is ****	****same as actress)**

**Notes:**
These notes list the information consulted when the authority record was being constructed.

These notes are tagged 670, a field that is not designed for display in the OPAC. Reference librarians should be alerted to the value of viewing the full authority record because of the existence of valuable identification in 670 fields that do not generally display in OPACs, even those OPACs that do display information from authority records.

## The authority record: information/usage note example

- The authority record: information/usage note example

**	****151 __ $a Germany (East)**
**	****667 __ $a Headings for Germany until the end of ****	****World War II are found under: Germany. ****	****Headings for the government of the Territory ****	****under Allied occupation which existed 1945-****	****1955 are found under: Germany (Territory ****	****under Allied occupation, 1945-1955); ****	****Germany (Territory under Allied occupation, ****	****1945-1955 : British Zone); Germany ****	****(Territory under Allied occupation, 1945-****	****1955 : French Zone); Germany (Territory under Allied occupation, 1945-1955 ****...**

**Notes:**
The note in this record is actually too long to fit on this screen.

This note is tagged 667, a field not designed for display in the OPAC. This note lists many other headings that might be of use for the cataloger to know about when cataloging something about East Germany.

Reference librarians should be alerted to the value of viewing the full authority record because of the existence of valuable identification in 667 fields that do not generally display in OPACs, even those OPACs that do display information from authority records.

## Relation between authority and bibliographic files

- Bibliographic headings correspond to authority headings
- Headings in authority records control headings in bibliographic records

**Notes:**
Each heading in a bibliographic record can potentially have a corresponding authority record.

The headings found in authority records dictate the headings used in bibliographic records.

## Links between authority and bibliographic records

- Depends on the library system
- Some systems link between authority and bibliographic headings which enables automatic global modification of headings

**Notes:**
Some library information systems will link each authority record to all occurrences of the heading in the bibliographic records in order to enable global modification (one change to the preferred heading (1XX) in the authority record will automatically proliferate to the bibliographic records)

## Browsing headings

- Alphabetical list of headings similar to heading being searched
- Should include see references
- Increases precision and recall

**Notes:**
Some library information systems will allow OPAC users to search the authority records before proceeding to the bibliographic records; this allows users to match cross references from variant forms of name to increase precision, and to follow see also references to increase recall

These are sometimes called 'headings' or 'browse' searches.

## Browsing headings

## In-house administration and outsourcing 

- In-house administration and outsourcing

## In-house authority control

- Authority work performed by library’s own staff
- Who does the work?
- Paraprofessional vs. professional
- Dedicated authority librarian
- Other issues:
- Staff education

**Notes:**
Role of the paraprofessional copy cataloger vs. professional librarian cataloger will vary from institution to institution

Authorities librarians
If your institution can afford it, you should have at least one professionally educated authorities librarian on your staff who is familiar with the cataloging principles and the national standards

All technical services and public services staff should be educated about authority control so that they know when to consult with or refer problems to the authorities librarian or librarians

## In-house authority control

- Issues to address:
- File maintenance over time
- Workflows
- Pre- vs. post- cataloging
- When to create an authority record
- Use of the LC/NACO authority file

**Notes:**
Maintenance of the file over time
You will need to build work flows for maintaining your authority files over time

Some larger institutions using bibliographic utilities such as OCLC will do much of their authority control as post-cataloging, with computer programs that look for headings that do not yet have authority records or that conflict with newly loaded authority records

Some institutions will rely on vendors to do pre-cataloging authority control; authority records will be loaded before the books arrive. Library staff handles post-cataloging authority control.

Ways some libraries economize:
download or create authority records only for headings with references; 
point to national level authority file as the reference file instead of downloading the records 

## Outsourcing authority control

- Authority work performed by a vendor, outside of library
- Vendors can provide a variety of services that can do all or just parts of a library’s authority work
- Bibliographic records can be shipped to a vendor in batches
- Vendors provide reports to help do clean up and maintenance of authority files

**Notes:**
Primarily batch processing
Works from pre-existing bibliographic records

## Outsourcing authority control: selected vendors

- Marcive
- Backstage
- Autographics
- Follett Software, Inc.
- Gaylord
- Internet Systems, Inc.
- LSSI
- Library Technologies (LTI)
- ITC

## Outsourcing authority control: questions

- What are your goals?
- How does your system deal with automated bibliographic changes? How will vendor loads affect this?
- What is the schedule for ongoing maintenance?
- What is the pricing structure?
- How will you match hierarchical headings?
- Which subfields are included in matching?

**Notes:**
What are your goals?
One time retrospective clean-up? e.g. move to new OPAC software?
Periodic updates?  Options: changes in 1XX? changes in 4XX, 5XX?
Ongoing maintenance, e.g. daily?

What are the pricing structures?  per record? per heading? flat rate based on database size? customization fees?

Will the vendor include all levels of a hierarchical heading and match the parts independently?  (Example, composer, work and part of work, each have their own authority record, but are combined to make the work heading for the part.)

Will the vendor exclude selected subfields from matching, e.g. 700 $4 and $e subfields?

## Outsourcing authority control: questions

- Which tags and indicators are included in matching?
- How will you deal with ‘blind’ headings used with additions?
- Do you have old national authority records in your local file?
- How will you deal with tag and indicator changes?

**Notes:**
Will the vendor protect your blind headings, i.e. headings that are unposted by themselves, but are present with subdivisions and other additions to the main heading?  
Example: If you have a bib record with the heading United States. Federal Bureau of Investigation. Counterterrorism Section, you need the authority record for the Bureau, even if the heading for the Bureau is unposted by itself, in order to get a see reference from FBI.

Will the vendor match an old record in your file to a subsequently merged record in the national name authority file?  
Example: 
	New York (N.Y.) sh 85091414 [old]; 
	New York (N.Y.) n79007751 $z sh 85091414 [new])

Will the vendor match on tags and indicators, not just character strings?  
Examples: 
X00 Ada should not merge with 410 ADA; 
130 Irlande (a uniform title) should not merge with 451 Irlande, a see reference to Ireland.

Will the vendor handle tag changes?

## Outsourcing authority control: questions

- Do you have authority records in your file that were only created locally? What about any local additions to authority records?
- How are diacritics encoded?
- How is normalization used in matching?
- How are records marked by vendor?
- Is there handling of parallel vernacular fields (880s)?
- Are there local software modifications?

**Notes:**
Do you have local additions to authorized headings you need to protect from change?  
Examples: 
local cross references that differ from national level ones 
local heading decisions that differ from national level ones 
different call number for an author locally

What method of encoding diacritics is used by the vendor?

What normalization rules will the vendor follow in matching headings?

Will the vendor mark authority records and bibliographic records as having been processed in some way?

Is any special processing done of records with parallel vernacular fields?

To what degree will your ILS vendor need to modify software or make other changes to fit the specifications of the outsourcing vendor?

## Outsourcing authority control: reports

- Authority control vendors can supply one or more reports showing things done and things that need your attention.  Some reports include:
- Two identical 4XX fields (split heading?)
- Changes in ‘unique personal name’ code

**Notes:**
Authority control vendors supply one or more reports showing things done and things that need your attention. You may think of additional reports that will be of use.  For example:

Will the vendor give you a report if your heading matches on two identical 4XX’s in the national authority file? (two 400’s? two 410’s?)

Will the vendor give you a report of all changes in the 008 code for undifferentiated names so you can check all newly unique names against your file? Example:
	“Collins, Kevin” was originally set up as an undifferentiated personal name. In 2004, a birth date for one Kevin Collins was found, and he was established under a heading that included the birth date. If you have his book “The cultural conquest of Ireland,” you need to change your heading.

## Outsourcing authority control: caveats

- False matches may result in heading change
- Exclude irrelevant subfields (e.g., 700 $e)
- Heading becomes undifferentiated or undifferentiated heading splits
- Exclude series and conference headings
- Vendor’s copy of  your authority file must be kept in sync

**Notes:**
The vendor will map any heading that matches on a 1XX or a 4XX in the LC/NACO Authority File (NAF) to the heading in that authority record.  If you have a local heading (not yet in NAF) that matches on 1XX or 4XX fields for the wrong person, corporate body or work, you will have problems that cannot be detected by the algorithm.  

Only human review can prevent these problems; review periodic change reports from the vendor carefully.

Example: 
	local heading X00 0_Madonna could merge with NAF 100 0_Mary, $cBlessed Virgin, Saint [with 400 0_Madonna, The] (n81018544 $zsh 85081692), if you do not yet have Madonna updated to the current form (Madonna, 1958- n84156128 $zno98026221)

Example: 
	Elizabeth Gregory, who writes on anaplasmosis in beef cattle, could merge with the authority record for Elizabeth Gregory, author of Quotation and modern American poetry, if you have not yet updated the former to add her birth date (1962-)

Some subfields should be excluded from matching, e.g. 700 $4 and $e subfields; be sure to do this, if your vendor offers this option
If you have an old form of a heading in your file that used to be undifferentiated in NAF but has subsequently been differentiated, the vendor's matching program will probably not be able to make the match

Some people exclude series and conference names from vendor updating on the grounds that too many problems ensue

If you plan to update your file periodically, some vendors will want to maintain a copy of your authority file themselves; this means that any change you make locally will have to be made twice, once in your local authority file and once in the copy held by the vendor

## END OF MODULE 1

## BASIC CREATION OF NAME AND TITLE AUTHORITIESModule 2: Basics of the MARC Authority Record

**BASIC CREATION OF NAME AND TITLE AUTHORITIES****Module 2: Basics of the**** MARC Authority Record**

## Scope

**Scope**

- Definition of MARC and its history
- MARC standards in authority control
- Basic components and content designators
- How authority records display
- Relationship of authority and bibliographic records

**Notes:**
Trainer’s notes:
This module provides very basic information on the MARC 21 authority record and MARC 21 standards. 
Discussion of MARC 21 standards needs to include some authority content, such as headings, reference tracings, and notes so that fields and content designators can be put into context.  However, the rules that govern the form of the content will not be addressed in this Module.
Trainers should let trainees know that if they have specific “rule-based” questions on how headings are established, they should wait to ask them when the appropriate Module is given in the program.

## Definition of a MARC authority record

- Definition of a MARC authority record

- MARC = **Ma**chine **R**eadable **C**ataloging record
- Machine readable means that computers can read, and interpret the data in an authority record

**Notes:**
Trainer’s notes:
This module will explain the basics about the structural components and how they work.

## History of MARC

- 1960s: LC MARC bibliographic format
- 1970s: Authority format
- 1990s: MARC formats evolved into MARC 21
- MARC authority standards are maintained by LC and MARBI
- Most libraries use MARC 21 records for their authority work

**Notes:**
Trainer’s notes:
After second bullet you may want to add:
In addition to MARC 21 formats for bibliographic and authority data there are also: MARC 21 formats for holdings data, classification data and community information. These existed in various national formats many of which were consolidated into MARC 21

MARBI is the Machine-Readable Bibliographic Information Committee of the American Library Association

## Documentation

- Documentation published in the *MARC 21 Format for Authority Data*. It is available in print and online as part of the MARC infobases in *Cataloger**’**s Desktop*
- The *MARC21 Concise Format for Authority Data*, can be found online, for free at:
- 	http://www.loc.gov/marc/authority/ecadhome.html

**Notes:**
Trainer’s notes:
The free, online MARC21 Concise Format for Authority Data does not include examples found in the more comprehensive documentation.

## MARC and authority control

- MARC and authority control

- MARC authority records contain established forms of headings, reference tracings, and notes
- Authority control is the process of establishing headings and using those headings for access points on bibliographic records

**Notes:**
Trainer’s notes:
Integrated library systems can manipulate authority record data to organize headings and related bibliographic records in meaningful displays.
The next slide and comments will give an example.

## MARC and authority control

- Basic labeled display of bibliographic information
- Author:	**Winter, Douglas E., 1950-**
- Main Title:	Stephen King, the art of darkness / by
-  			Douglas E. Winter.
- Published: 	New York : New American Library, c1984.
- Description:	xix, 252 p. [8] p. of plates : ill. ; 24 cm.
- Subjects:	**King, Stephen,1947- --Criticism and ****	****	****	****interpretation.**
- 			**Horror tales, American--History and ****	****	****	****criticism**.

**Notes:**
Trainer’s notes:
The Author and Subjects (in bold on the slide) are controlled access points from the bibliographic record. Each part of the heading is contained in separate authority records. Two of the headings are also subdivided.
This slide represents a typical bibliographic display in a public online catalog.
If a user wants to find more books about the author Stephen King, a subject search of his name would display additional records.
A search for “Winter, Douglas” would bring up a display for any authors by that name and a listing of any books available by them in the library.  If the searcher was interested in only the Douglas Winter writing about Stephen King, the titles associated with Stephen King would display.
Without authority control, locating materials by a particular author, or a particular subject would be very difficult.
As we go through the rest of the this Module, we will go over specific authority record components and data elements.

## Role of MARC authority records

- MARC authority records:
***	******Do not***
- Set rules for formulating headings
- 	***Do***
- Allow exchange of information via mutually accepted standards

**Notes:**
Trainer’s notes:
Rules for creating the content of an authority record—that is the headings, cross references, notes, etc.— are found in AACR2, the Library of Congress Rule Interpretations, and other resources.
So, in an automated environment a cataloger uses rules that apply to the content of the headings, etc. and standards that allow the content to be held, carried and used in library systems. 

## Role of MARC authority records

- MARC authority records:
***	******Do not***
- Represent library materials
*	****Do***
- Act as* carriers* of authority record content
- Provide a framework that links headings and access points for searching library materials

## Looking at the MARC authority record

- Framework
- Fields
- Content designators
- Tags
- Indicators
- Subfield codes/delimiters
- Basic authority record content
- Basic structural component

**Notes:**
Trainer’s notes:
This slide shows the order in which we will look at the MARC authority record.
Trainers might emphasize here, again, that rules will not be discussed—that the authority record content of headings, reference tracings and notes are used only to provide a context for MARC structural components and content designators.

## MARC authority record: framework

- The framework of the MARC authority record
- provides a mechanism that allows:
- Searching for headings
- Displaying headings, related headings and bibliographic records containing the headings
- Retrieving specific data within an authority record
- Sharing of authority records
- Receiving automated updates from authority vendors

**Notes:**
Trainer’s notes:
It is not the intent of this Module to go into the specific mechanisms that allow authority records to be stored or shared.

## Authority record displays in library systems

- Bibliographic databases/library systems
- display authority searches and records in
- different ways. This indicates:
- The flexibility of the MARC format
- How authority record content remains intact when *shared* between bibliographic databases and library systems

**Notes:**
Trainer’s notes:
The next slides will show:
Search displays and authority records in OCLC and LC for author Amanda Cross.
These displays show the different search displays in each bibliographic database even though the information is based on the same standards—MARC 21. 
The records will show fields, tags, and subfields which will be discussed later in this Module.

## OCLC authority search

**Notes:**
Trainer’s notes:
This screen shot of shows a display from an OCLC search for: Cross, Amanda, 1926-
Note the presence of additional headings beginning with Cross, Amy and Cross, Amy J.
The bracketed 100, and 500 field tags below the author’s name are in the authority record; the bracketed 400 after collected stories and the bracketed 100 after short stories selections are in another authority record associated with the author’s body of work.
The next slide shows the authority record for the author.

## OCLC authority record display

**Notes:**
Trainer’s notes:
This is the authority record for Amanda Cross.
Note the 100 and 500 fields that we saw in the search results.
The 100 is for the heading; the 500 is for another name under which this author writes.
The presence of the 500 field indicates that there is another authority record associated with this person—that is she writes in another subject area and it was decided that two authority records are needed to represent this person and her works.
This is an instance in which a tag (500) indicates the content of the field.
In further slides in this Module we will go over tags and their functions.
In additional Modules in this program, you will learn the decisions used in creating the content.

##  LC authority search

-  LC authority search

**Notes:**
Trainer’s notes
This slide shows search results for Amanda Cross in the Library of Congress catalog.
Note the differences in this search results display from the displays in OCLC.
This display combines some of the fields and tags found in both the OCLC search displays.
There are tags (1XX rather than 100; and 5XX rather than 500) as in the OCLC search display.
There are Search also references as well has the other authority heading associated with the author.
However there are no 4XX or additional headings listed for the associated works of the author.
By clicking on the link Cross, Amanda, 1926-  the authority record for Amanda Cross will display (see next slide).

## LC authority record display

**Notes:**
Trainer’s notes
Authority records in LC (MARC display) look different from ones in OCLC; note the 008 field. There are also some fields in LC authority records that are not in OCLC.

## LC authority record labeled display

**Notes:**
Trainer’s notes:
This display uses labels, such as “Heading” and “Found in”.
It does not include fixed fields or an 008.
This display might be similar to how authority records might look in other library automated systems.

## Authority record displays in library systems

- MARC authority records are important to successful searches in library catalogs
- Different systems can index fields and display them in different ways
- MARC authority records remain intact when shared between bibliographic databases

**Notes:**
Trainer’s notes:
Successful searching is dependent on the MARC authority record.  It provides standardized mechanisms for data (authority content) to be manipulated into functional displays.
We have seen in the last set of slides how systems use MARC authority data differently—yet the content remains the same.
At the end of this Module we will look at the MARC communications format for an authority record.

## Fields

- Authority records are divided into fields
- A field is a string of characters identified by a tag and ending with field terminator
- Authority record content and data are recorded in fields
- Some fields are repeatable

**Notes:**
Trainer’s notes:
Repeatability of fields: The MARC 21 Format for Authority Data indicates which fields can be repeated by putting an (R) or (NR) after the field name.
The next slide and others later in this Module show examples of fields.

## Fields

- Example of a MARC authority field for a
- personal name heading:
- 100 1_ $a West, Dottie, $d 1932-1991
- Within fields are “signposts” or content designators

**Notes:**
Trainer’s notes:
In the next few slides content designators will be defined and examples provided.

## Fields: content designators

- Three kinds of content designators:
- Tags
- Indicators
- Subfield codes
- They label and explain the data in the authority record

## Content designators: tags

- Each field has a **tag:**
- Tags identify the field and content
- Tags are always 3-digit numbers
- Examples:
- 100  	Tag for a personal name heading
- 400	Tag for a *see from tracing* for a
- 		personal name
- 670	Tag for a note field

**Notes:**
Trainer’s notes:
The first number in a tag indicates the function of the field.
The second and third numbers are used to define the type of information in the field.
We will go into more depth about fields and tags later in this Module.

## Indicators are placed in the two positions that follow the tag (exceptions are fields 001-009)
Both indicator positions can be undefined, both can be used, or only one can be used
When an indicator position is not defined, the position is left “blank”
Indicator values are numbers from 0-9.

For purposes of this training, “blank” for undefined 
positions will be indicated by an underscore “_”  

- Indicators are placed in the two positions that follow the tag (exceptions are fields 001-009)
- Both indicator positions can be undefined, both can be used, or only one can be used
- When an indicator position is not defined, the position is left “blank”
- Indicator values are numbers from 0-9.
- For purposes of this training, “blank” for undefined
- positions will be indicated by an underscore “_”

- Content designators: indicators

**Notes:**
Trainers’ notes:
Trainees should be aware that in some of the slides, especially screen shots, undefined indicators may contain an actual blank space, a “#” sign, or a small letter b with a slash through it.

## Content designators: indicator examples

- 100 **1_****	**One indicator used
- 100 **0_****	**One indicator used**	**
- 400 **1_****	**One indicator used
- 670 **__****	**Both indicators not used
- 050 **_4****	**One indicator used
- 050 **00****	**Both indicators used

**Notes:**
Trainer’s notes:
The indicators are in bold type in this slide.
Indicators appear to be a 2 digit number. They are actually two single-digit numbers.
Allowable indicators and their meanings are given in the MARC 21 documentation.
Example: the first indicator value of one in the “100 1_” means that the heading begins with the surname first. 

## Content designators:subfield codes

- Content designators:subfield codes

- Many fields contain types of data called
- subfields
- Most fields contain several related subfields
- Subfields are preceded by a delimiter and subfield code combination
- Delimiters are characters that separate subfields
- Subfield codes are usually lowercase and indicate what type of data follows it

**Notes:**
Trainer’s notes:
Fields can have several pieces of related pieces of data—such as name and date of birth. Separate pieces of data are put in separate subfields.
Delimiters can be represented by different symbols. This Manual will use the “$” sign.  Bibliographic databases often use a vertical line intersected by two horizontal lines.

## Content designators:subfield code examples

- Content designators:subfield code examples

- 100 1_** $a **West, Dottie,** $d **1932-1991
**	**100** $a **Personal name
**	**100** $d** Dates associated with the person
- 110 2_ **$a** American Library Association. **$b** Acquisitions Committee
**	**110** $a **Corporate name
**	**110** $b** Subordinate unit of the corporate 			name

**Notes:**
Trainer’s notes:
There are many subfield codes available to use.
As with indicators, allowable delimiters and subfield codes are given in the MARC 21 standards.

## Authority record content

_**Headings  1XX**_
- Authorized form of the name (personal names,
- corporate names, meeting names) name/titles, and
- uniform title
_**Tracings and references**_
- See references  4XX
- See also references  5XX
_**Notes  6XX**_
- Cite sources that support choice of headings, tracings
- and references or give additional information explaining
- relationships between them. Some display in OPACS—
- others are for staff information.

**Notes:**
Trainer’s notes:
As you can see tags are organized into groups of blocks.
Later in this Module, we will look at blocks of tags and patterns with the tags.

## Authority record content: examples

- Name headings:
- 100 1_ $a Picasso, Pablo, $d 1881-1973
- 			[personal name]
-  110 2_ $a Films for the Humanities & 				Sciences (Firm)
- 			[corporate name]
-  111 2_ $a Science & Technology Forum
- 			[meeting name]

**Notes:**
Trainer’s notes:
In the slide examples the XXs have been replaced with the more specific numbers for the type of heading.

## Authority record content: examples

- Geographic name headings:
- 151__ $a Los Angeles (Calif.)
- 151_0 $a Märkisches Viertel (Berlin, 			Germany)

**Notes:**
Trainer’s notes:
Both of the headings are geographic names.
Note that the second indicators are different.
Revisions to the MARC standards may make some codes and values obsolete. The second indicator value of “0” was made obsolete in 1993.  It should be removed if found when other revisions are being made to the record.
Many kinds of these obsolete values can to seen in older records.
Catalogers should not pattern MARC values after older records—some of the values may be incorrect. When unsure of correct codes always consult the MARC 21 standards.

## Authority record content: examples

- Uniform title headings:
- 130 _0 $a Cantar de mío Cid [individual title]
- 130 _0 $a Cid (Epic cycle) [collective title]
- 130 _0 $a Dance of Death

**Notes:**
Trainer’s notes:
The first two are related:  The first is the individual uniform title heading; the second is the uniform title heading used for collecting individual titles related to it.

## Authority record content: examples

- Name/title combination:
- 100 1_ $a Hemingway, Ernest, $d 1899-	1961. $t Fifty grand
- 100 1_ $a King, Stephen, $a 1947- $t Bag of			 bones. $l Hebrew

**Notes:**
Trainer’s notes:
Note that there are two different subfield codes in these examples.
The $t in the first example indicates that the subfield contains a title of a work by Ernest Hemingway.
The $l in the second example indicates that the language for this book by Stephen King is Hebrew.

## Control subfield $w

- Precedes $a in most cases
- Contains up to 4 character positions
- Controls display and indicates special meaning of headings
- Used only by exception
- Not all reference headings use $w

**Notes:**
Trainer’s notes:
The next slide will show examples of the use of subfield code “w”.

## Authority record content: $w examples

- Name heading with references tracings:
- 100 1_ $a King, Stephen, $d 1947-
- 		[Authorized form]
- 400 1_ $a King, Stiven, $d 1947-
- 		[See from tracing]
- 500 1_ $w nnnc $a Bachman, Richard
- 		[See also from tracing]
- 500 1_ $w nnnc $a Druse, Eleanor
- 		[See also from tracing]

**Notes:**
Trainer’s notes:
This example contains parts of the authority record for Stephen King.  There are many other fields in the actual authority record including notes, and a class number.
Note the $w in each of the 500 fields.  While most fields begin with $a, there are occasions when a subfield precedes the $a.
$w is a control field that contains up to four character positions that indicate whether special instructions apply to the display of the heading in the 4XX or 5XX field and whether a tracing is restricted to the reference structure of a particular type of authority.
The codes used in $w are dependent on the character position in which they occur.
Not all reference headings need $w subfield coding.
There are four character positions in the $w.  Each requires either a fill character or a code.
/0	Special relationship = n
/1	Tracing use = n
/2	Earlier form of heading = n
/3	Reference display = c			

Note that in OCLC subfield $w comes at the end of the field for ease of inputting. 

## Authority record content: 670 source data found note

- 670 field contains a citation for a source that provides information about the content of the authority record
- May also include information found in the source
- Both indicators are undefined
- These notes are the most common ones used in authority records

**Notes:**
Trainer’s notes:
The next module will discuss Source data found notes in detail.

## Authority record content: example source data found notes

- For King, Stephen, 1947-
- 670 __ $a Washington Post, 4/9/85 $b (Stephen
- 	King has written 5 novels using the pseudonym Richard Bachman)
- 670 __$a Amazon.com, via WWW, May 27, 2004 $b (The journals of Eleanor Druse, 2004; Eleanor Druse is a fictional author created by Stephen King)

**Notes:**
Trainer’s notes:
These are two Source Data Found notes are used in the authority record for Stephen King.
Stephen King has used two additional names (one is fictional) in his works.
Each one one cites a source used when verifying the see also references (500) fields used in the authority record.
The $a contains the citation for a work or description of any source or action that provided information about the heading.
The $b contains parenthetical statements of the information found in the source (in $a).  A statement of the location of the information is included.

## MARC structural components

- Three main structural components in MARC 21
- authority records:
- Leader
- Directory
- Variable fields
- Variable control fields
- Variable data fields

**Notes:**
Trainer’s notes:
MARC 21 bibliographic records also contain these three structural components.

## Structural components: leader

- Contains information needed for the processing of the authority record
- Contains coded values placed in character positions
- Most data is used to read and process the authority record
- Most data is computer generated
- Displays as part of “fixed fields”

**Notes:**
Trainer’s notes:
The Leader is the first field in an authority record.
There are 24 (00-23) positions in the Leader.
It has no indicators or subfield codes.
The next few slides contain examples of the Leader in an OCLC authority record.

## Leader: OCLC example

-   Leader positions are in the boxes
* **Mnemonics* are used as labels to prompt
-    catalogers regarding codes to use

**Notes:**
Trainer’s notes:
This example is from the authority record for Charles D. Robinson, a personal name heading.

## Leader data elements

**Record status**
- c = Corrected or revised
- d = Deleted
- n = New
**Type of record**:
- z = Authority data (only code used)
-  **Encoding level**
- n = Complete authority record

**Notes:**
Trainer’s notes:
These three character positions give important information about the use and type of record.
Other data elements and codes provide information regarding the record content (headings, reference tracings, and notes).
Record status: indicates the relationship of the record to a file for file maintenance purposes.
Type of record: indicates the characteristics of and defines the components of the record.
Encoding level: indicates whether the authority record is complete or incomplete.  It relates to the 008/31 Record update in process).

## Structural components: directory

- The directory is a series of entries that indicate tags, length and starting positions of each variable field
- It is always computer generated
- Except for tags, it does not display

**Notes:**
Trainer’s notes:
Only computer programmers or library technical staff can “see” the directory.
In the authority record tags display along with the field they mark. However, the directory is the “place” where the tags are stored for use.
At the end of this module there is an example of a directory as displayed in the MARC communications format.

## Structural components: variable fields

- MARC data is organized into variable fields:
- There are two kinds of variable fields
**Variable control fields**
**Variable data fields**

## Structural components: variable control fields

- 00X fields (001-009)
- Identified by a tag in the Directory
- Contain no indicators or subfield codes
- Contain either single data elements or a series of fixed length data elements

**Notes:**
Trainer’s notes:
Note the “00X”.  All these types of variable control fields begin with two zeros.

## Structural components: variable control field examples

- 001 Control number
- 003 Control number identifier
- 005 Date and time of latest transaction
- These fields are usually system generated
- 008 Fixed-length data elements
- Some of the codes can be defaults in defined systems; some need to be evaluated and supplied by the cataloger

**Notes:**
Trainer’s notes:
In the next few slides the 008 field will be presented in more detail.

## Variable control field: 008

- Referred to as the Fixed Field codes
- Contains 40 positions for coding
- Unused positions contain a blank or fill character
- It has no indicators or subfield codes
- Data is used to identify and retrieve records matching certain criteria

## Variable control field: 008

- Contains coded information about the record as a whole
- Identifies aspects of the 1XX headings or 4XX/5XX tracing fields
- Some systems display the 008 position codes with *mnemonics*
- Some codes in the 008 relate to the variable data fields in the authority record

**Notes:**
Trainers’ notes:
Later in the Module examples of mnemonics will be given and a few relationships between 008 codes and the variable data fields will be shown.

## 008 field: OCLC example

-  Outlined area shows the 008 fields
-  Labels are called *mnemonics*. These act as prompts to
-    indicate what codes to use
-  If local systems use *mnemonics*—but they might be
-   different than those used by OCLC

**Notes:**
Trainer’s notes:
This authority record is for a personal name: Charles D. Robinson (Charles Dayon), 1822-1886.
In this display, date in the Entered position includes the entire year, rather than just the last two digits. 

## 47

**Notes:**
Trainer’s notes:
Authority 008 displays provide the numbered positions and their codes for the 008 elements used in the record.
Note the absence of positions 18-27, 30, and 34-37.  These positions are undefined in MARC authority records.

## Variable data fields

- Fields 010-999
- Identified by tags
- Contain indicators
- Contain subfield codes and delimiters preceding the data
- Contain the established heading, reference tracings, notes, etc.

**Notes:**
Trainer’s notes:
These are the second type of variable fields.

## Variable data fields blocks

- 0XX  Standard numbers
- 1XX  Headings (personal name, corporate
- 	     body, meetings, uniform titles)
- 4XX  See from tracings
- 5XX  See also from tracings
- 6XX  Notes
- 7XX  Linking fields
- 8XX  Alternate graphics
- 9XX  For local use

**Notes:**
Trainer’s notes:
The first number indicates the function of the data in the field. For example all authorized headings will begin with a “1”, all see from tracings on authority records will begin with a 4, etc. 

## Variable data fields: groups

- The last two tag numbers identify content within the fields
- They are called *parallel content designations*
- X00  Personal name
- X10  Corporate names
- X11  Meetings
- X30  Uniform titles
- X51  Geographic names

**Notes:**
Trainer’s notes:
When the first numbers from the last slide are combined with the numbers on this slide it can be seen that a personal name heading will be 100 and all cross references will have “00” after the first number—400 and 500.

## Variable data fields

- The 1XX, 4XX, 5XX, and 7XX blocks and the parallel content designations are important when using authority records
- Used together they can help to recognize the content of the field

## Variable data field: examples

- Patterns in tags
- Personal name headings with reference tracings might have a 100, 400, 500
- Corporate body headings with reference tracings might have a 110, 410, 510

**Notes:**
Trainer’s notes:
Not all authority records will have reference tracings or sets of note fields.
In the next modules you will learn when to include reference tracings and how to use the notes.
Note that there can be mixing of tags within a single record.  For example a corporate body (110) may have a (451) tracing.

## Variable data field: examples

- Patterns in tags (cont.)
- Meeting headings with reference tracings might have a 111, 411, 511
- Uniform title headings with reference tracings might have a 130, 430, 530
- Geographic names with reference tracings might have a 151, 451 551

**Notes:**
Trainer’s notes:
Not all authority records will have reference tracings or sets of note fields.
In the next modules you will learn when to include reference tracings and how to use the notes.
Note that there can be mixing of tags within a single record.  For example a corporate body (110) may have a (451) tracing.

## Variable data fields/008 field

- 008 codes can relate to special aspects in variable data fields in the authority record
- Example
**008** 790802n?#_a_cannaabn##########?a#aaa#####_#_
- Heading: 100 1# $a King, Stephen, $d 1947-
- Cat. source: 040## $a DLC$beng$cDLC .....
- Since this is an established personal name heading (100), the 008/09 (Kind of record) is coded with _a_ (for established heading)
- LC established this heading (040 DLC) so the 008/39 is coded _#_ to show that LC is a national bibliographic agency

**Notes:**
Trainer’s notes:
The slide shows 2 positions in the 008 and that relate to 2 variable data fields. There are many more of these relationships and are discussed in the MARC 21 Format for Authority Data.
The undefined positions are represented by the “#” sign.

## Relationship of authority headings to bibliographic records

- Established personal name heading:
- 100 1_ $a King, Stephen, $d 1947-
- In the bibliographic record as a subject:
- 600 10  $a King, Stephen, $d 1947-

## Relationship of authority headings to bibliographic records

- Established meeting name heading:
- 111 2_ $a Biennale di Venezia
- In the bibliographic record as a subject:
- 611 20 $a Biennale di Venezia.

**Notes:**
Trainer’s notes:
The second indicator is blank in the meeting heading, but “0” in the 611 field on the bibliographic record.  
The second indicator was made obsolete for use in field 100, 400, and 500 in 1993. The values were: 0-9 for nonfiling characters.
The second indicator codes used in 6XX fields specify the subject heading system or thesaurus used in constructing the subject heading. In the slide, code “0” in the second indicator position is for the Library of Congress Subject Headings.

## Relationship of authority headings to bibliographic records

- Established geographic name heading:
- 151__ $a Los Angeles (Calif.)
- In the bibliographic record as a subject:
- 651_0 $a Los Angeles (Calif.)

**Notes:**
Trainer’s notes:
Note the difference in the indicators in the 651 heading and as it is used in the bibliographic record.
The 151 does not use second indicator coding in the authority record.
The 651 requires the use of the second indicator to show which subject system or thesaurus was used. 

## Relationship of authority headings to bibliographic records

- Established corporate name heading:
- 110 20 $a Johnson & Johnson
- In the bibliographic record as a subject:
- 610 20 $a Johnson & Johnson.

**Notes:**
Trainer’s notes:
In this example second indicators in the heading and the subject heading in the bibliographic record are coded “0”.
It is necessary to code the 610 indicator to show that it came from the LCSH.
Although in 1993 the coding of the second indicator for 1XX fields was made obsolete, it should be corrected when making a change to an authority record; otherwise it may be ignored.

## Relationship of authority headings to bibliographic records

- Established personal name heading:
- 100 1_ $a Beahm, George W.
- In the bibliographic record as added entry:
- 700 1_ $a Beahm, George W.

## Relationship of authority headings to bibliographic records

- Established personal name headings:
- 100 1_ $a King, Stephen, $d 1947-
- 100 1_ $a Miller, Chuck, $d 1952-
- In the bibliographic record:
- 100 1_ $a King, Stephen, $d 1947-
- 600 10 $a King, Stephen, $d 1947-
- 700 1 _$a Miller, Chuck, $1952-

## MARC 21 communications formatted record

- This block of data is what programmers see when
- looking at a MARC file
- 00388nz###2200121n##4500_001_000800000_005_001700008
- _008_004100025_010_001700066_040_001600083_100_002800099
- _670_005600127_670_008300183¶6598594¶20030410155436.
- 0¶030324n|#acannaabn##########|n#aaa######¶## ╪an
- b2003031560¶## ╪aUk╪beng╪cUk¶1# ╪aSmith, Margaret,
- ╪d1937-¶## ╪aFrom Victorian Wessex, 2003:╪bt.p. (Margaret
- Smith)¶## ╪aLetter from author, 24 Mar. 2003╪b(Margaret
- Isabella Smith, born 26 July 1937)¶■

**Notes:**
Trainer’s notes:
It is comprised of one string of data. 
The Leader makes up the first 24 positions, ending with “4500”.
The Directory begins after the Leader.
Tags in the Directory have been underlined in this example.
The next slide shows this file in a formatted, tagged form.

## Formatted authority record: tagged display

- Leader: 00388nz###2200121n##4500
- Control no.	001      6598594
- Last trans.	005      20030410155436.0
- Fixed data	008      030324n|#acannaabn##########|n#aaa######
- LCCN		010 ## $a nb2003031560
- Cat. Source	040 ## $a uk$beng$cUk
- Heading	100 1# $a Smith, Margaret, $d 1937-
- Source note	670 ## $a From Victorian Wessex, 2003: $b t.p. 				(Margaret Smith)
- Source note	670 ## $a Letter from author, 24 Mar. 2003 $b (Margaret
-                           Smith born 26 July 1937)

**Notes:**
Trainer’s notes:
Authority records can be very simple such as the example on this slide or more complex using additional fields as needed.
In the tagged display note that the indicators follow the field tags.

## Summary

- Importance and necessity of authority control in the automated environment
- Importance of MARC 21 standards in authority control
- Structural components of the MARC authority record

**Notes:**
Trainer’s notes:
This has been an overview of the basics of MARC 21 authority records.
More details about  specific codes, record components, and structural components can be found in the documentation, MARC 21 Format for Authority Data. 

## Summary (cont.)

- Authority record content
- Relationships between variable control fields and variable data fields
- Relationships between headings in the authority record and the bibliographic record

**Notes:**
Trainer’s notes:
This has been an overview of the basics of MARC 21 authority records.
More details about  specific codes, record components, and structural components can be found in the documentation, MARC 21 Format for Authority Data. 

## End of Module 2

## BASIC CREATION OF NAME AND TITLE AUTHORITIES

**BASIC CREATION OF NAME AND TITLE AUTHORITIES**

**Module 3: Resources**

**Notes:**
This module gives some general considerations and philosophy about how to go about colleting information for an authority record and how to represent this information in the authority record.

## Standards for Authority Records

- Most authority records are created using nationally accepted standards and rules including:
- Anglo American Cataloging Rules 2nd Edition (AACR2)
- Interpretations of the AACR2 rules by the Library of Congress (Library of Congress Rule Interpretations; LCRIs)
- MARC21 format for authority data

**Notes:**
MUSTS:  assumed throughout
Already using AACR2 and LCRI, consulting MARC documentation, for cataloging
Continues to be true for auth. work
Also now include:
	Chap. 26: general advice on selection of reference tracings
	Chap. 21-25: interspersed with additional reference tracing advice
	MARC format for authority data

## Additional Resources

- Additional resources available to help create an authority file include:
- NACO participants’ manual
- 	http://www.loc.gov/catdir/pcc/naco/npm2ed.pdf
- Maxwell’s guide to authority work by Robert L. Maxwell. Chicago, American Library Association, 2002.
- Documents from this workshop

**Notes:**

MAYBES: look at if you want to
NACO participants manual s/b also official source for a.r.s
	Beware: Some details and procedures only important to NACO participants; ignore
Number of other tools to use; not exhaustive list
Several books on authority work, most recently:
	Maxwell’s guide to a.w., by our own Robert Maxwell (ALA, 2002)
Documentation from this workshop
Whatever else you can find

## 4

**Notes:**
Don’t forget that one of the most important resources for authority work is the authority file itself.

## Sources consulted

- Sources consulted are cited in 670 fields in authority records
- Authority records should include 670 fields for:
- Item being cataloged (e.g. book, Web page, CD, electronic databases, etc.)
- All other sources you consult when creating an authority record (e.g. reference books, Web pages, etc.)

**Notes:**
When you create an authority record you need to document all of the places that you look to find information about the heading you are establishing.

Authority records should include 670 fields for: the item you’re cataloging when you noticed the need for an authority record.  This can include, and is not limited to books, electronic resources, manuscripts, or anything else you catalog

## Scheme for 670 field

- Scheme for 670 field

- Although other schemes are possible we are showing scheme used for NACO.  This scheme:
- Has been used for decades
- Is based on card scheme
- Has advantages including:
- Giving you a better understanding of NACO authority records
- Makes an easier transition to NACO participation

**Notes:**
Scheme used in 670 field—elements included, punctuation, etc.—is arbitrary
Showing scheme used in NACO authority records; has been in use for decades
NACO scheme is based on scheme used by LC on authority cards
Possible to come up with different scheme
Advantage of using NACO scheme: familiarity leads to better understanding of NACO authority records
Easier transition to NACO participation

## 670 is for justification

- Must show where heading comes from
- Must show where reference tracings come from (unless ‘standard’ tracings)
- Similar concept to justification of added entries in bibliographic records
- Consider not only immediate use, but also future needs

**Notes:**
Concept underlying source citations: called Justification
Need to show where information in authority record comes from

For example, if authority record to be fully useful in long term, can’t simply put in heading and a couple of reference tracings; must also show why they’re in the authority record

Need to justify information is similar to concept implicit in full-level bib records: can’t have non-subject access point without showing in the 245 or note why it’s there

Reason we recommend you take time to construct source citations: authority records have life that extends beyond immediate circumstances. Consider not only today’s environment, but but needs/future users of a.r.s

## Justification

**Notes:**
Couple of simple a.r.s with their 670 fields
Don’t panic; details come later

1st ex: 670 shows hdg. came from t..p., abbrev. used in ref. tracing from inside document
2nd ex: 670 show name w/initial from t.p., full name from inside. Used in both heading and ref. tracing

By citing IBC in this manner we have justified 1XX and 4XX

## Justification

**Notes:**
1st ex: 670 field shows full corporate hierarchy, useful not only for identification but also used in reference tracing
2nd ex: shows that not all reference tracings requires justification. Reference tracing here generated by simple manipulation of heading (suggested by AACR2); requires no justification.

## 670 is also for

- Identification of entity represented by the heading
- Clarifying relationships with other entities

**Notes:**
Primary use of 670: justification
But not limited to justification

Also has broader purpose

Info in 670 fields also helps identify the entity represented by hdg:
	Who is this person or organization?
	Who is this person or organization NOT?
670 fields also show relationships with other entities
	What is the parent corporate body?
	What are predecessor and successor bodies?

## The 670 field

- Subfields:
- Identification of the item ($a)
- Information found in the item ($b)
- Indicators:
- Both are blank
- General pattern:
**	****670 __ $a Title proper, date of publication: $b location of data in the source (data)**

**Notes:**
In MARC record, source citations (IBC and others) in 670 field
Simple field, 2 subfields
	$a contains information that identifies the source
		Title of item being cataloged
		Title of a biographical dictionary
		Identification of a Web page
	$b contains the information you found in that source

Every authority record you create will have at least one 670 field
Some a.r.s will contain multiple 670 fields
Talk later: how many might need

## Identification of the source(670 $a)

- Identification of the source(670 $a)

- Enough to make it possible to find bibliographic record (and thereby the item) again
- Use information from bibliographic record
- Minimum of title (245 $a $n $p) + date
- Include main entry only if necessary to identify the item
- Abbreviate words as desired
- After first few words, ellipses if appropriate

**Notes:**
1st thing in citation of source is identification of that source (goes into subfield $a)
True for IBC and all other sources
Give enough info so someone can find bib. record and then item itself
Since using bib. rec. as intermediary, use info from bib record in 670 $a

Minimum identification is title and date from 260 $c: usu. enough (esp. plus heading in a.r.)
If want, can also include m.e. (not shown)
Abbrev. title if want (but don’t omit internal words)
Can use ellipses if title long (suggestion comes later)

## Identification of the source ($a)

- Transfer date from the $c of the 260, give all dates present
- Omit trailing full stop at end of date
- Omit square brackets in any part of the title or date
- Use comma between title and date

**Notes:**
For date in source citation
	Transfer date from 260 subfield $c
	Omit brackets and unnecessary punctuation
Separate title and date in 670 $a with comma

## Derivation of 670 $a

- Fields in bibliographic record:
- As transcribed in 670 $a:

**Notes:**
Ex. shows fields from a bib record, and how they become source citation in 670 $a
Title from 245 $a and date from 260 $c minus brackets identify this item well enough

Note that this ex. and the next show only $a; get to $b in a bit

## Derivation of 670 $a

- Fields in bibliographic record:
- As transcribed in 670 $a:

**Notes:**
Another ex. of 670 $a.

Note here that we keep all of the dates from 260 $c, not just the first one. Omit brackets.

In these examples, the bibliographic 245 only has $a. Would have included $n $p in 670 if present.

## Bad derivation of 670 $a

- Fields in bibliographic record:
- As transcribed in 670 $a:

**Notes:**
Said earlier: can use 3 dots to shorten a long title

Shorter title can still get us to bib record in future, no problem, BUT
If include enough of title to include subject matter, might not need to go to bib record at all

Note here also 3 dots overrides need for comma before the date

## 
EXERCISES
1, pt. 1-3

670 $a

- EXERCISES
- 1, pt. 1-3
- 670 $a

**Notes:**
Hold on this slide until end of exercises.

## Information taken from the source ($b)

- Give all information taken from the source
- In case of doubt, include rather than omit
- Give all information pertaining to the heading and reference tracings as found
- Give any useful information, translate, summarize, and abbreviate as necessary

**Notes:**
670 $b not repeatable: all information from source in one subfield

General guidance:
	Give all info found in the source
	Tend toward inclusion
	Accurately transcribe information used in headings and reference tracings
	Other info: translate, abridge, as you see fit

## Transcribing information taken from the source

- Identify location within source
- Give data found in parentheses (abbreviate as necessary)
- For example:
- $b location (information)
- $b location (information) location (information)

**Notes:**
670 $b contains two separate pieces of information
	Identification of the source at which data was found
	Data found at that location
Data found in parentheses

If information in more than one place in source, give each location and its information as a separate unit
All goes into one big subfield $b

## Common locations for 670 $b

- t.p.
- t.p. verso
- cover			*(front cover)*
- p. 3 of cover  		*(inside rear cover)*
- p. 4 of cover  		*(outside rear cover)*
- title frames
- credits
- p. 29
- fiche header

**Notes:**
Use any terms that seem sensible to identify location
Don’t use brackets
Don’t strive for unnecessary consistency as long as no ambiguity

Slide shows typical examples, not exhaustive list of possible forms

## Examples of $b location

**Notes:**
Complete 670 fields, showing $a and $b

1st: simplest, and most common:
	info comes from t.p. only; and here it is

2nd: Info from t.p. and rear cover
	each location followed by info found there

3rd: info on t.p. and 2 sep. places w/in the item
	each location followed by info found there

## Derivation of $b

- Title page:
- La poétique de l’île
- dans l’œuvre romanesque de Certantès
- Isabelle SOUPAULT ROUANE
- 670 field:

**Notes:**
I’ve incl. this t.p. to show a useful trick that applies to personal names
Often question: what is entry element?
Some languages—French e.g.—surname portion of name shown in uppercase when rest of name is mixed
Can be transcribed into 670 field with uppercase intact, to support choice of entry element in hdg.

## Derivation of $b

-      Title page:
- Huguette Ivanier
- L’ARBRE À MADELEINES
- P. 4 of cover:
*	**Huguette IVANIER NAKACHE, professeur de philosophie en Alg**é**rie o**ù** elle est n**é**e, puis **à** Metz, vit **à** Nice. Elle consacre sa retraite **à** des **é**missions radiophoniques sur la musique et **à** des recherches philosophiques.*

**Notes:**
This ex shows 2 things:

1st: back cover gives variant form of name, which we transcribe carefully
2nd: can summarize and translate as long as not part of heading or reference tracing

## Derivation of $b

-      Title page:
- Belachew Gebrewold-Tochalo
- THE IMPACT OF THE SOCIO-CULTURAL STRUCTURES OF THE KAMBATA/ETHIOPIA ON THEIR ECONOMIC DEVELOPMENT
- Continues ...

**Notes:**
This ex. so long had to go on 2 screens

Here’s the info from the t.p., which is just author’s name

## Derivation of 670 $b

-   ... and on p. 295:
**	**_My Curriculum Vitae_
- 	First name:			Belachew
- 	Family name:		GEBREWOLD-TOCHALO
- 	Date of Birth:			25 October 1968
- 	Place of Birth:		Kambata/Ethiopia
- 	2001, July			Ph.D. graduation (Political Science)
- 					(University of Hamburg/Germany)

**Notes:**
And here’s info from near end of the item.

Author’s name here is same as on t.p., and no question about entry element, so no need to repeat name from here

## Summarizing non-heading information

- If summarizing information from a range of pages, use ‘etc.’

**Notes:**
If summarizing info spread over range of pages, can give the 1st relevant page plus “etc.”

## Punctuation between $a and $b

- If 670 $b begins with a location, 670 $a ends with colon
- If 670 $b begins with parenthesis, no extra punctuation at end of $a

**Notes:**
One technical detail:

If 670 $b begins with location—everything we’ve seen so far—670 $a ends with colon
If 670 $b begins with data in parentheses, no colon
	Examples later

## Sometimes, no $b

- If information appears only in the title, no 670 $b at all
*	**Becomes:*

**Notes:**
Occasionally: all info. in a source contained w/in title itself
In this case don’t need $b at all

Here, est. hdg. for person not otherwise known
	all info (surname, initials, dates) found w/in title
	no other information in item
The title statement in 670 $a is all you need: nothing else to say

## Useful information for personal name 670s

- Useful information for personal name 670s

- Include dates; indication of decease
- Jr., Sr., III, etc. even if not in heading
- Academic degree, title of address
- Occupation, affiliated institution, religious order, place of residence
- ‘also author of’; list of works
- Choice of entry element

**Notes:**
Things often useful in 670s for personal names:
	dates of birth and death
	failing that: age as of certain year; “the late” (see illustration on next)
	academic degree and university
	title of address (Dr., Rev., Dame)
	latest occupation, etc. (sometimes)
	religious order and current residence (always)
	‘Also author of’ one work if likely to be useful; existence of list of works
	info showing choice of entry element if in doubt

## Example of personal name 670

## Useful information for corporate name 670s

- Hierarchy of subordination (identify and justify heading and reference tracings)
- Location
- Dates of foundation and dissolution
- Immediate predecessor and successor bodies

**Notes:**
Things useful in 670s for corporate names:

	hierarchy (whether entered subordinately, or independently)
	location
	dates of activity
	names of immediately-related bodies

## Example of corporate name 670

**Notes:**
Optional

Elaborate 670 in corporate a.r.

No info came from t.p.
Includes dates of activity & name of related body

## Useful information for geographic names

- Useful information for geographic names

- Location (longitude and latitude)
- Kind of entity (city, county, etc.)

**Notes:**
For geographic names (places):

	Longitude and latitude when available
	Kind of entity (if not obvious)

## Exercises 2-4, for 670

- Convert information into complete 670 field
- Special attention to subfield $b

**Notes:**
Have 3 exercises for you, nos. 2-4

For each, you’re given heading and bibliographic fields, and some additional information
Want to construct full 670 field for each, $a and $b
Already know how to do $a, just additional practice; interested esp. in $b

## Item being cataloged

- Primary source of information
- Always cited in the authority record
- Always the *first *source citation
- Often, the *only* source citation

**Notes:**
Item being cat. (IBC): 1st place for info pertaining to hdg.
Always cite IBC in a.r.s for a heading
IBC always the first source cited in the a.r.
Often, IBC only source cited in a.r.

Later, talk about need for research and multiple source citations

## Examining the item being cataloged

- Thoroughly examine the item
- Items are not necessarily designed for ease of cataloging
- Look at everything including:
- Chief source (t.p. or substitute)
- Packaging (cover)
- Display title/header
- Bibliography
- Preface, accompanying materials

**Notes:**
Optional

When constructing heading and its a.r., examine IBC thoroughly
Publishers do not construct items for ease of cataloging/catalogers
	Delight in concealing info.; supply inconsistent or conflicting info.
Start w/chief source, obviously; also 
	all parts of cover or package
	list of contributors
	bibliography
	preface
	accompanying materials
Whatever you get, you need to look over carefully

## Research beyond the item being cataloged

- Search catalog and national utility if possible
- Normally further research is only needed if there is a problem not resolved by item being cataloged
- Perform only enough research to resolve problems
- Leave trail of work done for the future
- Some research is required by the rules

**Notes:**
One way to look at it:
	Need to search ‘the catalog’ to determine whether problem exists
	‘The catalog’ depends on circumstances
		May well include LC/NACO authority file; records in OCLC or RLIN
	Only do research if needed to construct heading or solve problem
	Only do enough research to solve the problem(s) at hand
	Leave a clear record of work done—trail of breadcrumbs—so successor can start where you left off
Finally: AACR2 requires research in some circumstances:
	Persons doing non-verbal things
	Persons writing in Hebrew	Geographic names

## 670 fields: How many are enough?

- 670s do not record all research performed
- Only sources used to formulate authority record
- Always record research required by rules
- 670s contain information and evidence
- 670s do not justify decisions or show thought process

**Notes:**
Often will look @ number of things before problem solved
Record all in a.r.? Usually not
A.r. not exhaustive inventory of research performed
Only include sources that provide info used in a.r., or likely to be of ongoing interest
One exception: always record research required by the cataloging rules
If source provides only info provided by other sources, omit it

Source citations are the evidence you use to build an a.r.
Source citations do not show the thought process by which evidence transformed into heading and reference tracings
Source citations do not indicate weight given to each piece of information

## Reference sources

- Traditional reference sources (biographical dictionaries, encyclopedias, etc.)
- Other items in your collection (anything on the shelves)
- Online resources (anything you can find that you can trust)

**Notes:**
Where, beyond IBC, might we look?

Traditional reference sources (biographical dictionaries, gazetteers, etc.)
Anything in your collection, even if not “reference”: esp. other items by same person or from same body
More and more: online resources (incl. online versions of traditional sources)
Personal information: personal contact with the author, etc.

Often now: Go online first; only go to paper if online not enough

## Citing reference sources

- Same pattern as for item being cataloged:
- 		670 __ **$a** Title, date: **$b** location (information)
- Strive for clarity in citation, not rigid consistency
- No location for Web sites or alphabetically-arranged sources
- If no location in $b, no colon after $a
- 		670 __ **$a** Title, date **$b** (information)

**Notes:**
Citations in 670s for ref. sources other than IBC gen. follow same pattern as for IBC:
	identify the source
	show where in the source you found the info
	give the info
Don’t worry about citing a reference source in exactly the same manner each time; as long as clear doesn’t matter
	‘WW in Am.’ one time, ‘Who’s who in America’ another time is OK

If source is arranged alphabetically (biographical dictionary, e.g.)
	no need for location: it’s perfectly obvious
Similarly for Web reference sites: site is whole source; no particular location
If there’s no location in $b, no colon at end of 670 $a

## Additional considerations for reference sources

- One 670 for each reference source
- Give all information found in the source, even if there is some overlap with other sources cited
- Do not generally cite sources that provide no unique information

**Notes:**
Some other things you should know about references sources:

Each reference sources goes into a separate 670 field
As with IBC, give all of the info found in the source
	Even if repeats some of info in another source citation
However: Do not include a source that only repeats info also in other sources

## Examples of citations for reference sources

**670 __ $a British biog. index, 1998 $b (Ward, Theodore William Holzapfel; fl. 1910)**
**670 __ $a WW in Am., 2001 $b (Newbold, Gregory S.; b. 1948 in Denver; military officer)**

**Notes:**
Here are a couple of examples of citations for reference sources

In both: alphabetically-arranged: 
	no location given in $b; because of this,
	no colon needed at end of $a

Only cite vol. in which info. was found, even if searched other volumes as well

## Online resources

- Any electronic resource
- IMDb
- GNIS
- GeoNames
- Social Security death index
- OCLC, LC, other catalogs
- E-mail

**Notes:**
Online ref. sources very important
Here are few; will find others depending on focus of collection, etc.
Optional: Talk about a few of these

## Citing online resources

- Cite title or characterize the resource
- Indicate date viewed, not date of ‘publication’
- Give some clue of online-ness (words like via WWW or Website, or viewed)
- Do not include the URL (unless absolutely necessary for identification) and then only in $u

**Notes:**
More and more, IBC is an online resource
Give the title if that’s best; instead describe the resource if that’s best. (Examples of latter, later)

Citation similar to other things
Except: 
	Instead of date source created, give the date viewed
	If not clear that resource is online, give some indication (usually by including word such as “viewed” with the date)

Since URLs constantly change, do not give URL. Unless it is absolutely necessary to identify the information.

Give the title if that’s best; instead describe the resource if that’s best. (Examples of latter, later)

## Online resource being cataloged derivation of $a

- Fields in bibliographic record:
- As transcribed in 670 $a after viewing page on Sept. 13, 2004:

**Notes:**
Ex. of citation for online resource being cat.

Give the title of Web page because it is clear; date consulted, not date ‘published’
Word ‘viewed’ in 670 indicates online-ness

## SSDI

- 670 __ $a Soc. Security death index, viewed Sept. 12, 2004 $b (Helen C. Wood, 16 Mar. 1907-15 Dec. 1987, last res. Worcester, MA)

**Notes:**
Soc. security death index shows vital information for dead U.S. persons
Available from a number of different places, some free, some fee

Shows search results page for SSDI for “Helen Wood”
Assuming we’re looking for the first one, box shows how I’d transcribe info from this page

## IMDb

**Notes:**
Optional

Internet movie database: extremely important if cat. videos or DVDs
Editors carefully distinguish people w/same name (using roman numerals in parenthesis)

Here, search results for “Sam Jones”.  I’m actually interested in someone who actually calls himself “Sam Jones III” so I want the one at the bottom.

## IMDb

- 670 __ $a IMDb, viewed Sept. 12, 2004 $b (Sam Jones III, b. 29 April 1983, Boston, MA; Samuel L. Jones III; actor)

**Notes:**
Optional

Shows individual page for my Sam Jones.

In this case, roman numeral part of name.
Page gives birth info, and also lists variant.

All this goes into the 670 field.  Probably don’t need to incl. a list of the things Sam has appeared in.

## GNIS and GeoNames

- 670 __ $a GNIS, Sept. 12, 2004 $b (Strawn, Tex., pop. place, Palo Pinto co.; 32o 33’ 07” N, 98o 29’ 52” W)

- 670 __ $a GeoNames, Sept. 12, 2004 $b (Waterberg, var. Waterburg, PPL, 20o 31’ 00” S, 17o 14’ 00” E)

**Notes:**
Optional

Include these 2 mostly so we’d have something geographical in the talk.
USGS gives info on U.S. place names, GeoNet on non-US names.

(PPL means ‘populated place’)

## Additional online resource examples

- 670 __$a Family Search, via WWW, Feb. 4, 2002 $b (Sarah Ann Whitney; b. 22 Mar 1825 Kirtland, Ohio; d. 4 Sep 1873 Salt Lake City, Ut.; married Joseph Smith 27 Jul 1842 Nauvoo, Ill.; married Heber Chase Kimball 17 Mar 1845 Nauvoo, Ill.)
- 670 __ $a University of Macau WWW site, Feb. 26, 1999 $b (University of Macau; Universidade de Macau; created by decree-law Sept. 16, 1991; charter approved Feb. 3, 1992; university and pre-university level programs were transferred from the University of East Asia to the administration of the new University of Macau in Sept. 1991)

## Additional online resource examples

- 670 __ GEOnet, via WWW, Dec. 18, 2002: $b (Gellibrand River, STM, 38o  41' 00" S, 143o 09' 00" E, Victoria, Australia)
- 670 __ Internet, URL: _[www.johnnymac.harvard.edu:70/11/hbspc](http://www.johnnymac.harvard.edu:70/11/hbspc)__, Nov. __	__23, 1999: $b (Harvard Business School Publishing Corporation; Harvard Business School Publishing)_

## E-mail

- Cite as ‘E-mail’ plus sender and date
- 	**670 __ $a E-mail from B Witte, Nov. 10, 2003 $b (b. ****	****Sept. 27, 1956, Berlin, Germany; not the same as ****	****the writer on Goethe, etc., or ****“****Witte, Bernd, Dr.****”****, although he is a doctor)**
**	****670 __ $a E-mail from S. Williams, Oct. 21, 2003 $b ****	****(Simon J.C. Williams, b. March 27, 1943; author of Richard Wagner and festival theatre, etc.; not ****	****author of Associative model of data)**

**Notes:**
In research, often find e-mail addr. for person or org.
If can’t solve otherwise, don’t hesitate to write directly
Carefully explain the nature of problem and why you need the info you’re asking for
	middle name, birth date, whatever
Most people and orgs. delighted you’re interested and eager to help solve problem
Most do not want their items mixed up with other’s items

Here 2 670s for authors contacted in 2003
Both happy to provide complete info to help solve problem.

## OCLC

- Headings: “hdg.” or “hdgs.”
- Formal statements of responsibility: “usage”
- Sometime use “usage not given” or “no usage”
- List in order of predominance
**	****670 __ $a OCLC, March 13, 2003 $b (hdg.: Le ****	****Mesurier, Herbert Gernville, 1873-1933; usage: ****	****H.G. Le Mesurier)**
**	****670 __ $a OCLC, Mar. 14, 2002 $b (hdg.: Neuhaus, Johann Wendelin, 1713-1775; usage not given)**

**Notes:**
Also find information in OCLC, RLIN, and catalogs of individual libraries (LC, British Library, Bibl. nat, BSB, etc.)
For such, whole database is one resource
Interested in 2 things:
	Headings(s) found in the catalog; dates for personal names often found here
	Usage (statements of responsibility)
	If no formal statements of responsibility, use “usage not given”

Use standard abbreviations shown in 670 $b
In 1st example here, found both a heading and usage
In 2nd example, found a heading but no usage

If multiple headings or multiple usages, give in order of predominance

Use same scheme for printed catalogs, such as NUC pre-56 (no need to give date searched, though)

## Transcribed statement of responsibility?

- Yes:
- 	**245 10 $a Baustelle : $b eine Art Tagebuch, 1967-1970 / $c Luise Rinser**.
- No:
- 	**511 1   $a Lucille Ball, Gale Gordon, Paul Winchell, Pat Priste, James Wellman.**
**	****500      $a Vol. 1 by W.R. Biers and L.V. Benson.**

**Notes:**
When looking at records in online catalogs, need to distinguish formal, transcribed statements of name from other things; only interested in formal statements

Mostly this means: 245 $c good, rest bad

For example, info. in notes not transcribed, and can’t be assumed to show name as found in item

## Final exercises (5-9)

- Provided with bibliographic fields, authority fields, and other information
- Select information to go into 670 fields
- Construct all the 670 fields needed in the authority record

**Notes:**
OK, final set of exercises, drawing on everything covered in this session
There are several examples; some more than one page
For each you have
	selected bibliographic fields
	information from reference sources (when consulted)
	selected authority fields

You are to
	decide which sources need to be recorded
	construct the 670 fields for the a.r.

## Sources Not Found675

- Sources Not Found675

**Notes:**
Have talked so far about places where you find information
Sometimes look in places and not find anything

## Sources not found (675 field)

- Sources *not* found (675 field)

- Not normally included unless you did research and found nothing about the heading in the source
- Most often records research required by the rules
- Helps to forestall repeated work later

**Notes:**
Usually things not found not interesting, usually not recorded in a.r.

Rare circumstances:
Heading represents problem and expected to continue
Want to save someone else repeating unnecessary work

## Sources not found (675 field)

- Sources *not* found (675 field)

- Both indicators are blank
- Citation consists only of identification of the source (i.e. title and date)
- All in one 675 field, with repeated $a
- Separate repeated $a with semicolons

**Notes:**
Use 675 field—not repeatable
Indicators are blanks
One subfield $a in 675 for each source; separate with semicolons, too

## Sources not found (675 field)

- Sources *not* found (675 field)

- 	675 __ $a GeoNames, June 8, 2004
- 	675 __ $a Who’s who in Am. through 	2003; $a Who was who in Am. through 	2004
- 	675 __ $a NUC pre-56; $a BLC to 1975
- 	675 __ $a Archaeo. atlas; $a Coe, M. 	Atlas of ancient America, 1986; $a Hist. Dict. of No. Am. archaeo., 1988

**Notes:**
Several examples of 675 fields, identifying places searched in which nothing was found
Each 675 $a looks very much like subfield $a of 670 field; giving vols. searched for serially published items

## END OF MODULE 3

**Notes:**
And that’s all we have time for today.

Questions?

## BASIC CREATION OF NAME AND TITLE AUTHORITIES

**BASIC CREATION OF NAME AND TITLE AUTHORITIES**

**Module 4: Personal Names**

**Notes:**
Scope: Personal names

## Scope

- Personal Names
- AACR2 chapter 22: personal names
- LCRIs for chapter 22
- MARC 21: X00 field

**Notes:**
Scope of this module is Personal names
We will cover: AACR2 and the LCRI’s for chapter 22 and the MARC21 format for the 100 field

## Personal name authority records

- 1XX fields: authorized form
- 4XX fields: references
- 5XX fields: related authorized forms (will have own authority records)
- 6XX fields: notes

**Notes:**
Personal name authority records consist of the following broad groups of tags:
1XX fields: authorized form
4XX fields: references
5XX fields: related authorized forms (will have own authority records)
6XX fields: notes

## Sample authority record

**053 __ $a PS3545.I5365                                                          **
**100 1_ $a Williams, Tennessee, $d 1911-1983                                   **
**400 1_ $a Williams, Thomas Lanier, $d 1911-1983                                   **
**670 __ $a The glass menagerie, 1945 : $b t.p. (Tennessee Williams)**
**670 __ $a Stopped rocking and other screenplays, 1984: $b CIP t.p.(Tennessee Williams) data sheet (d. 1983)                                                                 **
**670 __ $a Contemporary authors, via WWW, June 21, 2004 $b (Thomas Lanier Williams; b. March 26, 1911, Columbus, MS; d. Feb. 24, 1983, at Hotel Elysee, New York, NY; Playwright, novelist, short story writer, and poet)****   **

**Notes:**
This is a sample personal name authority record.  
Trainers:
Point out all the fields, tags, delimiters, and subfields.

## Established heading

- Use 1XX field
- 	Personal name: 100
- Each record will have one and only one 1XX field

**Notes:**
The established heading for a personal name is in the 100 field, each record will only have one 100 field

## Relationship of authority to bibliographic: main entry

- Heading in Authority Record
**	****100 1_ $a Williams, Tennessee, $d 1911-1983**
- Bibliographic Record
**  ****100 1**_** $a Williams, Tennessee, $d 1911-1983.**
-   245 10 $a Clothes for a summer hotel : $b a 	ghost play / $c Tennessee Williams.

**Notes:**
Here the relationship between the authority heading and its representation on the bibliographic record as a main entry is shown.

Trainers:
Note the correspondence between the two headings.

## Relationship of authority to bibliographic: added entry

- Heading in Authority Record
**	**
**	****100 1_ $a Williams, Tennessee, $d 1911-1983**
- Bibliographic Record
- 	245 10 $a The rose tattoo $h [videorecording] / 	$c Paramount Pictures; directed by Daniel 	Mann.
**	****700 1**_** $a Williams, Tennessee, $d 1911-1983.**

**Notes:**
Here the relationship between the authority heading and its representation on the bibliographic record as an added entry is shown

Trainers:
Note the correspondence between the two headings.

## Relationship of authority to bibliographic: subject

- Heading in Authority Record
**	**
**	****100 1_ $a Williams, Tennessee, **$**d 1911-1983**
- Bibliographic Record
- 	245 10 $a Tennessee Williams :$b a casebook / 	$c edited by Robert F. Gross.
**	****600 10 $a Williams, Tennessee, $d 1911-1983 $x Criticism and interpretation.**

**Notes:**
Here the relationship between the authority heading and its representation on the bibliographic record as a subject heading is shown

Trainers:
Note the correspondence between the two headings.

## The authority record: see references

- The authority record: see references

- Use 4XX field
- 	Personal name: 400
- You may have as many 4XX fields as necessary
- The 4XX forms are not authorized forms, so don’t use them in bibliographic records

**Notes:**
Records may have as many 4XX fields as necessary to cover all variants
The 4XX forms are not headings.  They should not be used in bibliographic records

## The authority record: see references

- The authority record: see references

- See reference in authority record
**	****100 1**_ **$a Williams, Tennessee, **$**d 1911-1983**
**	****400 1**_ **$a Williams, Thomas Lanier, **$**d ****	****1911-1983**
- Bibliographic record should ***NOT ***have:
**	****100 1**_ **$a Williams, Thomas Lanier, **$**d ****	****1911-1983.**

**Notes:**
Note here that the bibliographic record should NOT correspond to the 4XX reference on the authority record. 

## The authority record:see references

- The authority record:see references

- See reference in authority record
**	****100 1_ $a Williams, Tennessee, $d 1911-1983                                   **
**	****400 1_ $a Williams, Thomas Lanier, $d ****	****1911-1983**
- May display in OPAC as:
**	****Williams, Thomas Lanier, 1911-1983**
**	****	*****search under***
***	******	*****Williams, Tennessee, 1911-1983**

**Notes:**
See references are shown in a libraries OPAC to guide the user to the right place in the catalog.  Here is an example of how a cross reference might display.

## The authority record:see also references

- The authority record:see also references

- Use for *authorized* headings for related entities
- Use 5XX fields
- Personal name: 500 (e.g. pseudonyms)
- Corporate name: 510 (e.g. heads of government/state)

**Notes:**
Used for authorized headings for related entities. Records may have as many 5XX fields as necessary .
The 5XX forms are headings.  

## The authority record: see also references

- The authority record: see also references

- In most cases a 5XX field in an authority record must have a reciprocal authority record
- 100 1_ $a Roberts, Nora	   100 1_ $a Robb, J. D., $d 1950-
- 500 1_ $a Robb, J.D. $d 1950-  	   500 1_ $a Roberts, Nora

**Notes:**
Since 5XX’s are headings, in most cases a 5XX must have a reciprocal authority record.  However in a few cases such as with heads of government, there will only be a reciprocal link from the personal name to the corporate name and not from the corporate name to the personal name.

## The authority record: notes

- 6XX fields
- 670 field: for works cited
- No rules for form; general pattern:
**	****670 __ $a Title proper, date of publication: $b location of data in the source (data)**

**Notes:**
The 6XX fields are for notes in the authority record.  The most common note is the 670 were we record works where information about the person was found.  While there is no rule for the form of the 670 the general pattern is shown.

## The authority record: notes

- The authority record should contain 670s that
-  justify all access points
-  justify all variant forms that are not justified by the rules in AACR2
-  justify all parts of the access points and variants including qualifiers

**Notes:**
There should be 670s in the authority record that justify all access points, all variants (references) that are not justified by the rules in AACR2, and all parts of the access points including qualifiers such as dates, middle names, etc.

## The authority record: notes

- 053 __ $a PS3545.I5365
- 100 1_ $a Williams, Tennessee, $d 1911-1983
- 400 1_ $a Williams, Thomas Lanier, $d 1911-1983
- 670	 __ $a The Glass menagerie, 1945 : $b t.p. (Tennessee Williams)
- 670 __ $a Stopped rocking and other screenplays, 1984: $b CIP t.p. (Tennessee Williams) data sheet (d. 1983)
- 670	 __ $a Contemporary Authors, via WWW, June 21, 2004 $b (Thomas Lanier Williams; b. March 26, 1911, Columbus, MS; d. Feb. 24, 1983, at Hotel Elysee, New York, NY; Playwright, novelist, short story writer, and poet)

**Notes:**
Trainers:
Point out the 670’s and show how this authority record has 670’s that justify the form of the name, the dates and the variant form of the name in the 4XX

## The authority record: notes

- Other common note fields:
- 675: “Source data not found”—used to cite a source in which no data about the heading or references was found
- 667: “Nonpublic general note”—used to communicate information about the heading to other catalogers (e.g., “Not to be confused with ___” or “Cannot identify with: _____”)

**Notes:**
Another common note field is the 675
Why would a cataloger want to use a 675 field? To show subsequent catalogers that a particular source has already been unsuccessfully searched.

Another note field that is common is the 667
We use the 667 field to indicate special information such as when we know two people are different and we want others to know “not to be confused with” or when we are not certain we have two different people “cannot identify with”

## The authority record:terminal punctuation

- The authority record:terminal punctuation

- No punctuation at end of fields
- Unless
- It is part of the data (e.g. period after abbreviation)
- It is called for by the rules (e.g. a closing parenthesis in a qualifier)

**Notes:**
There is no punctuation at end of fields unless it is part of the data (e.g. period after abbreviation) or called for by the rules (e.g. a closing parenthesis in a qualifier)

## Authority control for  personal names

- The process of authority control for names has the following steps:
- Look at the item in hand and determine if there are any personal names on it that will be used in the bibliographic record
- Formulate in your mind how that name might be represented in a heading
- Search an authority file to determine if an authority record has been made for the name
- If you find an authority record for the name
- add that authority record into your local file
- use the form of the heading used in the 1XX on the authority record in the bibliographic record

**Notes:**
The process of authority control for names has the following steps:
1. Look at the item in hand and determine if there are any personal names on it that will be used in the bibliographic record
2. Formulate in your mind how that name might be represented in a heading
3. Search an authority file to determine if an authority record has been made for the name
4. If you find an authority record for the name, add that authority record into your local file and use the form of the heading used in the 1XX on the authority record in the bibliographic record 

## Process of authority control for personal names

- How do you determine if a name on your book and a name in an authority record are the same person?
- You can be certain they are the same if:
- The title of your book is the same as the title of a book in a 670

**Notes:**
One important part of personal name authority control is determining if two people are the same.  When you have a book in hand and are looking at an authority record which may or may not represent the same person, you must ask yourself : Is this the same person?  Since people’s names are often the same you need to question every time if the name you have and an authority record match.

How do you determine if they are the same person?
You can be certain they are the same if the title of the book in your hand matches the title of a book in one of the 670’s on the authority record.

## Process of authority control for personal names

- You can be fairly certain they are the same if:
- The subject of your book is the same as the subjects of the book title(s) in the 670(s) (people tend to write on the same subject)
- The call number of your book matches the literary author number in the 053

**Notes:**
Beyond that:
You can be fairly certain they are the same person if:
The subject of the book in your hand is the same as the subjects of the book titles in the 670s.  This is true because people usually write on the same topic.  With some exceptions most brain surgeons will write on brain surgery and not dog breeding.

Another important point to look at for authors of literary works is the 053 which lists the standard call number from the “P” schedules for each literary author.  If the call number on your book and the call number in the 053 match then you can be pretty sure they are the same person.

## Process of authority control for personal names

- Other things to look for to help you determine if a person is the same are:
- The time period your book matches the time period that the person lived and worked. (People usually publish during a specific time in their lives; People usually don’t publish books before they were born or after they died)
- The language of your book matches the language that person speaks or writes in. (People usually publish in their native language)

**Notes:**
Some other things to look for include:
The time period.  Since most people write during a certain period of their lives (about ages 20-65) you can look at the dates of the book you have and see if it matches the time period that the person lived and worked.  Also most people don’t publish books before they were born or after they died so if those time periods don’t match you may not have the same person.

Also most people write in the language that they speak, and if they write in more than one language those languages are usually closely related.  So if a person was born and raised in Spain, chances are they will not write in German.  Or if a person writes in German it is more likely they would also write in English than in Romanian.  If languages don’t match, chances are you don’t have the same person.

## 
EXERCISES
1-2

Is this the same person?

- EXERCISES
- 1-2
- Is this the same person?

## Process of authority control for personal names

- If you can’t find an authority record for the name:
- create a new record for the person

## Establishing a personal name

- Choose for the heading the name by which a person is most commonly known (AACR2 22.1A)
- This could be a pseudonym, nickname, initials, title or other form

## Choosing the name

- Survey the national utility in which you catalog and reference sources for all resources by or about a person.
- From this information:
- Determine the most common form from:
- The chief source of information in printed sources
- Names listed in reference sources issued in the persons language or country

**Notes:**
Choose the predominant name

## Choosing among the choices

- What if there are a number of choices of name?
- Choose the most commonly found form
- But what if there is no name that is predominant?
- If a person uses different names (except pseudonyms) then select (AACR2 22.2A1):
- the name that appears most frequently in the person’s works;
- the name that appears most frequently in reference sources;
- the latest name

**Notes:**
Choose the predominant name

But what if there is no predominant name?
If a person uses different names (i.e. more than one name that are not pseudonyms) and there is no predominate choice then select: 1) the name that appears most frequently in the person’s works; 2) the name that appears most frequently in reference sources; 3) the latest name. (AACR2 22.2A1)

## Choosing among the choices

- If the name comes in different forms and there is no predominant choice then:
- Choose the form of the name that appears in the chief source of information (e.g. t.p., cover, etc.)
- Example:
- Title page of book – T.B. Smith
- Verso of title page – T. Basil Smith
- Choose: T.B. Smith

**Notes:**
If the name is the same but only comes in different forms (i.e. using initials and spelt out forms) and there is no predominate choice then:
Choose the form of the name that appears in the chief sources of information (i.e. t.p., cover, etc.)
Example:  
Title page of book – T.B. Smith
Verso of title page – T. Basil Smith
Choose: T. B. Smith

## Choosing among the choices

- If some names are fuller than others and there is no predominant choice:
- Choose the fullest form (i.e. the form with the most elements) (AACR2 22.3A1)
- Example:
- Verso of title page – Alexander Williamson
- p. 4 of cover – A. C. Williamson
- Choose: A. C. Williamson

## Choosing among the choices

- If a person writes in more than one language:
- Choose the one corresponding to the language of most of the works
- When in doubt, choose the form most commonly found in reference sources from the person’s country. (AACR2 22.3B1)
- Example:
- Name on English works: George Mikes
- Name on German works: György Mikes
- Uses English on most works
- Choose: George Mikes

**Notes:**
If a person uses more than one language choose the one corresponding to the language of most of the works, in case of doubt choose the form most commonly found in references sources from the person’s country. (AACR2 22.3B1)

Example: 
Name on English works: George Mikes
Name on German works: György Mikes
Uses English on most works
Choose: George Mikes

## 
EXERCISES
3-6

Choice of name

- EXERCISES
- 3-6
- Choice of name

## Pseudonyms

- Contemporary authors (AACR2 22.2B3):
- All living authors and those who have died since December 31, 1900
- Heading matches the one used on the book
- Make an authority record for all names
- Link the authority records using 5XX and 663 fields as necessary

**Notes:**
For contemporary authors (AACR2 22.2B3):

663 fields are publicly-displayable note fields in authority records.  They are used to convey information to patrons that may not be easy to convey as part of simple 5XX fields.  This field is mostly used with pseudonyms to indicate to patrons other places they can search.

## Pseudonyms for contemporary authors

**100 1_ $a King, Stephen, $d 1947-**
**500 1_ $w nnnc $a Druse, Eleanor **
**500 1_ $w nnnc $a Bachman, Richard**
**663 __ $a For works of this author written under other names, search also under $b Bachman, Richard, $b Druse, Eleanor**
**100 1_ $a Bachman, Richard**
**500 1_ $a King, Stephen, $d 1947-**
**670 __ $a** **Washington post, April 9, 1985 $b (Stephen King has written 5 novels using the pseudonym Richard Bachman)**

## Pseudonyms for contemporary authors

- On the bibliographic record use the heading for the name found on the item
**	****100 1_ $a Bachman, Richard.**
**	****245 10 $a Rage / $c a novel by Richard ****	****Bachman**
- NOT
- 	**100 1_ $a King, Stephen, $d 1947-**
**	****245 10 $a Rage / $c a novel by Richard ****	****Bachman**

**Notes:**
On the bibliographic record use the authority heading for the name found on your book.
Example the book says:
	Rage / a novel by Richard Bachman

The bibliographic record would have as the main entry:
100 1_ $a Bachman, Richard
NOT
100 1_   $a King, Stephen, $d 1947-

## Pseudonyms

- Non-Contemporary authors:
- Authors who have died before Dec. 31, 1900
- Only one heading for the author.  Include as references all used pseudonyms (AACR2 22.B1)

## Pseudonyms for non-contemporary authors

- Pseudonyms for non-contemporary authors

**100 1_ $a Sand, George, $d 1804-1876 **
**400 1_ $****a ****Dudevant, Aurore, $d 1804-1876 **
**400 1_ $a Dupin, Aurore, $d 1804-1876 **
**670 __ $a George Sand, 1988: $b p. 1, etc. (Aurore Dupin) p. 61 (Aurore Dudevant)**

## Pseudonyms for non-contemporary authors: exception

- EXCEPT (AACR2 22.2B2):
- If a non-contemporary author has established separate bibliographic identities, then each identity gets its own authority record

## Pseudonyms for non-contemporary authors: exception

**100 1_ $a Carroll, Lewis, $d 1832-1898**
**500 1_   $****w nnnc ****$****a Dodgson, Charles Lutwidge, ****$****d 1832-1898****  **
**663 __ $a For mathematical works of this author, search also under $b Dodgson, Charles Lutwidge, 1832-1898.**
**100 1_ $a ****Dodgson, Charles Lutwidge, ****$****d 1832-1898**
**500 1_ $****w nnnc ****$****a ****Carroll, Lewis, $d 1832-1898**
**663 __ $a For literary works of this author, search also under $b Carroll, Lewis, 1832-1898.**

## Choosing what comes first

- Surnames come first, with forenames after (AACR2 22.5A1):  Willliams, Ted C.
- Compound surnames, both come first (AACR2 22.5C): Gonzalez Abreu, Manuel
- Prefixes written with the surname are included with the surname (AACR2 22.5E1): MacDonald, William
- If you’re not sure put the surname part first (AACR2 22.5B1): Ali, Muhammad

**Notes:**
Normally surnames come first, with forenames after (AACR2 22.5A1):  Willliams, Ted C.
If there are two surnames, both come first (AACR2 22.5C): Gonzalez Abreu, Manuel
Prefixes written with the surname should be treated with the surname (AACR2 22.5E1): MacDonald, William
If you’re not sure it’s a surname, two surnames, or it could be treated as one put the surname part first (AACR2 22.5B1): Ali, Muhammad

## Choosing what comes first

- Surname present:
- First indicator ‘1’
- Second indicator ‘blank’
**	**
**	****100 1_ $a Williams, Ted C.**
**	****100 1_ $a Gonzalez Abreu, Manuel**
**	****100 1_ $a MacDonald, William**
**	****100 1_ $a Ali, Muhammad**

**Notes:**
For all headings where the surname comes first the first indicator (in bibliographic and authority records) of the heading will be a “1”

## Choosing what comes first

- If the name does not include a surname put what comes first in other reference sources (AACR2 22.8): John, the Baptist
- If the name is initials, letters or numerals put them in directly:  A. de O.
- If the name is a phrase put it in directly: Lady of Quality

**Notes:**
If the name does not include a surname put what comes first in other reference sources (AACR2 22.8): John, the Baptist 
If the name is initials, letters or numerals put them in directly:  A. de O.
If the name is a phrase (without a surname) put it in directly: Lady of Quality

## Choosing what comes first

- No surname:
- First indicator ‘0’
- Second indicator ‘blank’
**	****100 0_ $a John, $c the Baptist **
**	****100 0_ $a Lady of Quality**

## Choosing what comes first

- When a surname includes a separately written prefix (AACR2 22.5D)
- Select which comes first by referring to the language lists in AACR2 22.5D1
- For example: For Portuguese: Start after the prefix
- 	**100 1_ $a Fonseca, Martinho da**
**	**** ****NOT ****100 1_ $a Da Fonseca, Martinho**

**Notes:**
When a surname includes a separately written prefix (AACR2 22.5D)
select which comes first by referring to the language lists in AACR2 22.5D1
For example:  Person is Portuguese:  Portuguese rules say enter under the part of the name following the prefix so name would be: Fonseca, Martinho da  	NOT Da Fonseca, Martinho

## Choosing what comes first: references

**	**
- Make references to all other possible forms including:
- Compound Surnames:
- 	100 1_ $a Gonzalez Abreu, Manuel
- 	400 1_ $a Abreu, Manuel Gonzalez

**Notes:**
Once you have chosen the heading entry element make references to all other possible forms including compound surnames, names you’re not sure about, and names with separately-written prefixes.  When presented with a choice of entry words, always make references for forms starting with the words you don’t choose

## Choosing what comes first: references

- Uncertain Choices:
- 	100 1_ $a Ali, Muhammad,$d 1942-
- 	400 0_ $a Muhammad Ali,$d 1942-
- Separately written prefixes:
- 	100 1_ $a Fonseca, Martinho da
- 	400 1_ $a Da Fonseca, Martinho

## 
EXERCISES
7-8

Choice of entry element

- EXERCISES
- 7-8
- Choice of entry element

## Additions to names: qualifiers

- Dates of birth and death (AACR2 22.17)
- Always add dates to a heading when they are available
- Formatting guidelines are given in AACR2 22.17A.
- Both years known : 1945-2004
- Year of birth unknown: d. 1944
- Approximate year of death: 1844-ca. 1924
- Some years of activity known (do not use beyond 1900):      fl. 1226-1240
- Dates are displayed in the $d:
- 	Malcolmson, David, $d 1889-1970

**Notes:**
Dates of birth and death (AACR2 22.17)
Always add dates of birth and death to a heading when they are available
Formatting guidelines are given in AACR2 22.17A.  For example
Both years known : 1945-2004
Year of birth unknown: d. 1944
Approximate year of death: 1844-ca. 1924
Some years of activity known, Do not use with twentieth century dates:  fl. 1226-1240
Dates are displayed in the $d for example: 
	100 1_ $a Malcolmson, David, $d 1889-1970

## Additions to names: qualifiers

- Fuller forms (i.e. middle names, initials spelled out) (AACR2 22.18)
- Include the fuller form if known
- Fuller forms are displayed in the $q and the information is surrounded by parentheses:
- Gonzalez A., Bernardo $q (Gonzalez-	Arechiga)
- Martin, A. Patchett $q (Arthur Patchett)
- Martinez A., Eduardo J. $q (Eduardo Jose Martinez Alonso)

**Notes:**
Fuller forms (i.e. middle names, initials spelled out) (AACR2 22.18)
If the heading as selected does not include the fuller form of a name, include the fuller form as necessary from either the surnames or forenames
Fuller forms are displayed in the $q and the information is surrounded by parentheses, for example:
Gonzalez A., Bernardo $q (Gonzalez-Arechiga)
Martin, A. Patchett $q (Arthur Patchett)
Martinez A., Eduardo J. $q (Eduardo Jose Martinez Alonso)

## Additions to names: qualifiers

- If no other qualifier is available, devise a suitable term (AACR2 22.19)
- Terms can include position or office, initials of an academic degree, initials showing membership in an organization, more general phrases
- Choose the phrase that provides the most distinctive and specific identification

**Notes:**
If no other qualifier is available devise a suitable term to distinguish between individuals (AACR2 22.19)
Terms can include position or office, initials of an academic degree, initials showing membership in an organization, more general phrases
Choose the phrase that provides the most distinctive and specific identification
Such qualifiers should only be used sparingly to break a conflict

## Additions to names: qualifiers

- Such qualifiers should only be used to break a conflict
- Fuller forms are displayed in the $c:
- Williams, Graham, $c Ph.D.
- Richards, Anthony J., $c conductor
- Bingham, John, $c Captain
- Johannes $c (Notary)

**Notes:**
(Note: parentheses only used when entry element is a given name only)

## Additions to names: qualifiers

- Justify all qualifiers in 670 fields
**100 1_ $a Mason, Abraham John, $d 1794-1858**
**670 __ $a Groce, G. N.Y. Hist. Soc. dict. of artists in Amer., 1957 $b (Mason, Abraham John: wood engraver; b. April 4, 1794; d. Feb. 3, 1858)**

**Notes:**
The 670 citation includes the source for the dates of birth and death used in the heading.

## Additions to names: qualifiers

**100 1_ $a Richards, Anthony J. $q (Anthony John), $d 1962-**
**670 __ $a OCLC database, , 5/12/95 ****‚****b (hdg.: Richards, Anthony J.; usage: Anthony J. Richards)**
**670 __ $a Phone call to author, May 12, 1995 $b (Anthony John Richards, b. 1962)**

**Notes:**
The second 670 field shows where the fuller form for the second forename and the date of birth come from.

## Additions to names: qualifiers

**100 1_ $a Richards, Anthony J., $c conductor**
**670 __ $a Soldiers of the Queen [SR] p1976: $b label (Major Anthony J. Richards, director of music)**

**Notes:**
The 670 field tells us that this Anthony J. Richards is a bandleader

## 
EXERCISES
9-11

Qualifiers

- EXERCISES
- 9-11
- Qualifiers

## Undifferentiated names

- Principle of unique headings states:
-  Two different entities with the same name should be given different headings.  Qualifying information is used to break conflicts between two persons with identical heading forms.
**Bingham, James  and Bingham, James **
- 100 1_ $a Bingham, James, $d1905-1993  and
- 100 1_ $a Bingham, James

## Undifferentiated names 

- Undifferentiated names

- Sometimes no qualifiers are available.
- So you make an undifferentiated name record.
- Undifferentiated name records include more than one person on the record.

**Notes:**
When you can’t qualify a name in any way to make it different from another one you make an undifferentiated name record.  
Undifferentiated name records include more than one person on the record.  It is best to do anything to avoid making an undifferentiated name record.  This is used only as a last resort.

## Undifferentiated name authority record

**008/32 b**
- 100 1_ $a Davis, Peter
**670 __ $a [Co-author of First Bull Run, 1861]**
- 670 __ $a First Bull Run, 1861, 1971: $b t.p. (Peter Davis)
**670 __ $a [Joint author of Assessing pupils] **
- 670 __ Assessing pupils, 1984: $b t.p. (Peter Davis) p. ix  (project housed at Sheffield City Polytechnic)
**670 __  $a [Co-author of Aliya] **
- 670 __ $a Aliya, c1995: $b t.p. (Peter Davis)
- 675 __ $a Academic WW, 1973-74; $a WW ed., 1974; $a WW, 1985

**Notes:**
The important identifying elements in the undifferentiated name record are highlighted.  The 008/32 fixed field is “b” indicating an undifferentiated name record.  There’s a separate 670 field identifying each separate person included under this one heading. This identifying phrase is followed by the 670 fields that pertain to that one heading. The 675 field covers all the persons on this heading.

## References

- Formulate all references (4XX and 5XX) as if you were formulating a heading.  All rules for entry elements and adding qualifiers apply to references.

## References

- Make see from references (4XX) from all alternative forms documented in 670s
**100 1_ $a Richards, Alan, $d 1932-**
**400 1_ $a Richards, Walter Alan, $d 1932-**
**670 __ $a The bygone Bromsgrove picture book, 1983: $b t.p. (Alan Richards)**
**670 __ $a BL AL recd., Oct. 25, 1988 $b (Walter Alan Richards, born 18 Dec. 1932)****	**

**Notes:**
Make see references (4XX) from all alternate forms of a name documented in 670’s

## References

**	****100 1_ $a Card, Orson Scott**
**	****400 1_ $a Kard, Orson Skot**
**	****670 __ $a Characterization and viewpoint, 1988: $bt.p. (Orson Scott Card)**
**	****670 __ $a ****Ksenocid, 1998: $b t.p. (Orson Skot Kard)**

**Notes:**
Additionally justify in the 670’s any see references (4XX) from:
Alternative language form

## References

**100 1_ $a Tchaikovsky, Peter Ilich, $d 1840-1893**
**400 1_ $a Tschaikowsky, Peter Iljitch, $d 1840-1893**
**670 __ $a Serenades for strings [SR],  1983?: $b container (Peter IIich Tchaikovsky) label (b. 1840; d. 1893)**
**670 __ $a ****Erinnerungen, c1922: $b t.p. (Peter IIjitch Tschaikowsky)**

**Notes:**
Alternative spelling form

## References

**100 1_ $a Browning, Elizabeth Barrett, $d1806-1861**
**400 1_ $a Barrett, Elizabeth, $d 1806-1861**
**670 __ $a Poems, 1857: $b t.p. (Elizabeth Barrett Browning) half-title (Mrs. Browning)**
**670 __ $a Contemporary authors, via WWW, Feb. 16, 2000 $b(Elizabeth Barrett Browning; b. 1806; d. 1861)**

**Notes:**
Earlier alternative form

## References

- Additionally make see references (4XX) from:
- Other surname forms:
- 	**	****100 1_ $a Gonzalez Abreu, Manuel**
**	****	****400 1_ $a Abreu, Manuel Gonzalez**
- Fuller forms not spelled out in the heading:
- 		**100 1_ $a Williams, A. Paul $q ****	****	****	****(Alan Paul), $d 1951-**
**	****	****400 1_ $a Williams, Alan Paul, $d ****	****	****	****1951-**

**Notes:**
Additionally make see references (4XX) from:
* Other entry element forms (all types):
* Fuller forms not spelled out in the heading:

These references need not be justified by information in the 670.  See previous slides for other entry element form references.

## References

- Traditionally we only make references for those headings in which the entry element and the first element following the comma are different
**100 1_ $a Williams, A. Paul**
**400 1_ $a Williams, Alan Paul**
**100 1_ $a Williams, Alan P.**
***NOT***
**400 1_ $a Williams, Alan Peter**

**Notes:**
Traditionally we only make see references for those headings in which the elements to the left of the comma and the first element to the right of the comma are different, but not if other elements are different

Williams, A. Paul would have a reference to Williams, Alan Paul
(in this case the first two elements are different Williams, A. and Williams, Alan)

Williams, Alan P. would NOT have a reference to Williams, Alan Peter
(in this case the first two elements are the same Williams, Alan and Williams, Alan)

## References

- Make see also references (5XX) to link pseudonyms
**100 1_ $a Carroll, Lewis, $d 1832-1898**
**500 1_ $****w nnnc ****$****a Dodgson, Charles Lutwidge, ****$****d 1832-1898**

**Notes:**
Make see also references (5XX) to link pseudonyms

## END OF MODULE 4

**Notes:**
Scope: Personal names

## BASIC CREATION OF NAME AND TITLE AUTHORITIES

**BASIC CREATION OF NAME AND TITLE AUTHORITIES**

**Module 5: Uniform Titles**

## Scope

- Uniform Titles
- AACR2 chapter 21.1 (rules for entry) and 25 (uniform titles)
- LCRI’s for chapter 21.1 and 25
- MARC 21: 130; 1XX + $ t
- Name-title uniform titles
- Uniform titles for works identified by title alone

**Notes:**
Scope of this module is Uniform titles
We will cover: AACR2 and the LCRI’s for chapter 25 and the MARC 21 format for the 100, 110, and 130 field

NOTE: mention difference between name-title and UTs w/o name—name-title UTs are for works that would have author main entry in the bib record.

## Scope

- The purpose of uniform titles is:
- Collocation
- Identification
- Differentiation
- Organizing the file
- (AACR2 25.1A)

**Notes:**
Governed by AACR2 Chapter 25

Collocation: Bringing together entries for a work whose manifestations or expressions have been published under varying titles
Identification: Identifying a work known by a title other than the title proper of one of its manifestations
Differentiation: Differentiating among different works published with the same titles proper
Organizing the file : a good example of "organizing the file" is the use of UTs for organizing music headings 

Under AACR2, uniform titles are generally used to collocate and differentiate between works

## Scope

- Not covered in this module:
- Series
- Sacred scriptures
- Liturgical works
- Law headings
- Manuscript headings
- Music (although referred to from time to time –there is an addendum at the end)

**Notes:**
Series will be covered in a later ALCTS/PCC production.  Also not covered will be Sacred scriptures, liturgical works, music (although referred to from time to time), law, and manuscript headings.

## Name-Title Uniform Titles vs. Uniform Titles for Works Identified by Title Alone

- Some uniform title strings begin with an author’s name
- Others consist of a title alone
- Determined by AACR2 21.1:
- -if the record for the work would have a main entry, the uniform title will be a name-title
- -if the record for the work would be entered under title, the uniform title will be title alone

**Notes:**
Note that name-title uniform titles can be entered under personal or corporate names as appropriate. [[and include AACR2 excerpt in trainer’s note]]

21.1A2. General rule
Enter a work by one or more persons under the heading for the personal author ...

21.1B2. General rule
Enter a work emanating from one or more corporate bodies under the heading for the appropriate corporate body (see 21.4B, 21.5B) if it falls into one or more of the following categories: ...

21.1C. Entry under title
Enter a work under its title proper ... if:
a) the personal authorship is unknown (see 21.5) or diffuse (see 21.6C2), and the work does not emanate from a corporate body
or
b) it is a collection of works by different persons or bodies (see 21.7)
or
c) it emanates from a corporate body but does not fall into any of the categories given in 21.1B2 and is not of personal authorship
or
d) it is accepted as sacred scripture by a religious group (see 21.37).

## Uniform title authority records

- 1XX fields: authorized form
- 4XX fields: references
- 5XX fields: related authorized forms (will have their own authority records)
- 6XX fields: notes

**Notes:**
Uniform title authority records consist of the following broad groups of tags
1XX fields: authorized form
4XX fields: references
5XX fields: related authorized forms (will have their own authority records)
6XX fields: notes

## Sample title authority record

- 130 _0 $a Casablanca (Motion picture)
- 430 _0 $a Everybody comes to Rick’s
- 670 __ $a Casablanca, 2003
- 670 __ $a Am. Film Inst. cat., 1941-1950, c1999: $b F4, v. 1, p. 385 (Casablanca; orig. title: Everybody comes to Rick’s)
- 670 __ $a Internet movie database, via the WWW, June 21, 2004 $b (Casablanca; orig. script title: Everybody comes to Rick’s)

**Notes:**
This is a sample uniform title authority record.  Point out all the fields, tags, delimiters, and subfields.

## Sample name-title authority record

- 100 1_ $a Twain, Mark, $d 1835-1910. $t Adventures of Huckleberry Finn
- 400 1_ $a Twain, Mark, $d 1835-1910. $t Adventures of Huckleberry Finn (Tom Sawyer’s comrade)
- 400 1_ $a Twain, Mark, $d 1835-1910. $t Huckleberry Finn
- 670 __ $a Tom Sawyer and Huckleberry Finn, 1979, c1980: $b t.p. (containing the complete texts of ... The adventures of Huckleberry Finn)
- 670 __ $a The adventures of Huckleberry Finn (Tom Sawyer’s comrade), 1884
- 670 __ $a Huckleberry Finn, 1951** **

**Notes:**
This is a sample uniform title authority record with the title in the subfield t.  Point out all the fields, tags, delimiters, and subfields.

## Established heading

- Personal name: 100 with subfield $ t
- Corporate name: 110 with subfield $ t
- Meeting name: 111 with subfield $ t
- Title without a name: 130

**Notes:**
Use the 1XX field for the authorized heading

Each record will have one and only one 1XX field

## Relationship of authority to bibliographic: main entry

- Heading in authority record
**	****130 _0 $a Casablanca (Motion picture)**
- Bibliographic record
**	****130 _0 $a Casablanca (Motion picture) **
- 	245 10 $a Casablanca $h [videorecording] / $c 	Hal B. Wallis production ; directed by 	Michael Curtiz ; screenplay Julius J. & Philip 	G. Epstein and Howard Koch.
- 	260 __ $a [Burbank, Calif.] : $b Warner Home 	Video, $c c2003.

**Notes:**
Note that in the case of a title only uniform title there is an exact correspondence between the authority record and the bib record

## Relationship of authority to bibliographic: name/title main entry

- Heading in authority record
**	****100 1_ $a Twain, Mark, $d 1835-1910. $t ****	****Adventures of Huckleberry Finn**
- Bibliographic record
**	****100 1_ $a Twain, Mark, $d 1835-1910.**
**	****240 10 $a Adventures of Huckleberry Finn**
- 	245 10 $a Mark Twain’s Huckleberry Finn / $c 	with index by Jerry S. O'Brien.
- 	260 __ $a Hurley, N.Y. : $b Jerry’s Books, $c 	[1993]

**Notes:**
Note that the form in the authority record must match exactly the form in the bibliographic record, except that it is split between two fields and subfield $t in the authority record becomes subfield $a in the 240 field.

## Relationship of authority to bibliographic: added entry

- Heading in authority record
**	****130 _0 $a Casablanca (Motion picture)**
- Bibliographic record
- 	100 1_ $a Steiner, Max, $d 1888-1971.
- 	240 10 $a Casablanca. $k Selections; $o arr.
- 	245 10 $a Casablanca suite : $b for piano / $c 	music by Max Steiner ; adapted for piano by 	Tony Esposito.
**	****730 0_ $a Casablanca (Motion picture)**

## Relationship of authority to bibliographic: name/title added entry

- Heading in authority record
**	****100 1_ $a Twain, Mark, $d 1835-1910. $t Adventures ****	****of Huckleberry Finn**
- Bibliographic record
- 	100 1_ $a Suter, Joanne.
- 	245 10 $a Huckleberry Finn / $c Mark Twain ; adapted by 	Joanne Suter.
- 	260 __ $a Belmont, Calif. : $b Lake Education, $c c1996.
**	****700 1_ $a Twain, Mark, $d 1835-1910. $t Adventures of Huckleberry Finn.**

**Notes:**
Note here that there is an exact correspondence between the records (and in all the following examples)

## Relationship of authority to bibliographic: subject

- Heading in authority record
- 	**130 _0 $a Casablanca (Motion picture)**
- Bibliographic Record
- 	100 1_ $a Key, Sarah.
- 	245 10 $a The Casablanca cookbook : $b 	wining and dining at Rick’s / $c Sarah Key, 	Jennifer Newman Brazil, Vicky Wells.
- 	260 __ $a New York : $b Abbeville Press, $c 	c1992.
**	****630 00 $a Casablanca (Motion picture)**

## Relationship of authority to bibliographic: name/title subject

- Heading in authority record
**	****100 1_ $a Twain, Mark, $d 1835-1910. $t Adventures of ****	****Huckleberry Finn**
- Bibliographic Record
- 	100 1_ $a Mensh, Elaine, $d 1924-
- 	245 10 $a Black, white, and Huckleberry Finn : $b re-	imagining the American dream / $c Elaine Mensh 	and Harry Mensh.
- 	260 __ $a Tuscaloosa : $b University of Alabama Press, 	$c c2000.
**	****600 10 $a Twain, Mark, $d 1835-1910. $t Adventures of ****	****Huckleberry Finn.**

## The authority record: see references

- The authority record: see references

- Use 4XX field
- Personal name: 400 with subfield $ t
- Corporate name: 410 with subfield $ t
- Meeting name: 411 with subfield $ t
- Title without name: 430
- You may have as many 4XX fields as necessary
- The 4XX forms are not authorized forms, so don’t use them in bibliographic records

**Notes:**
Use 4XX field for variant or other unauthorized forms
Personal name: 400 with subfield $ t
Corporate name: 410 with subfield $ t
Meeting name: 411 with subfield $ t
Title without name: 430
Records may have as many 4XX fields as necessary to cover all variants

## The authority record: see references

- The authority record: see references

- See reference in authority record
**	****100 1_ $a Twain, Mark, $d 1835-1910. $t ****	****Adventures of Huckleberry Finn**
**	****400 1_ $a Twain, Mark, $d 1835-1910. $t ****	****Huckleberry Finn**
- Bibliographic record should **NOT **have:
**	****700 1_ $a Twain, Mark, $d 1835-1910. $t ****	****Huckleberry Finn**

**Notes:**
Note here that the bibliographic record should NOT correspond to the 4XX reference on the authority record. 

## The authority record: see references

- The authority record: see references

- See reference in authority record**	**
**	****100 1_ $a Twain, Mark, $d 1835-1910. $t ****	****Adventures of Huckleberry Finn**
**	****400 1_ $a Twain, Mark, $d 1835-1910. $t ****	****Huckleberry Finn**
- May display in OPAC as:
- 	Twain, Mark, 1835-1910. Huckleberry Finn
- 		*search under:*
*	**	*Twain, Mark, 1835-1910. Adventures of	Huckleberry Finn

## The authority record: see also references

- The authority record: see also references

- Use for *authorized *headings for related entities
- Use 5XX field
- Personal name: 500 with subfield $ t
- Corporate name: 510 with subfield $ t
- Meeting name: 511 with subfield $ t
- Title without name: 530

**Notes:**
Use 5XX fields for authorized headings for related works

## The authority record: see also references

- The authority record: see also references

- Fairly rare for uniform titles (except series)
- If needed, a reciprocal authority record must exist or be created

**Notes:**
Fairly rare, except in series authority records
If a 5XX field is needed in an authority record, a reciprocal authority record for that heading must exist or be created

## The authority record: notes

- 6XX fields
- 670 field: for works cited
- Guidelines for form are provided in the *MARC 21 Authority Format*
- General pattern:
**	****670 __  $a Title proper, date of publication: $b location of data in the source (data)**

**Notes:**
6XX fields are used for notes

## The authority record: notes

- The authority record should contain 670s that
- Justify all access points
- Justify all variant forms that are not justified by the rules in AACR2
- Exceptions in DCM Z1 at ‘670’

**Notes:**
Generally for name headings, the authority record should contain 670 fields citing works justifying all access points to the record, including the heading and all variant forms that are not justified by the rules.

Note, however, DCM Z1 at 670: “Name/title cross references derived from the work being cataloged, from other works cataloged under the same heading, or from information in standard reference sources“ do not require a 670 to justify them. A “name/title cross reference derived from the work being cataloged”, however, presumably would have all the justification needed for references in the first 670 field in the record.

## The authority record: notes

- 	130 _0 $a Casablanca (Motion picture)
**	****430 _0 $a Everybody comes to Rick****’****s ****	**
**	****...**
**	**670 __ $a Am. Film Inst. cat., 1941-1950, 	c1999: $b F4, v. 1, p. 385 (Casablanca; orig. title: **Everybody comes to Rick****’****s**)

**Notes:**
Point out the 670 and show how this authority record has 670’s that justify the form of the name, and the variant form of the name in the 4XX

## The authority record: notes

- Other common note fields:
- 675: “Source data not found”—used to cite a source in which no data about the heading or references was found
- 667: “Nonpublic general note”—used to communicate information about the heading to other catalogers (e.g., “Not to be confused with ___” or “Cannot identify with: _____”)

**Notes:**
Although seldom used for uniform titles it is possible to have a 675 note field in authority records.
Why would a cataloger want to use a 675 field? To show subsequent catalogers that a particular source has already been unsuccessfully searched.

Another note field that is commonly used for NARs (although rarely for UTs) is the 667 field.
We use the 667 field to indicate special information such as when we know two people are different and we want others to know “not to be confused with” or when we are not certain we have two different people “cannot identify with”

## The authority record:terminal punctuation

- The authority record:terminal punctuation

- No punctuation at end of fields
- Unless
- It is part of the data (e.g. period after abbreviation)
- It is called for by the rules (e.g. a closing parenthesis in a qualifier)

**Notes:**
No punctuation at end of field unless part of the data (e.g. period after abbreviation) or called for by the rules (e.g. a closing parenthesis in a qualifier)

## Process of authority control for uniform titles

- The process of authority control for uniform titles has the following steps:
- Look at the item in hand and determine if a uniform title will be needed in the bibliographic record
- Formulate in your mind how that title might be represented in a heading
- Search an authority file to determine if an authority record has been made for the title
- If you find an authority record for the title
- add that authority record into your local file
- use the form of the heading used in the 1XX on the authority record in the bibliographic record

**Notes:**
The process of authority control for names has the following steps:
1. Look at the item in hand and determine if a uniform title will be needed in the bibliographic record
2. Formulate in your mind how that name might be represented in a heading
3. Search an authority file to determine if an authority record has been made for the title
4. If you find an authority record for the title add that authority record into your local file and use the form of the heading used in the 1XX on the authority record in the bibliographic record 

NOTE: if module 4 was covered this information may be skipped or only covered briefly.

## Process of authority control for uniform titles

- If you can’t find an authority record for the title:
- create a new record for the title

**Notes:**
Step 5 of the process of authority control:
If you can’t find an authority record then you need to create a new record

NOTE: if module 4 was covered this information may be skipped or only covered briefly.

## When should a uniform title authority record be created?

- Individual libraries: whenever they feel the need
- LC:
- Reference tracing needed
- Research must be recorded
- Heading needed for added entry or subject heading and related work not in LC’s bibliographic file
- Other information needs to be recorded

**Notes:**
Libraries can establish uniform titles whenever they feel an authority record is needed
LC only creates authority records for uniform titles when:
A reference must be traced from the authority record (e.g., for a variant title)
Research has been done which must be recorded
The heading is needed for a related work added entry or subject heading and the related work is not in LC’s bibliographic file
Other information needs to be recorded

From Descriptive Cataloging Manual: ZI, Name and Series Authority Records

## Establishing a uniform title

- AACR2 21.9
- If nature substantially changed: use heading for new work
- Abridgement, rearrangement, etc.: use heading for original work

**Notes:**
As you search the various files (your catalog, OCLC, LC, etc.), you may encounter publications that are similar to each other.   You must determine if they are the same work or different works.
AACR2 21.9: “Enter a work that is a modification of another under the heading appropriate to the new work if the modification has substantially changed the nature and content of the original or if the medium of expression has been changed. If, however, the modification is an abridgement, rearrangement, etc., enter under the heading appropriate to the original.”

## Choosing the title

- If a new work, no shared uniform title
- If the same work, shared uniform title

**Notes:**
If one resource is a “new work”, the two resources do not share a uniform title
If the two resources are the same work, they share a uniform title

## Choosing the title: new work(no shared uniform title)

- Choosing the title: new work(no shared uniform title)

- Version in different literary form (21.10)
- Revised text, if different author (21.11)
- Condensations with rewriting (21.12, 21.10)
- Commentary emphasized (21.13B)
- Text set to music (21.19A)
- Film version (21.6)
- Artwork in different medium (21.16A)
- Adaptation of musical work (21.18C

**Notes:**
AACR2 has defined certain situations where resources are considered different works from each other and where they are considered the same work.
Paraphrases, adaptations, versions in different literary forms (21.10)
Revised text if original author not responsible (21.11)
Condensations involving extensive rewriting (21.12, 21.10)
Commentary with text, commentary emphasized (21.13B)
Text that has been set to music (21.19A)
Film version of a literary work (21.6)
Artwork adapted from one medium to another (21.16A)
Distinctive adaptation of musical work (21.18C)

Note that these lists are not exhaustive, just scattered examples of what is found in AACR2

## Choosing the title: same work(shared uniform title)

- Choosing the title: same work(shared uniform title)

- Same text as original
- Same text, illustrated (21.11)
- Revised text, original author (21.12) (but cf. 25.2B)
- Abridgement without rewriting (21.12)
- Text with subsidiary commentary (21.13C)
- Translation (21.14)

**Notes:**
Same text as original
Same text as original, illustrated (21.11)
Revised text, if original author responsible (21.12) (but cf. 25.2B)
Abridgement not involving extensive rewriting (21.12)
Text with subsidiary commentary (21.13C)
Translation (21.14)

More ...

## Choosing the title: same work(shared uniform title)

- Choosing the title: same work(shared uniform title)

- Reproduction of artwork (21.16B)
- Musical arrangement (21.18B)
- Musical work with text (21.19A)
- Musical work with accompaniment or parts (21.21)
- Recording of a musical work (21.23)

**Notes:**
If you determine that you have more than one publication of the same work, you may need to establish a uniform title that identifies the work.
Reproduction of artwork (photographically or in same medium as original) (21.16B)
Arranged musical work (21.18B)
Musical work with text added (21.19A)
Musical work with accompaniment or parts added (21.21)
Recording of a musical work (21.23)

## Establishing a name/title

- Name portion uses already established form, or must be established
- Check authority file for author’s name

**Notes:**
Name-title uniform titles: name portion takes already-established form, or must be established first.

Check authority file for author’s name

## Establishing a name/title: author’s name

- Establishing a name/title: author’s name

- 053 _0 $a PS1300 $b PS1348
**100 1_ $a Twain, Mark, $d 1835-1910**
- 500 1_ $w nnnc $a Clemens, Samuel Langhorne, $d 1835-1910
- 500 1_ $w nnnc $a Snodgrass, Quintus Curtius, $d 1835-1910
- 500 1_ $w nnnc $a Conte, Louis de, $d 1835-1910
- 663 __ $a For works of this author written under other names, search also under $b Clemens, Samuel Langhorne, 1835-1910, $b Snodgrass, Quintus Curtius, 1835-1910 $b Louis de Conte, 1835-1910

**Notes:**
Remind audience that the complete authority record is not represented here so that the actual name authoirty record would contain a 670 field, it is simply not displayed here. 

## Establishing a name/title: constructing the heading

- Name followed by period (unless the last element is an open date)
- Title goes in subfield $t:
**	****100 1_ $a Twain, Mark, $d 1835-1910. $t ****...**

**Notes:**
Authority record for the uniform title will first contain the name in 1XX, followed by a period (unless the last element is an open date)

Title, when chosen, will be added in subfield $t.

(Uniform titles that do not include a name portion skip this step)

## Choosing the title

- Search databases for same/similar resources
- Determine relationship between resources you found: the same work or different?

**Notes:**
Survey databases for same/similar resources.

Having done this survey, before you can use any of the evidence found, you must determine the relationship between resources you found: are they the same work or different works? 

Remind the audience of the discussion of work a few slides back. Refer them to the appropriate place in the handout.

## Choosing the title

- AACR2 25.3A: commonly-known title in original language
- Generally, title used in the first edition
- Sometimes ‘commonly known’ means in a different country
- Pre-1501 works: title by which work has become known in modern sources

**Notes:**
Choose “the title or form of title in the original language by which a work created after 1500 has become known through use in manifestations of the work or in reference sources.” (25.3A)
Except for very famous works, this generally means choose the form used in the first edition.
Sometimes ‘commonly known’ means commonly known in a different country from your own! 
Pre-1501 works: choose the title by which the work has become known in modern sources
For classical and Byzantine Greek works, prefer well-established English or Latin title; for other works, use a title in the work’s original language.
For anonymous works in a non-roman script before 1501, use an English title if available.

Point out that this is a variant on the “commonly known” principle in AACR2.

## Choosing the title

- Omit introductory articles (25.2C)
**The** adventures of Huckleberry Finn
- Omit introductory phrases (25.3B)
**This is the story of** Faint George who wanted to be a knight
**Here beginneth the booke, named the** assise of breade
- Generally omit statements of responsibility (25.3B)
**Shakespeare****’****s **Hamlet

## Choosing the title: Huckleberry Finn

- Choosing the title: Huckleberry Finn

- Published in English under different titles:
- The adventures of Huckleberry Finn
- The adventures of Huckleberry Finn (Tom Sawyers’ comrade)
- Huckleberry Finn
- Mark Twain’s Adventures of Huckleberry Finn
- The annotated Huckleberry Finn
- Most common form:
- 	The adventures of Huckleberry Finn

**Notes:**
This work has been published in English many times under different titles:

The most common form is “The adventures of Huckleberry Finn.” This is also the original title (without the subtitle “Tom Sawyer’s comrade”)

## Establishing a name/title: constructing the heading

- Add period to end of established form of author’s name
- Omit initial article
- Add chosen title in subfield $t
**	****100 1_ $a Twain, Mark, $d 1835-1910. $t Adventures of Huckleberry Finn**
- All other titles found are candidates for use in see reference tracings

## 

EXERCISE
1
Choice of title

**EXERCISE**
**1**
**Choice of title**

## Uniform titles for collocation

- AACR2 25.1A
- Bring together various manifestations with varying titles under a single title

**Notes:**
AACR2 25.1A: “Uniform titles can be used ... for bringing together all catalogue entries for a work when various manifestations (e.g., editions, translations) of it have appeared under various titles”

Note that 'manifestations' in this quote is not defined according to FRBR yet, and the meaning of the term 'manifestations' in AACR2R is probably 'expressions and manifestations' in FRBR terms.  Also, we might want to discuss the fact that AACR2R provides techniques for using uniform titles to collocate works and then subarrange expressions under the work heading by language, date, and even edition name (as in the case of the Bible, for example)... 

## Translation into one language

- Determine and/or establish uniform title for original
- Add period, then language of translation in subfield $l (‘L’)
- Use the English form of the name of the language
- Official English forms in MARC code list:
- 	http://www.loc.gov/marc/languages/langhome.html

## Spanish translation of Huckleberry Finn

- Spanish translation of *Huckleberry Finn*

- 1998 Spanish translation has title:
*	*Las aventuras de Huckleberry Finn
- Uniform title for original:
**	****100 1_ $a Twain, Mark, $d 1835-1910. $t Adventures of Huckleberry Finn**
- Add language in subfield $l following period:
**	**100 1_ $a Twain, Mark, $d 1835-1910. $t Adventures of 	Huckleberry Finn**. $l Spanish**

**Notes:**
Note that in this case we wind up with two authority records, one for the original and one for the translation. Although this session does not cover music uniform titles in detail, attendees should know that the practice appears to be different for uniform titles for musical works (though it really isn’t), where references for all language forms of the title are on the same authority record. E.g., the UT for Beethoven’s fifth symphony will not have $l English at the end, even if the title of the publication presents itself in English. Instead, the English title will be given as a variant in a 400 field. This is because this publication does not actually represent a “translation” of Beethoven’s musical work into another language (English).

## Authority record for Spanish Huckleberry Finn

- Authority record for Spanish *Huckleberry Finn*

**	****100 1_ $a Twain, Mark, $d 1835-1910. $t ****	****Adventures of Huckleberry Finn. $l ****	****Spanish**
**	****400 1_ $a Twain, Mark, $d 1835-1910. $t ****	****Aventuras de Huckleberry Finn**
**	****670__ $a Las aventuras de Huckleberry ****	****Finn, c1998**

## Publication in two languages

- Use both languages in subfield $l, separated by “&”
- If one is the original, give it second
- Otherwise, use this order:
- English, French, German, Russian, Spanish,
- other (in English alphabetical order)

**Notes:**
Up to two languages may be named in the uniform title, separated by “&”
If one is the original, it is named last
Otherwise, they are named in this order: 
English
French
German
Russian
Spanish
Other (in English alphabetical order)

Note that the effect of naming the original last results in an organization of the file where the language of the translation is emphasized; original (untranslated) editions will file first because they do not have the language suffix.

## Greek/English edition of the Odyssey

- Greek/English edition of the *Odyssey*

- Uniform title for the original:
- 	**100 0_ $a Homer. $t Odyssey**
- Add period, languages in subfield $l (original language last):
- 	100 0_ $a Homer. $t Odyssey.** $l English & ****	****Greek**

## Publication in more than two languages

- Use “Polyglot” in subfield $l
- 	Uniform title for the 2002 German edition, with Latin and English translation, of *Slovenly Peter:*
- 	**100 1_ $a Hoffmann, Heinrich, $d 1809-1894. ****	****$t Struwwelpeter. $l Polyglot**** **

**Notes:**
Do not name the languages. Instead, give “Polyglot” in subfield $l

This also stands for the 1984 edition in German, English, French, Italian, and Latin.
This also stands for another 2002 edition in 10 languages.

## 

EXERCISE
2
Translation

**EXERCISE**
**2**
**Translation**

## Collective uniform titles

- Bring together groups of works by a single author
- Three types:
- Complete/collected works
- Selections
- Works in a single literary form

**Notes:**
Technique for collocating groups of works by a single author
Three types of collective titles:
complete/collected works
selections
works in a single literary form

## Works of single author

- Items that purport to be the complete works
- Use “Works” in subfield $t
- LCRI 25.8: add year of publication in subfield $f
- 	**100 1_ $a Shakespeare, William, $d ****	****1564-1616. $t Works. $f 1990**

**Notes:**
Use for items that purport to be the complete works of an author
Add the collective title “Works” in subfield $t following the name
LCRI 25.8: add date (year) of publication to the heading, in subfield $f

“Works” can be used for publications of living authors, even though potentially the publication will not be “complete”—be guided by the intent of the publication as evidenced by the wording of the title page, etc.

Uniform title for 1990 editions of Shakespeare’s works

Note: This heading stands for all editions of Shakespeare’s works published in 1990; there were at least two separate editions.

## Selections of single author

- Three or more works, or extracts of incomplete works
- Use “Selections” in subfield $t
- LCRI 25.9: add year of publication in subfield $f
**	**
**	****100 1_ $a Whitman, Walt, $d 1819-1892. ****	****$t Selections. $f 2000**

**Notes:**
Use for resources consisting of three or more works of a single author, or extracts of incomplete works of a single author
Add the collective title “Selections” in subfield $t following the name
LCRI 25.9: add date (year) of publication to the heading, in subfield $f

Uniform title for Leaves of Grass and Other Writings (2000)
Note: this resource consists of all or part of Leaves of grass and other works or parts of works, at least some of which are not poetry (otherwise the collective title would be Whitman, Walt, 1819-1892. Poems. Selections). The treatment of collections of works of a single literary form is covered next.

On the first point, explain that the three or more works should also be of different literary forms if the author wrote in more than one form (otherwise, you would use a “form” collective title).
Explain that for items consisting of two works of a single author the bibliographic record will have a uniform title for each (one the main entry, one an added entry)

## Works of an author in asingle form

- Works of an author in asingle form

- Collection of works in a single literary form
- Use “[name of form]” in subfield $t
- Use the list in AACR2 25.10A if appropriate
- Do not add year
**	****100 1_ $a Dumas, Alexandre, $d 1802-****	****1870. $t Plays**

**Notes:**
Use for a collection of works by a single author all in the same literary form
Add a collective title “[name of form]” in subfield $t following the name
Use the list in AACR2 25.10A if appropriate
In contrast to other collective titles, do not add year

Note that the list in 25.10A is not complete

Collective title for any edition of Dumas’ plays in the original language (French):

## Translations of collections

- Treat same as single works
- Add language(s) in subfield $l
**	****100 1_ $a Chekhov, Anton Pavlovich, $d 1860-1904. $t Works. $l Yiddish. $f 1910 **
**	****100 1_ $a Donne, John, $d 1572-1631. $t Selections. $l Russian. $f 1994 **
**	****100 0_ $a Plato. $t Dialogues. $l Italian & Greek**

**Notes:**
Translations of collections of an author’s works are treated the same way as single works, by the addition of the language(s) in subfield $l after the collective title

## 

EXERCISE
3 Collective uniform title

**EXERCISE**
**3 ****Collective uniform title**

## Parts of a work (non-musical)

- If a part of a work has title, use it
- See reference tracing from the title of the part as a subheading of the main work
**	**100 1_ $a Tolkien, J. R. R. $q (John Ronald 	Reuel), $d 1892-1973.** $t Fellowship of the ring**
**	**400 1_ $a Tolkien, J. R. R. $q (John Ronald 	Reuel), $d 1892-1973.** $t Lord of the Rings. $n 1, $p Fellowship of the ring**

**Notes:**
If a part of a work has its own title, use it: 
Add a see reference tracing from the title of the part as a subheading to the title of the main work:

The Fellowship of the Ring is the first part of The Lord of the Rings

The generic term for the part in subfield $n (if present) should be one used in the work itself, if possible, i.e., “chapter”, “book”, “liber”; check the authority file first to see if parts have been established already and follow the pattern already being used

## Parts of a work (non-musical)

- If a part has no title, use title of work plus generic term in subfield $n or subfield $p
**	**100 1_ $a Twain, Mark, $d 1835-1910. $t Tramp abroad. **$n Chapter 28-29**
- 	100 1_ $a Fitzgerald, F. Scott $q (Francis Scott), $d 1896-1940. $t This side of paradise. **$p Preface**

**Notes:**
If a part of a work does not have its own title, use the title of the work plus an appropriate generic term in subfield $n if numbered, or subfield $p if not:

## Parts of a work (non-musical)

- If unnumbered or nonconsecutively numbered parts, use “Selections” in subfield $k
- 	100 1_ $a Watterson, Bill.** **$t Calvin and Hobbes.** $k Selections**
- 	100 1_ $a Menotti, Gian Carlo, $d 1911- $t Unicorn, the gorgon, and the manticore. **$k Selections**

**Notes:**
If the item consists of unnumbered or nonconsecutively numbered parts, use the title of the main work followed by “Selections” in subfield $k

## Translations of parts

- Add the language(s) in subfield $l
- “Selections” always comes last
**	**
- 	100 0_ $a Virgil. $t Aeneis.** $n Liber 3-6. $l English**
**	**100 1_ $a Whitman, Walt, $d 1819-1892. $t Leaves of grass.** $l Chinese. $k Selections**
- 	110 2_ $a Catholic Church. $t Breviary.** $p Hymns. $l French & German. $k Selections**** **

**Notes:**
The breviary example shows a named part, translation, and selections. Note the order of the languages (original was Latin)

## 

EXERCISE 
4
Parts

**EXERCISE **
**4**
**Parts**

## Uniform titles for differentiation

- AACR2 25.1A
- Differentiate between two or more works published under identical titles proper
- Addition of qualifier to base title

**Notes:**
“Uniform titles can be used ... for differentiating between two or more works published under identical titles proper”—AACR2 25.1A

## Differentiation for monographs with uniform title headings

- LC: not routinely used, unless uniform title needed for:
- Added entry or subject heading in another bibliographic record
- Translation
- If uniform title created, original record is revised

**Notes:**
May be used to differentiate monographs entered under title
LC practice: not routinely used, unless UT needed for another reason, e.g.:
heading needed for the work on another bibliographic record
heading needed for a translation of the work
If a UT is established, the original bibliographic record is revised

LCRI 25.5B and LCRI 25.8

## Additions to titles: qualifiers

- Corporate body
- Date of publication
- Descriptive data element (edition statement, etc.)
- Place of publication
- Other

**Notes:**
Titles are differentiated by the addition of a qualifier. The choice of qualifier is left to cataloger judgment:
Corporate body
Date of publication
Descriptive data element (ed. statement, etc.)
Place of publication
Other

## Additions to titles: qualifiers example

- Additions to titles: qualifiers example

- Many monographs with title *Cuba*
- One is: London : Dorling Kindersley, 2002
- Translated into German (2004) as *Kuba*
- Record for German edition needs uniform title to collocate with English edition
- Uniform title needs to differentiate this  work from others

**Notes:**
There are many monographs given title main entry with the title Cuba
One is (London : Dorling Kindersley, 2002) 
This was translated into German as Kuba (2004)
The German edition needs a UT to collocate it with the English edition
The UT also needs to differentiate the work from the other works with the same title

## Additions to titles: qualifiers example

- Additions to titles: qualifiers example

- Differentiate by qualifying the title
- Many possibilities for the English work
- Cuba (London, England)
- Cuba (Dorling Kindersley Publishing, Inc.)
- Cuba (Eyewitness travel guides)

**Notes:**
For purposes of this example, we’re going to use the name of the publisher as the qualifier.

## Additions to titles : qualifiers example

- Additions to titles : qualifiers example

- German translation:
**	****130 _0 $a Cuba (Dorling Kindersley ****	****Publishing, Inc.). $l German.**
**	****245 10 $a Kuba ****...**
- Revised record for English original:
**	****130 _0 $a Cuba (Dorling Kindersley ****	****Publishing, Inc.)**
**	****245 10 $a Cuba ****...**

**Notes:**
Mention that with the revised record, because we are adding a 1XX field where one wasn’t there before, the first indicator of the 245 will be changed to “1” (previously it was “0”).

## Additions to titles: form qualifiers 

- Additions to titles: form qualifiers

- ... (Motion picture)
- ... (Radio program)
- ... (Television program)
- ... (Comic strip)
- ... (Choreographic work)

**Notes:**
These should be used if applicable

## Additions to titles: form qualifiers

- If further differentiation is needed, add second qualifier (usually year)
- Star is born (Motion picture : 1937)
- Star is born (Motion picture : 1954)
- Star is born (Motion picture : 1976)

## 

EXERCISE
5 Qualifiers

**EXERCISE**
**5 ****Qualifiers**

## Differentiation for serials

- Differentiate serials (and series) with identical titles
- LC: use routinely used to differentiate between serials
- Parenthetical qualifier
- LC: authority records rarely made
- Others make authority records if desired

**Notes:**
Used to differentiate between serials (and series) entered under identical titles
LC practice: unlike monographic practice, uniform titles are routinely used to differentiate between serials
Differentiate using parenthetical qualifier

Uniform titles routinely used, but authority records are rarely made for serial uniform titles in LC practice
Other libraries may make authority records if desired

[Note: Most serials UTs do fit the DCM criteria for creation of authority records (the UT would be different from the 245, i.e., a variant); however, most of the functions of an AR for serials UTs are filled via the bibliographic record in current practice]

## Example for serials

- Title of serial #1: Parenthesis
- Other title information: The journal of the Fine Press Book Association
- First issue (May 1998) published: Whitney, England
- Alternately published England and North America

**Notes:**
Parenthesis
The Journal of 
the Fine Press Book Association

This journal is published by the Fine Press Book Association; place of publication alternates between England and North America, every other issue, by various fine presses. The first issue (May 1998) was published in Witney, England.

## Example for serials

- Title of serial #2: Parenthesis
- Other title information: Journal of theory and new literatures
- Published: London, 1993-
- Not affiliated with any corporate body

**Notes:**
This journal has been published in London since 1993. It does not appear to be affiliated with any corporate body.

## Example for serials

- Parenthesis (Witney, England)
*	**	**OR*
- Parenthesis (Fine Press Book Association)
- Parenthesis (London, England)

**Notes:**
Discuss choice of qualifier for the first one. The second (corporate body) would probably be better in this case because the place of publication alternates. But either is acceptable under AACR2. 

## References

- Formulate all references (4XX and 5XX) as if you were formulating a heading.  All rules apply to references.

## References

- Name/title: use only authorized form of name; variant title in subfield $t
- For name/title headings, no reference tracing from title alone

**Notes:**
Formation of the reference: form as though for the heading
Start with authorized form of author’s name; add variant title in subfield $t
Differing forms of the author’s name are not traced from the authority record for the uniform title

Differing forms of the author’s name found when establishing the uniform title should be added to the authority record for the author’s name.
Under current practice, no reference tracing is made from the title alone in author/title uniform title records, so the user searching “Huckleberry Finn” without the author’s name would not be led to the authorized heading in most systems

Note: the same problem existed in pre-OPAC days.  This is because of the rule expressed on the previous slide.

## 

Addendum
Music Uniform Titles

- Addendum
- Music Uniform Titles

**Notes:**
This addendum is only to be used if there is time and interest. 

## Uniform titles for music follow AACR2 25.26-25.35
Begin by formulating the “initial title element”: “the word or words selected from the title of a musical work and placed first in the uniform title for that work” (AACR2 Appendix D [Glossary])

- Uniform titles for music follow AACR2 25.26-25.35
- Begin by formulating the “initial title element”: “the word or words selected from the title of a musical work and placed first in the uniform title for that work” (AACR2 Appendix D [Glossary])

- Addendum: music uniform titles

**Notes:**
The following slides are to be used if there is interest and if there is time left. LARGE CAVEAT!!! THIS IS AN INTRODUCTION ONLY!!! Not intended to teach how to make music UTs, only to give some understanding of how they are formed, etc.

Uniform titles for music follow AACR2 25.26-25.35
Begin by formulating the “initial title element”: “the word or words selected from the title of a musical work and placed first in the uniform title for that work” (AACR2 Appendix D [Glossary])

## Select the title

- Before finding the “initial title element”, select the title to use as its basis
- Composer’s original title, if possible
- If another title in the same language is better known, choose it

## Remove from the title

- Remove from the selected title:
- statement of medium of performance (“for piano”)
- name of the key (“in E major”)
- serial, opus, etc., numbers (“opus 67”)
- other numbers unless integral to title
- date of composition
- adjectives and epithets not part of original title
- initial article

**Notes:**
Remove from the selected title:
statement of medium of performance (“for piano”)
name of the key (“in E major”)
serial, opus, etc., numbers (“opus 67”)
other numbers unless integral to title
date of composition
adjectives and epithets not part of original title
initial article

## Example of title preparation

- Ludwig van Beethoven
- Fünfte Symphonie, c-Moll, Opus 67
- Faksimile nach dem Autograph in der Staatsbibliothek zu Berlin Kulturbesitz
- mit einem Kommentar, herausgegeben von Rainer Cadenbach
- Laaber • Laaber-Verlag • c2002

## Example of title preparation

- Select the title: Fünfte Symphonie, c-Moll, Opus 67
- Isolate the initial title element:
- remove name of key: “c-Moll” (“c minor”)
- remove opus number: “Opus 67”
- remove other number: “Fünfte” (“Fifth”)
- What remains is the initial title element: “Symphonie”

## Formulate the initial title element

- If the initial title element is name of a type of composition, use English form: “Symphony”
- If composer wrote more than one work of that type, use plural: “Symphonies”
- See AACR2 25.29 for details

**Notes:**
If the initial title element is nothing but the name of a type of composition (“Symphonie”), use English form in the plural unless the composer only wrote one work of the type
Since Beethoven wrote more than one symphony, this will result in “Symphonies”
See AACR2 25.29 for more details

## Additions to the initial title element

- Once the initial title element has been formulated, the following elements are added back in, in prescribed order:
- Medium of performance (“$m piano”) unless implied by the title
- Numeric identifying elements (“$n no. 3”)
- Key (“$r B major”)
- Other identifying elements (if needed to distinguish between works with otherwise identical uniform titles) (“$n (1811)”)

**Notes:**
Once the initial title element has been formulated, the following elements are added back in, in prescribed order:

Other identifying elements as needed to distinguish between works with otherwise identical uniform titles) (“$n (1811)”)

## Additions to the initial title element

- Precede each addition with a comma
- See AACR2 25.30 for details, especially medium of performance

**Notes:**
See AACR2 25.30 for details, especially about dealing with the medium of performance

## Finish the Beethoven title

- Initial title element for the Beethoven example (Fünfte Symphonie, c-Moll, Opus 67) was “Symphonies”. Add:
- 	-Numeric identifying elements: no. 5, op. 67
- 	-Key: C minor
- Final uniform title:
- 	100 1_ $a Beethoven, Ludwig van, $d 1770-	1827. $t Symphonies, $n no. 5, op. 67, $r 	C minor

**Notes:**
NOTE: No medium of performance added because “orchestra” is implied in the title “Symphonies.”

## Authority record for the heading

**	**100 1_ $a Beethoven, Ludwig van, $d 	1770-1827. $t Symphonies, $n no. 	5, op. 67, $r C minor
- 	400 1_ $a Beethoven, Ludwig van, $d 	1770-1827. $t Fünfte Symphonie, 	c-Moll, Opus 67
- 	670 __ $a Fünfte Symphonie, c-Moll, 	Opus 67, c2002

**Notes:**
The authority record would include 4XX fields for variants:

## END OF MODULE 5

## BASIC CREATION OF NAME AND TITLE AUTHORITIES

**BASIC CREATION OF NAME AND TITLE AUTHORITIES**

**Module 6: Corporate Bodies**

## Scope

- Corporate bodies
- Including both non-governmental bodies and government bodies
- AACR2 chapter 24: corporate bodies
- LCRI’s for chapter 24
- MARC 21: 110 field

## Corporate body authority records

- 1XX fields: authorized form
- 4XX fields: references
- 5XX fields: related authorized forms (will have own authority records)
- 6XX fields: notes

## Sample authority record

- 110 2_ $a Frank Erwin Center
- 410 2_ $a Erwin Center
- 410 2_ $a University of Texas Frank Erwin Center
- 410 2_   $a University of Texas at Austin. $b Frank Erwin Center
- 670     $a Applause magazine, Mar. 1988: $b t.p. (Frank Erwin Center) p. 3 (University of Texas Frank Erwin Center; Austin, Texas)

## Established heading

- Use 1XX field
- Each record will have one and only one 1XX field

## Relationship of authority to bibliographic: main entry

- Heading in Authority Record
**	****110 2_  $a Cows in the Graveyard ****	****(Musical group)**
- Bibliographic Record
**110 2_ $a Cows in the Graveyard (Musical group)**
- 245 10 $a Icon $h [sound recording] / $c Cows in the Graveyard.

## Relationship of authority to bibliographic: added entry

- Heading in Authority Record
**110 2_ $a Frank Erwin Center**
- Bibliographic Record
- 245 00 $a Applause magazine : $b the entertainment monthly of the Frank Erwin Center.
**710 2_ $a Frank Erwin Center.**

## Relationship of authority to bibliographic: subject

- Heading in Authority Record
- 	**110 2_ $a OCLC **
- Bibliographic Record
- 	245 10 $a Misinformation and 	meaning in library catalogs / $c 	D.W. Bade.
**	****610 20 $a OCLC $x Evaluation.**

**Notes:**
Note here and in all the following examples that there is an exact correspondence between the records.

## The authority record: see references

- The authority record: see references

- Use 4XX field
- 	Corporate body: 410
- You may have as many 4XX fields as necessary
- The 4XX forms are not authorized forms, so don’t use them in bibliographic records

**Notes:**
Records may have as many 4XX fields as necessary to cover all variants
The 4XX forms are not headings.  They should not be used in bibliographic records

## The authority record: see references

- The authority record: see references

- See reference in authority record
- 	110 2_  $a U.S. Playing Card Co.** **
**	****410 2_  $a United States Playing ****	****Card Company**
- Bibliographic record should **NOT** have:
**	****110 2_ $a United States Playing ****	****Card Company **

## The authority record:see references

- The authority record:see references

- See reference in authority record
- 	110 2_  $a U.S. Playing Card Co.** **
**	****410 2_  $a United States Playing Card ****	****Company**
- May display in OPAC as:
**	****United States Playing Card Company**
**	****	*****search under***
***	******	****** *****U.S. Playing Card Co**.** **

## The authority record:see also references

- The authority record:see also references

- Use for *authorized* headings for related entities
- Use 5XX fields
- Corporate name: 510 (e.g. changes in names)
- Personal name: 500 (e.g. musician in a group)

**Notes:**
Used for authorized headings for related entities

## The authority record: see also references

- The authority record: see also references

- A 5XX field in an authority record must have a reciprocal authority record
- 110 2_  Radio Writers Guild           110 2_  Screen Writers' Guild
- 510 2_  Screen Writers' Guild         510 2_  Radio Writers Guild

**Notes:**
In most cases a 5XX must have a reciprocal authority record.  However in a few cases such as with heads of government, there will only be a reciprocal link from the personal name to the corporate name and not from the corporate name to the personal name.

## The authority record: notes

- 6XX fields
- 670 field: for works cited
- No rules for form; general pattern:
**	****670 __ $a Title proper, date of publication: $b location of data in the source (data)**

## The authority record: notes

- The authority record should contain 670s that
-  justify all access points
-  justify all variant forms that are not justified by the rules in AACR2

**Notes:**
There should be 670s in the authority record that justify all access points, all variants (references) that are not justified by the rules in AACR2, and all parts of the access points including qualifiers as necessary

## The authority record: notes

- 110 2_ $a National Film and Sound Archive (Australia)
- 410  2_ $a National Film & Sound Archive (Australia)
- 510 2_ $w b $a ScreenSound Australia
- 670 __ $a Australian jazz on record, 1925-80, 1988: $b t.p. (National Film and Sound Archive)
- 670 __ $a Its Annual review, 1989-1990: $b t.p. (National Film & Sound Archive)
- 670	 __ $a ScreenSound Australia WWW home page, Aug. 19, 2004 $b (created in 1984 as the National Film and Sound Archive; changed its name in 1999 to ScreenSound Australia, the National Screen and Sound Archive)

**Notes:**
Notice how this authority record has 670’s that justify the form of the name, the dates and the variant form of the name in the 4XX

## The authority record: notes

- Other common note fields:
- 675: “Source data not found”—used to cite a source in which no data about the heading or references was found
- 667: “Nonpublic general note”—used to communicate information about the heading to other catalogers (e.g., “SUBJECT USAGE: This heading is not valid for use as a subject.” or “For works issued before/after...”)

**Notes:**
Why would a cataloger want to use a 675 field? To show subsequent catalogers that a particular source has already been unsuccessfully searched.

We use the 667 field to indicate special information such as when we know two people are different and we want others to know “not to be confused with” or when we are not certain we have two different people “cannot identify with”

## The authority record: indicators

- X10
- First position
- 1 – Jurisdiction name
- 2 – Name in direct order
- Second position
- blank
- 667-675 fields: no indicators (blanks)

**Notes:**
Discuss the indicators for the fields

## The authority record: X10 subfields

- The authority record: X10 subfields

- X10
- 	$a Corporate name
- 	$b Subordinate unit
- 	$n	Number/part/section of meeting
- 	$d	Date of meeting
- 	$c	Location of meeting

## The authority record:terminal punctuation

- The authority record:terminal punctuation

- No punctuation at end of fields
- Unless :
- It is part of the data (e.g. period after abbreviation)
- It is called for by the rules (e.g. a closing parenthesis in a qualifier)

**Notes:**
No punctuation at end of field unless part of the data (e.g. period after abbreviation) or called for by the rules (e.g. a closing parenthesis in a qualifier)

## The authority record:heading punctuation

- The authority record:heading punctuation

- Use a period before a subordinate unit
- 	110 2_ $a University of Virginia. $b Alumni 	Association
- Use colons between additions for meetings
- 	110 2_ $a Southwest Citizens' Participation Congress, Inc. $b Training Conference $d (1992 : $c Dallas, Tex.)

## Authority control for  corporate bodies

- Authority control for  corporate bodies

- The process of authority control for names has the following steps:
- Look at the item in hand and determine if there are any corporate body names on it that will be used in the bibliographic record
- Formulate in your mind how that name might be represented in a heading
- Search an authority file to determine if an authority record has been made for the name
- If you find an authority record for the name
- add that authority record into your local file
- use the form of the heading used in the 1XX on the authority record in the bibliographic record

**Notes:**
1. Look at the item in hand and determine if there are any corporate body names on it that will be used in the bibliographic record
2. Formulate in your mind how that name might be represented in a heading
3. Search an authority file to determine if an authority record has been made for the name
4. If you find an authority record for the name, add that authority record into your local file and use the form of the heading used in the 1XX on the authority record in the bibliographic record 

NOTE: if module 4 was covered this information may be skipped or only covered briefly.

## Process of authority control for corporate bodies

- If you can’t find an authority record for the corporate body's name:
- create a new record for the corporate body

## Definitions

- A corporate body is (AACR2 21.1B):
- an organization or a group of persons
- identified by a particular name
- that acts, or may act
- Consider an entity to have a name if
- the words referring to it are a specific appellation rather than a general description
- in a script and language using capital letters for proper names, the initial letters of the words referring to it are consistently capitalized
- in a language using articles, the words are always associated with a definite article

**Notes:**

AACR2 21.1B
“A corporate body is an organization or a group of persons ... identified by a particular name and that acts, or may act ... Consider a corporate body to have a name if the words referring to it are a specific appellation rather than a general description. Consider a body to have a name if, in a script and language using capital letters for proper names, the initial letters of the words referring to it are consistently capitalized, and/or if, in a language using articles, the words are always associated with a definite article.”. 

If you are not sure it is a corporate body see LCRI 241.A 

## Establishing a corporate body: name or subject?

- Establishing a corporate body: name or subject?

- Since there are split authority files at the Library of Congress you must determine if the corporate body heading you will be establishing is a name or subject.
- Name headings are created using AACR2
- Subject headings are created using LCSH guidelines
- Name in the LC/NACO authority file is borrowed for use as subject

## Establishing a corporate body: name or subject?

- Establishing a corporate body: name or subject?

## Establishing a corporate body

- Choose for the heading the name by which a corporate body is commonly identified (AACR2 24.1A)
- This could be a full name, initials, or  acronyms
- Corporate body names will be entered directly unless later rules say otherwise

## Choosing the name

- Survey the national utility in which you catalog and reference sources for all resources by or about a corporate body.
- From this information:
- Determine the most common form from:
- Items issued by the body in its language

## Choosing among the choices

- What if there are a number of choices of name?
- Select the form found on items issued by the body in its language
- If more than one form appears on items issued by the body – Use the name that appears on chief sources of information (e.g. t.p., cover, etc.) (AACR2 24.2B)

## Choosing among the choices

- What if there is more than one choice of name on chief sources of information?
- Use the name that is presented formally (e.g. biggest type face, bolded words, in the center of the page, etc.) (AACR2 24.2D)

## Choosing among the choices

- What if there is more than one choice of name that is presented formally?
- Use the name that appears most often.  If no form is most frequent then use a brief form that would make it different from others

## Choosing among the choices

- If a name appears in more than one language (AACR2 24.3A1)
- Use the form in the official language of the body
- If the body is international or uses more than one language use the English form
- If you don’t know the body’s language use most predominant form

## 
EXERCISES
1-3

Choice of name

- EXERCISES
- 1-3
- Choice of name

## Choosing what comes first

- Basic rule: Corporate body names are entered directly
- 	110 2_ $a Washington State Governor's 	Timber Team
- Sometimes, however, the rules say to enter them subordinately
- 	110 1_ $a Washington (State). $b 	Governor's Task Force on Children's 	Day Care

## Choosing what comes first

- Non-government corporate bodies are entered subordinately under six conditions (AACR2 24.13)
- Government corporate bodies are entered subordinately under eleven conditions (AACR2 24.18)

## Choosing what comes first

- To determine if it is entered subordinately:
- Determine the type of corporate body (e.g. non-government vs. government)
- Look at the conditions for your type of body
- Determine if one of the conditions applies
- If one of the conditions does not apply then enter it directly
- If one of the conditions does apply, enter it subordinately

## Choosing what comes first

- The six conditions for non-government corporate bodies (AACR2 24.13) are:
- The name contains a term that implies it is part of another
- 	110 2_  $a Central Washington 	University. $b Chemistry** Dept.**
- The name contains a word that implies that it is administratively subordinate
- 	110 2_  $a Stanford University. $b 	**Committee **for Art

**Notes:**
It contains a term that implies it is part of another – some of these terms are Department, Division, Section, Branch.  The abbreviation Dept. is not in AACR2 but LC has mandated its use in names of corporate bodies.
2) It contains a work that implies that it is administratively subordinate -  some of these terms are Committee, Commission
These are listed in an inclusive list in the LCRI for 24.13 type 1 and 2

## Choosing what comes first

- 3)	The name is general or is only a geographic, chronological or lettered subdivision
- 	110 2_  $a Canadian Jewish Congress. 	$b **Central Region**
-  4)	The name does not convey that it is a corporate body
- 	110 2_  $a Central Washington 	University. $b **REM 598**

**Notes:**
3) A name that is general or it is only a geographic, chronological or lettered subdivision
4) It does not convey that it is a corporate body

## Choosing what comes first

- 5)	The name is of a university faculty, school, college, institute, or laboratory
- 	110 2_ $a Stanford University.** **$b** Graduate School of Business**
- The name includes the entire name of its higher or related body
- 	110 2_ $a University of Vermont. $b Choral 	   Union
- 	(Name on item: Choral Union of the University of Vermont)

**Notes:**
5) It is the name of a university faculty, school, college, institute, or laboratory
6) It includes the entire name of its higher or related body

## Choosing what comes first

- The eleven conditions for government corporate bodies (AACR2 24.18) are:
- The name contains a term that implies it is part of another
- 	110 1   Ohio. $b **Division** of Energy
- 2)	The name contains a word that implies that it is administratively subordinate
- 	110 1_ $a Washington (State). $b 	**Commission** for Vocational Education

**Notes:**
A different set of rules applies to government bodies. However, some government bodies follow the rules for non-government bodies: “If a [government]body is subordinate to a higher [government] body that is entered under its own name, formulate the heading for the subordinate body according to 24.12-24.14.” (AACR2. 24.17) 
It contains a term that implies it is part of another – some of these terms are Department, Division, Section Branch
2) It contains a work that implies that it is administratively subordinate -  some of these terms are Committee Commission
Consult the list in the LCRI for this rule

## Choosing what comes first

- 3)	The name is general or is only a geographic, chronological or lettered subdivision
- 	110 1   Malaysia. $b Customs and 	Excise Dept. $b **Sabah Region**
- The name does not convey that it is a corporate body
- 	110 1_ $a Canada. $b **Ocean and ****	****Aquatic Affairs**

**Notes:**
3) A name that is general or it is only a geographic, chronological or lettered subdivision
4) It does not convey that it is a corporate body

Note that there is not a an equivalent for type 6 for non-government bodies (entire name appears as part of the body) for government bodies

## Choosing what comes first

- 5) The body is a ministry or similar major executive agency
- 	110 1_ $a Italy. $b Ministero del bilancio 	e della programmazione economica
- 6) The body is legislative
- 	110 1_ $a Chicago (Ill.). $b City Council
- 7) The body is a court
- 	110 1_ $a Ontario. $b High Court of 	Justice

**Notes:**
5) A ministry or similar major executive agency
6) Legislatures
7) Courts

## Choosing what comes first

- 8)	The body is an armed force
- 	110 1_ $a Germany. $b Heer
- The heading stands for a head of state
- 	110 1_ $a Utah. $b Governor
- 10)	The body is an embassy or consulate
- 	110 1_ $a Canada. $b Embassy (France)
- The body is a delegation to an international or intergovernmental body
- 	110 1_ $a Poland. $b Delegation to the United Nations

**Notes:**
8) Armed forces
9) Head of state or government
10) Embassy or consulate
11) Delegation to an international or inter-governmental body

## Choosing what comes first

- When a heading is entered subordinately the larger body that the heading is subordinate to must be established
- 110 2_ $a University of Virginia. $b Dept. of Law
- 110 2_ $a University of Virginia
- 110 2_ $a Dallas (Tex.). $b Community Access Task Force
- 151 __ $a Dallas (Tex.)

**Notes:**
All jurisdictional and institutional qualifiers used must also have an established authority record.  

## Choosing what comes first: references

**	**
- Make references from all other possible forms including:
- A form entered directly that is subordinate to a higher body
- 	110 2_ $a Frank Erwin Center
- 	410 2_ $a University of Texas at Austin. 	$b Frank Erwin Center

**Notes:**
Once you have chosen the heading entry element make references to all other possible forms entered opposite to what you decided; including a form entered directly that is subordinate to a higher body

## Choosing what comes first: references

- A form entered subordinately but where the name appears without the name of the higher body on the chief source of the body’s own publications
- 110 2_  $a University of California, Berkeley.
- 	$b Task Force on Black Student Persistence
- 410 2_  $a Task Force on Black Student Persistence (University of California, Berkeley)

**Notes:**
Once you have chosen the heading entry element, make references to all other possible forms entered opposite to what you decided.  Including a form entered subordinately but where the name appears without the name of the higher body on the chief source of the bodies own publications

## 
EXERCISES
4-7

Choice of entry element

- EXERCISES
- 4-7
- Choice of entry element

## Additions to names: qualifiers

- Types of qualifiers used for corporate bodies include:
- Names of countries, states, provinces, local place names, etc.
- 	110 2_ $a Christ Church (Boston, 	Mass.)
- Name of an associated institution
- 	110 2_ $a Newman Club (Brooklyn 	College)

## Additions to names: qualifiers

- When a place or institution is insufficient as a qualifier it may be  necessary to further qualify a heading chronologically:
- 110 2_ $a Scientific Society of San Antonio (1892-1894)
- 110 2_ $a Scientific Society of San Antonio (1904- )
- 110 2_ $a Washington Senators (Baseball team : 1886-1960)

## Additions to names: qualifiers

- If all the other qualifiers are insufficient, add any appropriate word in English:
- 110 2_ $a All State Legal (Firm)
- 110 2_ $a Watertown Red & Black (Football team)
- 110 2_ $a Cows in the Graveyard (Musical group)

## Additions to names: qualifiers

- All jurisdictional and institutional qualifiers used must also have an established authority record
- 110 2_ $a Christ Church (Alpine, Tenn.)
- 151 __ $a Alpine (Tenn.)
- 110 2_ $a Middle Eastern Texts Initiative (Brigham Young University)
- 110 2_ $a Brigham Young University

**Notes:**
All jurisdictional and institutional qualifiers used must also have an established authority record.  Note that the qualifier corresponds to the appropriate heading.  Also note that for place qualifiers we take out the parentheses and add a comma between elements.

## Additions to names: qualifiers

- All qualifiers come after the heading set in parentheses
- 110 2_ $a Newman Club (Brooklyn College)
- 110 2_ $a Christ Church (Boston, Mass.)
- 110 2_ $a All State Legal (Firm)

## Additions to names: qualifiers

- When two qualifiers are necessary they are separated in the parentheses by a colon:
- 	110 2_ $a Santo Domingo (Church : 	Guatemala, Guatemala)
- 	110 2_ $a Greens (Restaurant : Fort 	Mason, Calif.)
- 	110 2_ $a Washington Senators 	(Baseball team : 1886-1960)

## Additions to names: qualifiers

- Only add a qualifier to a corporate body when:
- Name doesn’t convey the idea of a corporate body (AACR2 24.4B)
- 	110 2_ $a Bounty **(Ship)**
**	**110 2_ $a Red Hot Chili Peppers 	**(Musical Group)**
- Name conflicts with other names (AACR2 24.4C)
- 	110 2_ Arts Centre **(Darlington, England)**
- 	110 2_ Arts Centre **(Melbourne, Vic.)**

**Notes:**
Unlike personal names where you add qualifiers if you have them, qualifiers are only added to corporate bodies under certain conditions: 1) if the name does not convey the idea of a corporate body 2) if the name conflicts with other names

## Additions to names: qualifiers

- When a government body is entered directly add the name of the government as a qualifier unless it is already present in the name or unless it is an institution (LCRI 24.4C)
- 	110 2_ $a Dundee Harbour Trust (Great 	Britain)
***BUT NOT***
- 	110 2_ $a Baltimore Redevelopment 	Corporation
- 	110 2_ $a Library of Congress

**Notes:**
An institution is defined in a list given in the LCRI (nongovernment body or a government institution (school, library, laboratory, hospital, archive, museum, prison, etc.))

## Additions to names: qualifiers

- Add a qualifier when it would assist in helping understand the nature or purpose of the body (LCRI 24.4C)
- 	110 2_ $a All State Legal (Firm)
- 	110 2_ $a Watertown Red & 	Black (Football team)

## 
EXERCISES
8-10

Qualifiers

- EXERCISES
- 8-10
- Qualifiers

## Omissions from names

- With corporate names there are some terms that are omitted from headings:
- Initial articles
- 	**The** Library Association
- 		110 2_ $a Library Association
- Phrases indicating an honor or order awarded to the body
- 	Moskovskii khudozhestvennyi **ordena ****	****Lenina** akademicheskii teatr
- 		110 2_ $a Moskovskii khudozhestvennyi 	akademicheskii teatr

## Omissions from names

- Terms indicating incorporation (Inc., Ltd., E.V., VEB, S.a.)
- 	American Ethnological Society, Inc.
- 	110 2_ $a American Ethnological Society
- Terms of incorporation can be kept when
- They an integral part of the name (e.g. Films Incorporated)
- They  are needed to make it clear that it’s a corporate body (e.g. Limited, Inc.)

**Notes:**
The word “company” or its equivalent in other languages is not considered a term of incorporation and so should not be omitted.

## Omissions from names

- When corporate bodies have been entered subordinately and there are layers of administrative hierarchy we often omit hierarchal layers in the heading to make headings less complicated and assist in computer filing
- Go backwards up the hierarchy until you find the first name that does not fall under one of the types of headings that are entered subordinately
- Omit intervening elements (with one exception)

## Omissions from names

- For example:
- 	American Library Association  : Does not fall under a type (and it is the highest body)
- 	Resources and Technical Services Division : AACR2 22.13 Type 1
- 	Cataloging and Classification Section : AACR2 22.13 Type 1
- So omit middle level, and heading is:
- 110 2_ $a American Library Association. $b Cataloging and Classification Section

## Omissions from names

- For example:
- 	American Library Association  : Does not fall under a type
- 	Public Library Association : Does not fall under a type
- 	Audiovisual Committee : AACR2 22.13 Type 2
- So no levels omitted, and heading is:
- 110 2_ $a Public Library Association. $b Audiovisual Committee

## Omissions from names

- Layers of administrative hierarchy should be left in when the name of the body has been or is likely to be used by another body within the same administrative hierarchy
- 110 1_ $a New York (State). $b Dept. of Environmental Conservation. **$b Office of Human Resources Management**
- 110 1_ $a New York (State). $b Dept. of Efficiency and Economy. **$b Office of Human Resources Management**

## Omissions from names

- When omitting administrative hierarchy always include a reference with the hierarchy
- 	110 2_ $a American Library Association. $b 	Cataloging and Classification Section
- 	410 2_ $a American Library Association. $b 	Resources and Technical Services Division. 	$b Cataloging and Classification Section

## References

- Formulate all references (4XX and 5XX) as if you were formulating a heading.  All rules for choosing what comes first and adding qualifiers apply to references.

## References

- Make see references (4XX) from all alternative forms documented in 670s
- 110 2_ $a U.S. Playing Card Co.
- 410 2_ $a **United States Playing Card Company**
- 670 __ $a World War II prisoners of war escape map of ... a deck of Bicycle Playing Cards, 1990: $b box (The U.S. Playing Card Co., Cincinnati) letter from co. (The **United States Playing Card Company**)** ****	**

**Notes:**
Make see references (4XX) from all alternate forms of a name documented in 670’s
Alternative form

## References

- Additionally make see references (4XX) from:
- The surname portion of a corporate body name that includes forenames or initials (LCRI 26.3A)
- 110 2_  $a Frank Erwin Center
- 410 2_  $a Erwin Center

## References

- Additionally make see references (4XX) from:
- Spelled out abbreviations (LCRI 26.3A6)
- 	110 2_ $a Breitkopf & Härtel.
- 	410 2_ $a Breitkopf und Härtel
- 	110 2_ $a St. Paul's Cathedral (Buffalo, N.Y.)
- 	410 2_ $a Saint Paul's Cathedral (Buffalo, N.Y.)

## References

- Additionally make see references (4XX) from:
- All forms of initials found, including variations in the punctuation (LCRI 26.3B-C)
- Please note:
- When the only form found includes periods, make a reference from the form without periods
-  When the only form found is without periods do not make a reference from the form with periods

## References

- Additionally for _**government bodies entered subordinately**_ (LCRI 26.3) make see references (4XX):
- From the generic term that indicates the type of agency  when this term is preceded by a word or words that may not be recognized as part of the name
- 110 1_ $a Michigan. $b State Dept. of Education
- 410 1_ $a Michigan. $b Dept. of Education, State

## References

- Additionally for _**government bodies entered subordinately**_ (LCRI 26.3) make see references (4XX):
- From the first key word in the name
- 110 1_ $a Washington (State). $b State Council on Aging
- 410 1_ $a Washington (State). $b **Council on Aging**, State
- 410 1_ $a Washington (State). $b **Aging**, State Council on

## References

- Additionally for _**government bodies entered directly**_ (LCRI 26.3) make see references (4XX):
- From the form as though it had been entered subordinately (LCRI 26.3A7)
- 	110 2_ $a U.S. Fish and Wildlife Service
- 	410 1_ $a United States. $b Fish and 	Wildlife Service

## References

- Make see also references (5XX) to link name changes over time:
- The Screen Writers' Guild of the Authors' League of America was organized in 1920. In 1954 the Screen Writers' Guild merged with the Radio Writers Guild to form the Writers Guild of America, West.
- 110 2_ $a Radio Writers Guild
- 510 2_ $a Screen Writers' Guild
- 510 2_ $a Writers Guild of America, West

## References

- With 5XX references use the $w to indicate clear progression over time from one name to another
- 	110 2_ $a American Material Handling Society
- 	510 2_ $w b $a **International Material ****	****Management Society **
- ($w b = later form)
- 	110 2_ $a International Material Management 	Society
- 	510 2_ $w a $a **American Material Handling ****	****Society**
- ($w a = earlier form)

## References

- 5XX references must be justified in the 6XX fields.  Documentation can be found in either a 670 field or in a 675 field
- 	110 1_ $a Oregon. $b Dept. of Human Resources
- 	510 1_ $w b $a Oregon. $b Dept. of Human 	Services
- 	670 __ $a Cancer in Oregon, 1998: $b t.p. 	(Health Division, Oregon Department of 	Human Resources)
- 	675 __ $a Lead-safe remodeling for do-it-	yourselfers and property owners, 1999: back cover (Oregon Health Division, Department of Human Services)

## References

- 5XX references should be made on the personal name records for governmental officials.  A reciprocal heading should be made to the the record for the corporate body record for the office if one exists.
- 		100 1_  $a Reagan, Ronald
- 		510 1_  $a United States. $b President 			(1981-1989 : Reagan)
- 		110 1_  $a United States. $b President 			(1981-1989 : Reagan)

## Special Situations

- Conferences, Congresses, Meetings, Exhibitions, Fairs, Festivals (AACR2 24.7-24.8) (Covered in module 7)
- Jurisdictional geographic names (AACR2 Chapter 23) (Covered in module 8)
- Religious bodies and officials (AACR2 24.27, 24.10)

## END OF MODULE 6

**Notes:**
Scope: Personal names

## BASIC CREATION OF NAME AND TITLE AUTHORITIES

**BASIC CREATION OF NAME AND TITLE AUTHORITIES**

**Module 7: Meeting Names**

## Scope

- Conferences, meetings, etc.
- Athletic contests
- Scientific expeditions
- Races
- AACR2 chapter 24: selected rules for meeting names
- LCRIs for chapter 24; LCRI 21.1B1
- MARC 21: 111 & 110

**Notes:**
Includes conferences, meetings, expeditions, etc. LCRI 21.1B1 directs us to include some ‘ambiguous’ entities like:

Athletic contests=Olympic Games (28th : 2004 : Athens, Greece) 
Scientific expeditions=United States Naval Expedition to Japan (1852-1854) 
Races= Tour de France (Bicycle race) (2003) 

## Meeting name authority records

- 1XX fields: authorized form
- 4XX fields: references
- 5XX fields: related authorized forms (will have own authority records)
- 6XX fields: notes

**Notes:**
Meeting name authority records consist of the following broad groups of tags
1XX fields: authorized form
4XX fields: references
5XX fields: related authorized forms (will have own authority records)
6XX fields: notes

## Sample authority record

**111 2_ $a IEEE International Conference on Consumer and Industrial Electronics and Applications $d (1984 : $c Singapore)**
**411 2_ $a International Conference on Consumer and Industrial Electronics and Applications, IEEE**
**411 2_ $a Conference on Consumer and Industrial Electronics and Applications, IEEE International**
**670__ $a nuc86-109429: Its Tencon '84, 1984 $b (hdg. on AzU rept.: IEEE International Conference on Consumer and Industrial Electronics and Applications (1984 : Singapore); usage: IEEE International Conference on Consumer and Industrial Electronics and Applications, April 17-19, 1984, Singapore)**

## Sample authority record

**110 2_ $a American Library Association. $b Conference**
**411 2_ $a Conference of Librarians (American Library Association)**
**410 2_ $a American Library Association. $b Conference of Librarians**
**510 2_ $w a $a American Library Association. $b Meeting**
**670 __ $a Its Annual Conference proceedings of the American Library Association, July 8-14, 1951, June 29-July 5, 1952: $b t.p. (Annual Conference, American Library Association)**
**675 __ $a American Library Association. Meeting. Papers and proceedings ... May 25-27, 1914: t.p. (Annual Meeting of the American Library Association)**

## Established heading

- Use 1XX field
- Meeting name: 111
- Corporate name: 110 with subfield $b
- Each record has one and only one 1XX field

## Relationship of authority to bibliographic: main entry

- Authority Record
**	****111 2_ $a International Conference on ****	****Education and Change $d (1995 : $c ****	****University of South Africa) **
- Bibliographic Record
**	****111 2_ $a International Conference on ****	****Education and Change $d (1995 : $c ****	****University of South Africa)**
- 	245 10 $a International Conference on Education 	and Change : $b a selection of papers of a 	conference ...

**Notes:**
Relationship between authority heading and bibliographic record

## Relationship of authority to bibliographic: added entry

- Authority Record
- 	**111 2_ $a Olympic Games $n (26th : $d 1996 : ****	****$c Atlanta, Ga.)**
- Bibliographic Record
- 	245 14  The games of the XXVI Olympiad : closing 	ceremony program = Les Jeux de la XXVIe 	Olympiade : programme de la ceremonie de cloture
- 	260  [Atlanta, GA : Atlanta Committee for the 	Olympic Games, 1996]
**	****711 2_**** **** Olympic Games $n (26th : $d 1996 : $c Atlanta, Ga.)**

**Notes:**
Relationship between authority heading and bibliographic record. As a side issue, under current NACO practice, fully worked out authority records (including qualifiers) may not exist for individual instances of ongoing meetings or events such as the Olympics.  Whether you decide to have such records in your own catalog depends on your own library’s policies.

## Relationship of authority to bibliographic: subject

- Authority Record
**	****111 2_ $a Symposium on a European Armaments ****	****Policy $d (1979 : $c Brussels, Belgium)**
- Bibliographic Record
- 	245 00 $a Symposium on a European Armaments 	Policy, Brussels, 15th, 16th, and 17th October 	1979 : $b resolution 62 / $c adopted by the 	Presidential Committee on 18th January 1979.
**	****611 20 $a Symposium on a European Armaments ****	****Policy $d (1979 : $c Brussels, Belgium)**

**Notes:**
Relationship between authority heading and bibliographic record

## The authority record: see references

- The authority record: see references

- Use 4XX field
- 	Meeting name: 411 (or 410 with subfield $b)
- You may have as many 4XX fields as necessary
- The 4XX forms are not authorized forms, so don’t use them in bibliographic records

**Notes:**
Records may have as many 4XX fields as necessary to cover all variants
The 4XX forms are not headings.  They should not be used in bibliographic records

## The authority record: see references

- The authority record: see references

- See reference in authority record
- 	111 2_  $a Industrial and Commercial 	Power Systems Conference
- 	411 2_ $a Conference on Industrial and 	Commercial Power Systems
- Bibliographic record should ***not**** *have:
- 	111 2_ $a Conference on Industrial and 	Commercial Power Systems
**	**

**Notes:**
Note here that the bibliographic record should NOT correspond to the 4XX reference on the authority record. 

## The authority record:see references

- The authority record:see references

- See reference in authority record
- 	111 2_ $a Industrial and Commercial Power 	Systems Conference
- 	411 2_ $a Conference on Industrial and Commercial Power Systems
- May display in OPAC as:
**	**** **Conference on Industrial and Commercial Power Systems
**	****	*****search under***
***	******	****** ***Industrial and Commercial Power Systems 		Conference

**Notes:**
See references are shown in a library’s OPAC to guide the user to the right place in the catalog.  Here is an example of how a cross reference might display.

## The authority record:see also references

- The authority record:see also references

- Use for *authorized* headings for related entities
- Use 5XX fields
- Meeting name: 511
- Corporate name: 510 (e.g. meeting entered subordinately to a corporate body name)

**Notes:**
Used for authorized headings for related entities. Records may have as many 5XX fields as necessary .
The 5XX forms are headings.  

## The authority record: see also references

- The authority record: see also references

- In most cases a 5XX field in an authority record must have a reciprocal authority record
- 111 2_ $a Conference on Instructional Computing Applications
- 511 2_ $a Conference on Academic Computing Applications
- 111 2_ $a Conference on Academic Computing Applications
- 511 2_ $a Conference on Instructional Computing Applications

**Notes:**
Since 5XX’s are headings, in most cases a 5XX must have a reciprocal authority record.  

## The authority record: notes

- 6XX fields
- 670 field: for works cited
- No rules for form; general pattern:
**	****670 __ $a Title proper, date of publication: $b location of data in the source (data)**

**Notes:**
The 6XX fields are for notes in the authority record.  The most common note is the 670 were we record works where information about the meeting was found.  While there is no rule for the form of the 670 the general pattern is shown.

## The authority record: notes

- The authority record should contain 670s that
-  Justify all access points
-  Justify all variant forms that are not justified by the rules in AACR2
-  Justify all parts of the access points and variants including qualifiers

**Notes:**
There should be 670s in the authority record that justify all access points, all variants (references) that are not justified by the rules in AACR2, and all parts of the access points including qualifiers as necessary

## The authority record: notes 	

- The authority record: notes** **

**111 2_ $a Tour de France (Bicycle race)**
**411 2_ $a Grande boucle (Bicycle race)**
**670 __ $a La France du Tour, c1997: $b t.p. (Tour de France)**
**670 __ $a Les France du tour, 2003: $b t.p. (Grande boucle)**
**670 __ $a Tour de France WWW Home page, Nov. 21, 2003: $b (Tour de France; "Grande boucle")**

**Notes:**
The authority record should contain 670 fields citing works justifying all access points to the record, including the heading and all variant forms
Trainers:
In case anyone asks the title of the second 670 really begins with “Les”

## The authority record: notes

- Other common note fields:
- 675: “Source data not found”—used to cite a source in which no data about the heading or references was found
- 667: “Nonpublic general note”—used to communicate information about the heading to other catalogers (e.g., “Not to be confused with ___” or “Cannot identify with: _____”)

**Notes:**
Another common note field is the 675
Why would a cataloger want to use a 675 field? To show subsequent catalogers that a particular source has already been unsuccessfully searched.

Another note field that is common is the 667
We use the 667 field to indicate special information such as when we know two people are different and we want others to know “not to be confused with” or when we are not certain we have two different people “cannot identify with”

## The authority record: indicators

- X11, X10
- First position
- 1 – Jurisdiction name (used only with X10)
- 2 – Name in direct order
- Second position
- blank
- 667-675 fields: no indicators (blanks)

**Notes:**
Discuss the indicators for the fields.  Note that the first indicator 1 for 111 tags is not used under AACR2, although it is valid in MARC21.  And that most meeting names will be tagged X11.  However, there are cases when meeting names will be tagged X10.

## The authority record: X11, X10 subfields

- The authority record: X11, X10 subfields

- X11, X10
- 	$a Meeting name
- 	$b Subordinate unit
- 	$n	Number/part/section of meeting
- 	$d	Date of meeting
- 	$c	Location of meeting

## The authority record:terminal punctuation

- The authority record:terminal punctuation

- No punctuation at end of fields
- Unless :
- It is part of the data (e.g. period after abbreviation)
- It is called for by the rules (e.g. a closing parenthesis in a qualifier)

**Notes:**
No punctuation at end of field unless part of the data (e.g. period after abbreviation) or called for by the rules (e.g. a closing parenthesis in a qualifier)

## The authority record:heading punctuation

- The authority record:heading punctuation

- If they are included retain quotation marks
- Do not include spaces between initials to regularize them
- Place one space before the year to regularize it
**	****In source: CDS2000**
**	****Heading: 111 2_ $a CDS 2000 ****...**** **

**Notes:**
LCRI 24.1

1. Quotation marks: If the  form includes them, retain them
2. Initials: Regularize, do not put spaces between initials
7. Year in the conference name: Regularize the spacing by placing one space before the year, regardless of the configuration of the year 
             Source: CDS2000
             Heading: 111 2_  CDS 2000 ...

Again, under current NACO practice, this authority record would not exist in the LC/NACO Authority File; however, creating such an authority record in a library’s own authority file, depending on the library’s policies, would not be incorrect practice.

## The authority record:heading punctuation

- The authority record:heading punctuation

- Use colons between additions
- 	111 2_ $a International Conference on 3-D Digital Imaging and Modeling **$n (2nd : $d 1999 : $c Ottawa, Ont.)**

**Notes:**
Note that it is space : space for the punctuation

## Process of authority control for meeting names

- Process of authority control for meeting names

- The process of authority control for names has the following steps:
- Look at the item in hand and determine if there are any meeting names on it that will be used in the bibliographic record
- 2.  Formulate in your mind how that name might be represented in a heading on a record in the bibliographic record

**Notes:**
The process of authority control for names has the following steps:
1. Look at the item in hand and determine if there are any meeting names on it that will be used in the bibliographic record
2. Formulate in your mind how that name might be represented in a heading
3. Search an authority file to determine if an authority record has been made for the name
4. If you find an authority record for the name; add that authority record into your local file and use the form of the heading used in the 1XX on the authority record in the bibliographic record 

NOTE: if module 4 was covered this information may be skipped or only covered briefly.

## Process of authority control for meeting names

- Process of authority control for meeting names

- Steps (cont.):
- 3.  Search an authority file to determine if an authority record has been made for the name
- 4. If you find an authority record for the name
- add that authority record into your local file
- use the form of the heading used in the 1XX on the authority record in the bibliographic record

**Notes:**
The process of authority control for names has the following steps:
1. Look at the item in hand and determine if there are any meeting names on it that will be used in the bibliographic record
2. Formulate in your mind how that name might be represented in a heading
3. Search an authority file to determine if an authority record has been made for the name
4. If you find an authority record for the name; add that authority record into your local file and use the form of the heading used in the 1XX on the authority record in the bibliographic record 

NOTE: if module 4 was covered this information may be skipped or only covered briefly.

## Process of authority control for meeting names

- If you can’t find an authority record for the meeting name:
- Create a new record for the meeting name

**Notes:**
Step 5 of the process of authority control:
If you can’t find an authority record then you need to create a new record

NOTE: if module 4 was covered this information may be skipped or only covered briefly.

## Definitions

- A meeting is considered a corporate body under AACR2
- A corporate body is (AACR2 21.1B):
- an organization or a group of persons
- identified by a particular name
- that acts, or may act
- Consider an entity to have a name if
- the words referring to it are a specific appellation rather than a general description
- in a script and language using capital letters for proper names, the initial letters of the words referring to it are consistently capitalized
- in a language using articles, the words are always associated with a definite article

**Notes:**
A meeting is considered a corporate body.

As a reminder:

AACR2 21.1B
“A corporate body is an organization or a group of persons ... identified by a particular name and that acts, or may act ... Consider a corporate body to have a name if the words referring to it are a specific appellation rather than a general description. Consider a body to have a name if, in a script and language using capital letters for proper names, the initial letters of the words referring to it are consistently capitalized, and/or if, in a language using articles, the words are always associated with a definite article.”. 

Much hinges on the determination of whether a meeting is named or not.

## Establishing a meeting name

- First step is to determine if the meeting has a name (LCRI 21.1.B1)
- Pay attention to capitalization & definite articles
- Phrase must normally include a word that connotes a meeting: “symposium,” conference,” etc.

**Notes:**
RI 21.1.B1 States: When determining whether a conference has a name, cases arise that exhibit conflicting evidence insofar as two of the criteria in the definition of a corporate body are concerned: capitalization and the definite article. When the phrase is in a language that normally capitalizes each word of a name, even in running text, consider a capitalized phrase a name even if it is preceded by an indefinite article.  
Phrase must include a word that connotes a meeting: “symposium,” conference,” etc. 
Note: Some notable sequential conferences that lack such a term are exceptionally considered to be named, e.g., Darmstädter Gespräch. In addition, phrases that combine acronyms or initialisms with the abbreviated or full form of the year are also considered to be named.  See the next slide for another example

## Establishing a meeting name

- Phrases that combine acronyms or initialisms with the abbreviated or full form of the year are also considered to be named
**	****111 2_ $a TOOLS 2003 ****...**
**	****111 2_ $a GAGETECH ****‘****92 ****...**
**	****111 2_ $a MILCOM '90 ****...**

**Notes:**
Phrases that combine acronyms or initialisms with the abbreviated or full form of the year are also considered to be named.

## Establishing a meeting name: name or subject?

- Establishing a meeting name: name or subject?

- LCRI 24.7; SCM H1592
- Before August 1996, events were established as either name or subject headings, tagged X11 or X50
- Now they are all established as name headings, tagged X11
- Old subject headings (X50’s) are being converted  as needed

**Notes:**
LCRI 24.7; SCM H1592
Before August 1996, events were established as either name or subject headings, tagged x11 or x50. 
Now they are established as name headings, tagged x11. Old subject headings (x50’s) are being converted  as needed. 

The definition of ‘event’ is key here. Natural disasters, battles, etc. are still established as subject headings. Even though the RI says “all” be sure to double-check. 

## Choosing the name

- Choose for the heading the name by which a meeting is commonly identified (AACR2 24.1A)
- This could be a full name and include initials or acronyms
- If both there is a specific and general name, choose the specific
- Meeting names will be entered directly unless later rules say otherwise

**Notes:**
The source for a meeting name is the item itself.  Formerly it had to come from the title page (or chief source of information) but now it can come from anywhere in the item.

## Choosing among the choices

- What if there are a number of choices of name?
- If the item is issued by the body – Use the name that appears on the **chief source** of information (e.g. t.p., cover, etc.) (AACR2 24.2B)

**Notes:**
Chief Source defined = 1.0A1;  Monograph = t.p. (2.0B1) ; CD audio = disc and label (6.0B1), etc. 

## Choosing among the choices

- What if there is more than one choice of name on the chief source of information?
- Use the name that is **presented formally** (e.g. biggest type face, bolded words, in the center of the page, etc.) (AACR2 24.2D)

**Notes:**
No definition in AACR2 or LCRIs of “presented formally”; in general, the practice is that the information is prominent in the piece, not nested within a lot of other text or implied in from other text

## Choosing among the choices

- What if there is more than one choice of name that is presented formally?
- Use the name that appears **most often**.  If no form is most frequent then use a brief form that would make it different from others (AACR2 24.2D)

## Choosing among the choices

- If a name appears in more than one language (AACR2 24.3A1)
- Use the form in the official language of the meeting
- If the meeting is international or uses more than one language use the English form
- If you don’t know the meeting language use most predominant one

**Notes:**
All these selection criteria are meant to enable you to create a heading in the form that that another cataloger would most likely create it 

## Choosing what comes first

- To determine if a heading is entered subordinately:
- Determine the type of meeting name (e.g. non-government vs. government)
- Look at the conditions for your type of meeting name
- Determine if one of the conditions applies
- If none of the conditions applies then enter it directly
- If one of the conditions does apply then enter it subordinately

## Choosing what comes first

- Meetings sponsored by non-government bodies are entered subordinately under six conditions (AACR2 24.13)
- Meetings sponsored by government bodies are entered subordinately under eleven conditions (AACR2 24.18)

**Notes:**
Especially the first 3 types of each

## Choosing what comes first

- Meeting names entered subordinately most often fall under:
- Type 3 (AACR2 24.13 & 24.18):  The name is general or is only a geographic, chronological or lettered subdivision
- For example:
- 	Meeting / American Library Association
- 	110 2_ $a American Library Association. $b Meeting

## Choosing what comes first

- Or:
- Type 6 for non-government bodies (AACR2 24.13):  It includes the entire name of its higher or related body
- For example:
- 	Annual Conference of the American Academy of 	Advertising
- 	110 2_ $a American Academy of Advertising. $b 	Conference $n (22nd : $d 1980 : $c University of 	Missouri-Columbia)

**Notes:**
24.13 Subordinate bodies Type 6 Note that there is no such type for government bodies.

Named Meetings
If a named meeting (cf. LCRI 21.1B1) contains the entire name of a corporate body (as defined above), enter the meeting subordinately to the heading for the body if the name contains, in addition to the name of the body, no more than a generic term for the meeting or not more than a generic term plus one or more of the following elements: the venue of the meeting; number, date, or other sequencing element.

## Additions to names: qualifiers

- Add to the meeting name heading:
- Number - $n
- Date - $d
- Location - $c

**Notes:**
The Number (2nd, 9th, etc.)
The Date:   RI 24.7B If the name includes an abbreviated form of the year and is followed by additions, include the year as one of the additions
The location: Prefer institution name over local place name but do not use the name of a hotel, conference center, etc. unless the conference was held outside of a local place

## Additions to names: qualifiers

- In NACO/LC practice, when a conference is ongoing, the authority record heading does not include the number, date and place qualifiers
- The number, date and place are included on the heading in the bibliographic record
- This ‘ongoing’ practice allows libraries to use this authority record for serial or monograph treatment of the titles

**Notes:**
In NACO/LC practice, when a conference is ongoing, the authority record heading does not include the date and place qualifiers. Occasionally a conference will say ‘1st’ but usually this is only known when the ‘2nd’ meeting proceedings are published.  Each library is free to decide for themselves how to deal with ongoing meetings.

The original authority record heading may change to accommodate subsequent conferences or serial practice.

This ‘ongoing’ practice allows libraries to use this authority record for serial or monograph treatment of the titles. 

## Additions to names: qualifiers

- Authority record
- 	**111 2_ $a Conference on Computation and Neural Systems**
** **
- Bibliographic record
**	****711 2_ $a Conference on Computation and Neural Systems $n (4th : $d 1995 : $c Monterey, Calif.)**

**Notes:**
Relationship between authority heading and bibliographic record

## Additions to names: number qualifiers

- Additions to names: number qualifiers

- Headings that include acronyms or initialisms do not usually include number
**	****In chief source:**
**	****Second International Symposium, ISHPC'99, Kyoto, Japan**
**	****111 2_ $a ISHPC '99 $d (1999 : $c ****	****Kyoto, Japan)**

**Notes:**
Ask, is this the 9th, etc. of this conference?
Usually headings that include acronyms or initialisms do not also include a ‘number’ designation
Example: ISHPC '99 $d (1999 : $c Kyoto, Japan)  for the Second International Symposium, ISHPC'99, Kyoto, Japan,  

This is also NACO/LC practice, not required by AACR2

## Additions to names: location qualifiers

- Additions to names: location qualifiers

- Use the established form for places
**	****111 2_ $a Olympic Games $n (26th : $d 1996 : ****	****$c Atlanta, Ga.)**
- Use the name found on the piece for institutions
**	****111 2_ $a NATO International Conference on ****	****Cognitive Psychology and Instruction $d ****	****(1977 : $c Free University of Amsterdam)**
**	****Not ****...**** $c Vrije Universiteit te Amsterdam**

**Notes:**
If the place is a geographic location, use the authority form of the heading
Example: Olympic Games (26th : 1996 : Atlanta, Ga.) 

If the place is an institution (university,  etc.) use the form as found on the piece RI 24.7B

Example: NATO International Conference on Cognitive Psychology and Instruction (1977 : Free University of Amsterdam)
Not Vrije Universiteit te Amsterdam [n 80-7962] 

## Omissions from names

**Omit number, frequency, year from basic heading**
**	****111 2_ $a Summer Seminar on ****	****Academic Administration**
**	*****	******Not***
**	****111 2_ $a 12th Annual **Summer Seminar on Academic Administration

**Notes:**
Omit indications of number, frequency or year from the heading

## References

- Formulate all references (4XX and 5XX) as if you were formulating a heading.  All rules for entry elements and adding qualifiers apply to references.

## References

- Inverted reference are allowed only if (LCRI 26.3A3):
- The heading begins with name of the sponsor
- The words for the conference are not the first words
- We usually do not add qualifiers to inverted references

**Notes:**
Formed as though chosen for the heading
Inverted references are allowed only when the heading begins with the name of the sponsor and/or when the word for conference is not the first element of the heading. RI 26.3A3
Additions (Qualifiers) are not usually added to the references

Note that inverted references are NOT made for subject words in the conference name

## References

**	****111 2_ $a IBM Academic Information Systems Seminar for Deans of Law Schools $d (1985 : $c University of ****	****Minnesota Law School)**
**	****411 2_ $a Seminar for Deans of Law Schools, IBM Academic Information Systems**

## References

- Make see also references (5XX) to link name changes over time:
- With 5XX references use the $w to indicate clear progression over time from one name to another
- 5XX references must be justified in the 6XX fields.  Documentation can be found in either a 670 field or in a 675 field

## References

- 	111 2_ $a International Conference on AC and 	DC Power Transmission
- 	411 2_ $a Conference on AC and DC Power 	Transmission, International
**	****511 2_ $w b $a International Conference on ****	****AC-DC Power Transmission**
- 	670 __ $a Its (4th : 1985 : London, England). 	Fourth International Conference on AC and 	DC Power Transmission, 23-26 Sept. 1985, 	London, c1985.
- 	675 __ $a Seventh International Conference on 	AC-DC Power Transmission, c2001: t.p. (28-	30 November 2001, London)

**Notes:**
$w b means that it is a later heading

## References

- Usually no 5XX for ‘initials’ headings
- 	111 2_ $a ISHPC '99 $d (1999 : $c 	Kyoto, Japan)
- 	111 2_ $a ISHPC 2002 $d (2002 : $c 	Kansai Science City, Japan)

**Notes:**
It is perfectly acceptable to make 511 references to link headings of this type. However, most catalogers don’t bother.

## 

EXERCISES
1-4

- EXERCISES
- 1-4

**Notes:**
Hold on this slide until ready to show the answers.

## 

END OF MODULE 7

- END OF MODULE 7

## BASIC CREATION OF NAME AND TITLE AUTHORITIES

**BASIC CREATION OF NAME AND TITLE AUTHORITIES**

**Module 8:****Geographic/Jurisdiction Names**

## Scope

- Geographic/Jurisdiction Names
- AACR2 chapter 23: jurisdictions
- LCRI’s for chapter 23
- MARC 21: 151
- Geographic name headings represent a dual concept

**Notes:**
Names of jurisdictions versus names of geographic features
AACR2 Chapter 23 is applied in the formulation of names of jurisdictions created as name headings.
The MARC 21 tag for geographic headings is the 151.
In the LC/NACO authority file geographic name headings represent a dual concept. 

Geographic name headings represent a dual concept.  In the name authority context they represent the jurisdiction as a corporate body that issues laws, employs civil servants, and collects taxes; they also represent the territory that the government controls. 

## Scope

- Use in descriptive cataloging
- Jurisdictions/corporate names
- Use in subject cataloging
- Rivers, regions, mountain ranges, etc.

**Notes:**
In the LC/NACO authority file – 151 headings are used for descriptive cataloging purposes
In the LC Subject authority file (LCSH) –151 headings are created for geographic features that are not capable of authorship 

The guidelines for formulating non-jurisdictional geographic names headings are found in the Library of Congress Subject Heading List (LCSH).  Both geographic name headings are established with the MARC 21 tag 151.

## Scope

- Name in the LC/NACO authority file is borrowed for use as subject
- There are split authority files at the Library of Congress
- Subject headings created using LCSH guidelines
- Name headings created using AACR2

**Notes:**
When a geographic name established in the LC/NACO authority file is needed as a subject access point it is borrowed from that file. 
This arbitrary situation is the result of the split authority files at the Library of Congress.
The authority files are split into 
Subject headings created using LCSH guidelines
Name headings created using AACR2 
This division impacts all users of the LC/NACO authority file and  bibliographic records. 

The authority files are split into subject headings and name headings. In LC this is grandiosely know as the “division of the world” or in practical terms “the division of the work” 

## Terminology

- Use of “Geographic names” is avoided
- Use “names of jurisdictions”
- Names of jurisdictions can be:
- Names of cities, states, or countries
- Used as subject headings, corporate names, and as qualifiers

**Notes:**
To avoid confusion the phrase “Geographic names” will not be used in this module
Use the phrase “names of jurisdictions”
These are names of cities, states, countries
They are used as subject headings, as corporate names, and as qualifiers (for corporate names entered directly, series, and conferences)

 NOTE to instructors: As soon as you start explain why we are calling this module “Names of Jurisdictions” rather than Geographic Names.  You may want to ask them to hold off questions as each slide should build on the other and may clarify concepts as you go along.

## Jurisdiction names authority records

- Jurisdiction names authority records

- 1XX fields: authorized form
- 4XX fields: references
- 5XX fields: related authorized forms (will have own authority records)
- 6XX fields: notes
- 7XX fields: linking entries

**Notes:**
Jurisdiction name authority records consist of the following broad groups of tags
1XX fields: authorized form
4XX fields: references
5XX fields: related authorized forms (will have own authority records)
6XX fields: notes
7XX fields: linking entries

## Sample authority record

- 151 __ $a United States
- 451 __ $a U.S.A.
- 451 __ $a Artsot ha-Berit
- 670 __ $a Midiniyut Artsot-ha-Berit ... 1987: $b added t.p. (United States)
- 670 __ $a The U.S.A.: an aerial close-up, 1968
- 670 __ $a Bituye hizdahut leumit ba-kibuts ha-Yehudi shebe-Artsot ha-Berit, 1982: $b t.p. (Artsot ha-Berit) added t.p. (United States of America)
- 781 _0 $z United States

**Notes:**
Trainers:
This is a sample jurisdiction name authority record.  Point out all the fields, tags, delimiters, and subfields.

## Established heading

- Use 1XX field
- 	Jurisdiction name: 151
- Each record will have one and only one 1XX field

**Notes:**
The established heading for a personal name is in the 151 field, each record will only have one 1XX field

## Relation of authority to bibliographic

- There is no 151 or 751 field in bibliographic records
- So for main and added entries:
- 151 becomes X10

**Notes:**
A geographic name authority heading is assigned the MARC 21 tag 151; however, a 151 heading is never appropriate to use as a main or added entry in AACR2/MARC 21 bibliographic record.  For use as a descriptive access point on a bibliographic record a 151 is converted into a corporate heading with the MARC 21 tag 110.  This entity is known variously as a jurisdiction, a local place name or sometimes referred to as a “corporate body entered under place.”

## Relation of authority to bibliographic: main entry

- Heading in authority record
**	**
**	****151 __ $a Texas**
- Bibliographic record
**	**
**	****110 1_ $a Texas.**
- 	245 10 $a Laws and rules governing pari-mutuel 	racing in Texas ...

**Notes:**
A geographic name authority heading is assigned the MARC 21 tag 151; however, a 151 heading is never appropriate to use as a main or added entry in AACR2/MARC 21 bibliographic record.  For use as a descriptive access point on a bibliographic record a 151 is converted into a corporate heading with the MARC 21 tag 110.  This entity is known variously as a jurisdiction, a local place name or sometimes referred to as a “corporate body entered under place.”

In other words, a geographic name authority heading is not created as a 110 (corporate name without a subordinate unit) it is created as a 151 and borrowed when needed for use for use as a corporate entity on bibliographic records.  

Having a single name authority record for a jurisdiction, tagged 151, sometimes confuses people when they need to use that jurisdiction name in different ways, as corporate main entry or as the basis for a corporate name heading in a 610 or 710.Catalogers use geographic name authority records to help them come up with the corporate name headings beginning with a jurisdictional name.

## Relation of authority to bibliographic: added entry

- Heading in authority record
**	**
**	****151 __ $a Utah**
- Bibliographic record
**	**
**	**245 10 $a Areas of responsibility and land status, state of 	Utah, 1993 / $c produced by the Bureau of Land 	Management in cooperation with the United States 	Geological Survey and the state of Utah.
**	****710 1_ $a Utah.**

**Notes:**
A geographic name authority heading is assigned the MARC 21 tag 151; however, a 151 heading is never appropriate to use as a main or added entry in AACR2/MARC 21 bibliographic record.  For use as a descriptive access point on a bibliographic record a 151 is converted into a corporate heading with the MARC 21 tag 110.  This entity is known variously as a jurisdiction, a local place name or sometimes referred to as a “corporate body entered under place.”

In other words, a geographic name authority heading is not created as a 110 (corporate name without a subordinate unit) it is created as a 151 and borrowed when needed for use for use as a corporate entity on bibliographic records.  

## Relation of authority to bibliographic: subject

- There is a 651 field in bibliographic records
- So for subjects:
- 151 becomes 651

**Notes:**
A 151 geographic heading may be used as a subject heading and assigned the MARC 21 tag 651 [subject heading] on a bibliographic record.
In this case the geographic heading is functioning as the subject of the item as when the item is discussing the place such as guidebooks, history books, etc.

## Relation of authority to bibliographic: subject

- Heading in authority record
**	**
**	****151 __ $a North Carolina**
- Bibliographic record
**	**
**	**245 10 $a The history of the first North Carolina 	reunion at Greensboro, N. C.
**	****651 _0 $a North Carolina.**

**Notes:**
A 151 geographic heading may be used as a subject heading and assigned the MARC 21 tag 651 [subject heading] on a bibliographic record.
In this case the geographic heading is functioning as the subject of the item as when the item is discussing the place such as guidebooks, history books, etc.

Show the relationship between the authority heading and its representation on the bibliographic record as a main entry
Note the correspondence between the two headings and the change of tag.

## The authority record: see references

- The authority record: see references

- Use 4XX field
- 	jurisdiction names: 451
- You may have as many 4XX fields as necessary
- The 4XX forms are not authorized forms, so don’t use them in bibliographic records

**Notes:**
Records may have as many 4XX fields as necessary to cover all variants
The 4XX forms are not headings.  They should not be used in bibliographic records

## The authority record: see references

- The authority record: see references

- See reference in authority record
**	****151 __ $a Canada**
**	****451 __** **$a Dominion of Canada**
- Bibliographic record should ***NOT ***have:
**	****110 1**_ **$a Dominion of Canada.**

**Notes:**
Note here that the bibliographic record should NOT correspond to the 4XX reference on the authority record.

## The authority record:see references

- The authority record:see references

- See reference in authority record
**	****151 __ $a Canada**
**	****451 __** **$a Dominion of Canada**
- May display in OPAC as:
**	****Dominion of Canada**
**	****	*****search under***
***	******	*****Canada**

**Notes:**
See references are shown in a libraries OPAC to guide the user to the right place in the catalog.  Here is an example of how a cross reference might display.

## The authority record:see also references

- The authority record:see also references

- Use for *authorized* headings for related entities
- Use 5XX fields
- Jurisdiction names: 551 (e.g. changes of name)

**Notes:**
Used for authorized headings for related entities

## The authority record: see also references

- The authority record: see also references

- In most cases a 5XX field in an authority record must have a reciprocal authority record
**151 _ $a British Honduras****	****     151 _ $a Belize**
**551 _ $w b $a Belize****	****	****     551 _ $w a $a British Honduras**

**Notes:**
In most cases a 5XX must have a reciprocal authority record.  However in a few cases such as with heads of government, there will only be a reciprocal link from the personal name to the corporate name and not from the corporate name to the personal name.

## The authority record: notes

- 6XX fields
- 670 field: for works cited
- No rules for form; general pattern:
**	****670 __ $a Title proper, date of publication: $b location of data in the source (data)**

**Notes:**
The 6XX fields are for notes in the authority record.  The most common note is the 670 were we record works where information about the person was found.  While there is no rule for the form of the 670 the general pattern is shown.

## The authority record: notes

- The authority record should contain 670s that
-  justify all access points
-  justify all variant forms that are not justified by the rules in AACR2

**Notes:**
There should be 670s in the authority record that justify all access points, all variants (references) that are not justified by the rules in AACR2, and all parts of the access points including qualifiers as necessary

## The authority record: notes

- 151 __ $a United States
- 451 __ $a U.S.A.
- 451 __ $a Artsot ha-Berit
- 670 __ $a Midiniyut Artsot-ha-Berit ... 1987: $b added t.p. (United States)
- 670 __ $a The U.S.A.: an aerial close-up, 1968
- 670 __ $a Bituye hizdahut leumit ba-kibuts ha-Yehudi shebe-Artsot ha-Berit, 1982: $b t.p. (Artsot ha-Berit) added t.p. (United States of America)
- 781 _0 $z United States

**Notes:**
Point out the 670’s and show how this authority record has 670’s that justify the form of the name, and the variant form of the name in the 4XX

## The authority record: notes

- Other common note fields:
- 675: “Source data not found”—used to cite a source in which no data about the heading or references was found
- 667: “Nonpublic general note”—used to communicate information about the heading to other catalogers (e.g., “SUBJECT USAGE: This heading is not valid for use as a subject.” or “For works issued before/after...”)

**Notes:**
Another common note field is the 675
Why would a cataloger want to use a 675 field? To show subsequent catalogers that a particular source has already been unsuccessfully searched.

Another note field that is common is the 667
We use the 667 field to indicate special information such as when we know two people are different and we want others to know “not to be confused with” or when we are not certain we have two different people “cannot identify with”

## The authority record: linking entries

- The 781 field contains a geographic subdivision name that is equivalent to the heading represented by the record, and shows the form the name should take when used as a subdivision in a subject string.
- 151 __ $a Provo (Utah)
- 781 _0 $z Utah $z Provo

**Notes:**
The form of the 781 is established according to the rules in LCSH which we will not be covering in this training. But you should pay attention to existing 781 fields, they are very useful.

## The authority record: Indicators

- 151, 451, 551: no indicators (blanks)
- 667-675 fields: no indicators (blanks)
- 781 field: first indicator blank; second indicator indicates the thesaurus used (e.g., 0=LCSH)

**Notes:**
Discuss the indicators for the fields

## The authority record: X51 subfields

- The authority record: X51 subfields

- 151: $a only
- 451: $a and $w only
- 551: $a and $w only
- 781: $z
- Subfields $v,x,y,z, 6 and 8 are valid but are not used in NACO name authority records, except in 781 fields

**Notes:**
Again remind attendees that other subfields defined by the MARC 21 authority format are not used in Name Authority Records but may be appropriate for Subject authority records.
At LC these are 2 separate files and there is often confusion especially since the examples in the MARC 21 authority format uses as examples headings that are mainly subject headings (e.g., Amazon River, Communist countries, Halley’s comet, etc.) 
Subfield $w will be discussed later in the module. 

## The authority record:terminal punctuation

- The authority record:terminal punctuation

- No punctuation at end of fields
- Unless :
- It is part of the data (e.g. period after abbreviation)
- It is called for by the rules (e.g. a closing parenthesis in a qualifier)

**Notes:**
No punctuation at end of field unless part of the data (e.g. period after abbreviation) or called for by the rules (e.g. a closing parenthesis in a qualifier)

## Process of authority control for jurisdiction names

- Process of authority control for jurisdiction names

- The process of authority control for names has the following steps:
- Look at the item in hand and determine if there are any jurisdiction names on it that will be used in the bibliographic record
- Formulate in your mind how that name might be represented in a heading
- Search an authority file to determine if an authority record has been made for the name
- If you find an authority record for the name
- add that authority record into your local file
- use the form of the heading used in the 1XX on the authority record in the bibliographic record

**Notes:**
The process of authority control for names has the following steps:
1. Look at the item in hand and determine if there are any jurisdiction names on it that will be used in the bibliographic record
2. Formulate in your mind how that name might be represented in a heading
3. Search an authority file to determine if an authority record has been made for the name
4. If you find an authority record for the name; add that authority record into your local file and use the form of the heading used in the 1XX on the authority record in the bibliographic record 

NOTE: if module 4 was covered this information may be skipped or only covered briefly.

## Process of authority control for jurisdiction names

- Process of authority control for jurisdiction names

- If you can’t find an authority record for the jurisdiction name:
- create a new record for the jurisdiction name

**Notes:**
Step 5 of the process of authority control:
If you can’t find an authority record then you need to create a new record

NOTE: if module 4 was covered this information may be skipped or only covered briefly.

## Ambiguous headings

- Some headings formerly subjects now in LC/NACO authority file
- LCRI 23.1
- City sections, conservation districts, ancient jurisdictions, parks
- Subject cataloging manual section H405
- 	_[http://www.loc.gov/catdir/pcc/saco/alpha405.html](http://www.loc.gov/catdir/pcc/saco/alpha405.html)_

## Ambiguous heading list from PCC website

**Notes:**
A good tip to remember is that if the chart says to use the Subject Cataloigng Manual (SCM) it is not a jurisdiction name. 

## Establishing a jurisdiction name

- Always use a reference source
- Gazetteers
- Atlases
- Encyclopedias
- Internet databases
- LC uses U.S. Board on Geographic Names (BGN)
- 		_[http://geonames.usgs.gov/](http://geonames.usgs.gov/)_
- (NACO participants are required to cite this reference source)

## GNIS

**Notes:**
Note that there are 2 possible places to search: US and its territories and Foreign Names  (Geonet)

## GNIS for US Names

**Notes:**
This is the initial query page for name in the GNIS US

## GeoNet for non-US names

**Notes:**
This is the initial page for GeoNet for non-US names

## Searching GeoNet

**Notes:**
Initial query page for Geonet 

## Choosing the name

- Use the English form if  in general use (AACR2 23.2A1)
- Italy *not *Italia
- Germany *not *Deutschland
- Spain *not *España
- Vienna *not *Wien

**Notes:**
AACR2 23.2A1 instructs catalogers to use the English form of name if there is one in general use.

This the reason we use names such as: 
Italy not Italia
Germany not Deutschland
Spain not España
Vienna not Wien

Otherwise know as the “conventional name”

## Choosing the name

- If no English form, use form in official language of the country (AACR2 23.2B1)
- Buenos Aires
- Caracas
- Livorno
- If there is more than one official language prefer English

**Notes:**
AACR2 23.2B1 states that if there is no English form to use the form in the official language of the country. 
Buenos Aires
Caracas
Livorno
With a preference for English if the country  has more than one official language.

In practice LC now tries to err on the politically correct side by establishing names in the vernacular (official name of the country). 

## Additions to names: qualifiers

- With the exeception of country names –all jurisdiction names are qualified
- The qualifer is the name of a larger place (AACR2 23.4B1, 23.4E-F)
- Use parentheses
- Use abbreviations in AACR2 Appendix B.14
- Buenos Aires** (Argentina)**
- Sydney **(N.S.W.)**
- 	 Atlanta **(Ga.)**

**Notes:**
 AACR2 23.4B1, 23.4E-F instructs catalogers to add to the name of a place (other than a country) the name of the larger place within which it is located in parenthesis and using the AACR2 authorized abbreviations.

Note: The AACR2 authorized abbreviations are found in Appendix B.14

## Additions to names: qualifiers

- General rule: qualify by the country
- Paris (France)
- Rome (Italy)
- U.S., Australia, Canada, British Isles, Malaysia, U.S.S.R, and Yugoslavia (AACR2 23.4C-D) use the state name or equivalent
- Austin (Tex.)  *not *Austin (U.S.A.)
- Jasper (Alta.) *not *Jasper (Canada)

**Notes:**
Exceptions to this rule are listed in AACR2 23.4C-D, these include places in the U.S. Australia, Canada, and the British Isles as well as Malaysia, U.S.S.R., and Yugoslavia  

For these exceptions the additions used are the names of the states or provinces in which they are located:

Chiefly the exclusions for not adding the country level; Note that AACR2 does not use the US Postal Service abbreviations instead uses the authorized abbreviations are found in Appendix B.14 as noted earlier.
 . 

## Additions to names: qualifiers

- Two places with same name within same jurisdiction demand further qualification (presence or absence in any catalog is irrelevant)
- 	Jonestown (Lebanon County, Pa.)
- 	New York (State)
- 	Washington (State)

**Notes:**
What does it means to say  “conflict is absolute”?
Absolute conflict means that if a place name is the same as another place name within the same jurisdiction further qualification is needed.
For NACO catalogers this also means 
Whether or not the other place name is used in your catalog 

Jonestown has the same name as other towns in Pennsylvania therefore the county name is added to differentiate.   

The addition is usually the highest jurisdictional level (state or equivalent) but when more than one place within the same jurisdiction has the same name an addition at the lower jurisdiction is used (county or equivalent).  Example: Jonestown.

In some cases to avoid ambiguity or when the city name is the same as the state name (or equivalent) the state name is qualified with the word indicating the type of jurisdiction. Examples: New York (State); Washington (State)	

This happens more often with foreign names

## Jurisdiction  names used as qualifiers

- Jurisdiction  names used as qualifiers

- Generally use all portions of a place name when the name becomes a qualifier
- Use only one set of parentheses
- 	**110 2_ $a Central Area Farmers Support ****	****Group (****Jonestown, Lebanon County, Pa.)**
_***NOT***_
- 	**110 2 $a Central Area Farmers Support ****	****Group (****Jonestown (Lebanon County, ****	****Pa.))**

**Notes:**
Additions to the place name are generally carried through when the name is used as a qualifier

Note that “cataloger’s” additions to the place name (such as parenthesis or type of jursidiction) are not used when the name is used as a qualifier

## Jurisdiction  names used as qualifiers

- Jurisdiction  names used as qualifiers

- •	Exception: Do not include the jurisdiction “type”  to qualify a non-jurisdictional corporate body
**	****110 2_ $a Central Area Farmers Support ****	****Group (Washington)**
_***NOT***_
**	****110 2_ $a Central Area Framers Support ****	****Group (Washington : State)**

**Notes:**
“cataloger’s” additions to the place name (such as parenthesis or type of jursidiction) are not used when the name is used as a qualifier

The colon and the additional qualifier of  “State” are not included when the name is used as a qualifier; 

## Class participation: Establish a new place name

- Class participation: Establish a new place name

**Notes:**
We’re going to work thru this exercise together

(Remember to wait for answers from the group before moving to next slide.)

##  Establish a new place name

-  Establish a new place name

- Place name: Susquehanna Township
- Location: Cambria County, Pennsylvania

**Notes:**
You need to establish an authority record for a place named: Susquehanna Township located in Pennsylvania in Cambria County.

## Steps to take

- Read: LCRI 23.2 on Townships
- Search GNIS for information and conflicts

## LCRI 23.2

- Omit ‘Township’ or ‘Town’ from heading
- Add ‘Township’ or ‘Town’ to qualifier after state
**	****151 __ $a Kintire (Minn. : Township)**
**	****	***In GNIS: Kintire, Township of*
**	****151 __ $a Milo (Me. : Town)**
- 		*In GNIS: Milo, Town of*

**Notes:**
First read the LCRI:

“For U.S. townships (called “Towns” in some states) that encompass one or more local communities and the surrounding territory, do not include the term “township” or “town” as part of the name. Instead, add the term after the name of the state.
“These non-local jurisdictions are called “townships” in Arkansas, California, Illinois, Indiana, Iowa, Kansas, Michigan, Minnesota, Missouri, nebraska, new Jersey, North Carolina, North Dakota, Ohio, Pennsylvania, and South Dakota; they are called “towns” in Connecticut, Maine, Massachusetts, new Hampshire, New York, Rhode Island, Vermont, and Wisconsin. If there is more than one township with the same name in the same state, appply LCRI 23.4F1.
“Note: For the period 1980-1990, the term “Township” or “Town” was added only if the name conflicted. Change existing headings for U.S. townships lacking the term “Township” or “Town” when the headings are needed for post-1990 cataloging.
Emphasize to participants tthat the word “Town” is not automatically added to the qualifier, but only if it is used in place names in the sense of “Township.” For instance, Hanksville, Utah, refers to itself as the “Town of Hanksville” The town is established ad Hanksville (Utah) NOT Hanksville (Utah : Town)  Because “town” is not the quivalent to “township.”  The word “Town” is omitted in this case not because of LCRI23.2 but because of AACR2 23.5 

## Search GNIS

**Notes:**
Execute the search in GNIS 

## GNIS search results

**Notes:**
NOTE to instructor:  This results page continues on and on.  The important thing here is that there are multiple townships in Pennsylvania called ‘Susquehanna.’  One in Cambria county, one in Dauphin county, one in Juniata county, and one in Lycoming county.  The one we’re establishing is the one in Cambria county.

## GNIS display

- 49

**Notes:**
If more than one set of coordinates are provided, it means that the place appears on more than one USGS map. 
Use the coordinates that most closely match those in the item (if available) or the 1st set provided. –per Bob Hiatt, January 2005

## Result: Geographic name Heading 

- Result: Geographic name Heading

**151 __ $a Susquehanna (Cambria ****	****County, Pa. : Township)**
**670 __ $a GNIS, Nov. 9, 2005 $b ([information for the established name]; also lists 3 other Susquehanna townships) **

**Notes:**
Based on the information this is what the NAR would look like.  Explain that the County name was added to show that there was absolute conflict with other same named places in the same jurisdiction (even though other names not present in any catalog searched). The word Township was added because of the LCRI.
The addition in the 670 shows how to illustrate that there are other locations of the same name within the jurisdiction, and justifies the qualifier “Cambria County, Pa.”

Latitude and longitude are important components of NACO records for geographic names. You will often see them in the 670 field of authority records. They are not required for local authority records, so we will no go into them in detail here, nor require them in the exercises.

## Changes in names: earlier and later names

- Changes in names: earlier and later names

- When a name changes, establish both and link with 551s
**	****151 __ $a British Honduras**
**	****551 __ $w b $a Belize**
**	****151 __ $a Belize**
**	****551 __ $w a $a British Honduras**

**Notes:**
When a place changes its name a new name is established and a See Also from tracing—Geographic name (551) is added to both authorized forms of the geographic name in order to link them.  

Note that a subfield “w” is added to the 551 to denote where the heading is the earlier heading ($w a) or the later heading ($w b).

## Changes in names: earlier names as subject

- Changes in names: earlier names as subject

- Earlier names not used as subjects
- Authority record contains 667
- 008/15 (used as subject) coded ‘b’
**	****008/15: b**
**	****151 __ $a British Honduras**
**	****551 __ $w b $a Belize**
**	****667 __ $a SUBJECT USAGE: This heading is not valid for use as a subject.  Works about this place are entered under Belize.**

**Notes:**
Another LC subject/name file principle that impacts users is that an earlier geographic heading generally may not be used for subject heading application.  
Therefore the authority record for the earlier heading will contain a 667 note and the fixed field “Subj. use” 008/15 will be coded: b   

Variant for names of jurisdictions on ability to use forms as subject headings--latest form principle.

Note that there ARE a few exceptions to this rule.  These are listed in the LC Subject Cataloging Manual: H 710 “Jurisdictional Mergers and Splits.”
 This instruction sheet provides general guidance as when it is appropriate to use an older form of name as a subject entry and points to LC treatment of special or complex situation such as: Germany (H 945), Soviet Union (H 1023), and Yugoslavia (H 1055), etc.  

Please note that the earlier forms are still valid as main and added entries.

## Changes in names: Latest name as subject

- Latest name is used as subject
- 008/15 (used as subject) coded ‘a’
**	****008/15: a**
**	****151 __ $a Belize**
**	****551 __ $w a $a British Honduras**

**Notes:**
Here is the later heading with the 551 subfield $ w  set to a and the 008/15 set to “a” heading appropriate for use as a subject heading.

## Changes in names: latest name as qualifier

- Changes in names: latest name as qualifier

**	****151 __ $a Belize City (Belize)**
**	****451 __ $a Belize City (British Honduras)**
_***NOT:***_
**	****151 __ $a Belize City (Belize)**
**	****551 __ $w a $a Belize City (British Honduras)**

**Notes:**
Note that when a 1st level jurisdiction (country/state) undergoes a name change but a local place name the jurisdiction does NOT change, the latest name is used as the qualifier for the local name. The local name qualified by the earlier place name is not established as a separate heading, and there is consequently no need for earlier/later links.

Instead the earlier established name is changed to add the new jurisdictional name but the old form [with the earlier name of the jurisdiction] of name is converted into a 451 See reference

The example illustrates that when British Honduras changed its name to Belize the capital city of Belize City did not change. As a result only the qualifier needed to be changed resulting in a “do not use” see reference for the older form of name rather than an earlier/later.  
The question always asked is “what if I have a work on the city or by a corporate body from the period of its earlier name.”  The answer is that the the later form of name is used on those works if it is a subject if it is a corporate body entered under place then the principle of earlier later is employed.  The concept is analogous to a personal name change (all items written on or by Jackie Kennedy when she used that name are subsumed under the latest name).  There may be some exceptions but these are only for the most recent country name changes (Hong Kong, etc.) 
Note that because the name is changed the principle of  using only the latest form of name for subject application is inherent without the need to recode the fixed field or add a 667 note.  

## Jurisdiction names and subordinate bodies

- When a jurisdiction name is used with a subordiante body then the tag changes to 110 with addition of $b or $t
**	**
**	****151 __ $a Chicago (Ill.)**
**	****110 1_ $a Chicago (Ill.).  $b City Council**
**	****151 __ $a United States**
**	****110 1_ $a United States. $t ****Comprehensive Employment and Training Act**

**Notes:**
Geographic  names with the MARC 21 tag 151  cannot have subordinate bodies.  All names of jurisdictions are handled in direct order including those for city sections.
According to AACR2, many government agencies are entered subordinately, that is, with the name of the jurisdiction in subfield $a and the name of the agency in subfield $b.  The name authority record for Canada provides the correct form to be used in the subfield $a of the heading for the corporate body shown here, the Ministry of Transport.  
In the authority record, the heading Canada. $b Ministry of Transport is coded 110.  When used as a corporate main or added entry in bibliographic records, it is coded 110  or 710.
If you needed to assign a corporate main or added entry for a government agency entered subordinately but no authority record existed for that agency, you would use the heading for the jurisdiction as in the name authority record, add the name of the agency in subfield $b, and code the heading 110 or 710 in your bib record.  (This is greatly simplified and catalogers should refer to chapter 24 of AACR2 and the LCRIs for guidance!)
When a subfield $ b or $t for a subordinate body is needed under a geographic name the MARC 21 tag for this field becomes a 110 corporate name.
Emphasize that the concept is to borrow the geographic place name to use as the jurisdictional place name.  Only jurisdictions (corporate bodies) can have subordinate units.
Remind the class that earlier we had discussed that that a 110 with first indicator ‘1’ and without subfield $b or $t can not exist in the name authority file. Similarly a heading coded 151 cannot contain a subfield $b (or any other subfield) in the LC/NACO authority file.

## References

- Formulate all references (4XX and 5XX) as if you were formulating a heading.  All rules for entry elements and adding qualifiers apply to references.

## References

- Make see references (4XX) from all alternative forms documented in 670s
- 151 __ $a United States
- 451 __ $a U.S.A.
- 451 __ $a Artsot ha-Berit
- 670 __ $a Midiniyut Artsot-ha-Berit ... 1987: $b added t.p. (United States)
- 670 __ $a The U.S.A.: an aerial close-up, 1968
- 670 __ $a Bituye hizdahut leumit ba-kibuts ha-Yehudi shebe-Artsot ha-Berit, 1982: $b t.p. (Artsot ha-Berit) added t.p. (United States of America)
- 781 _0 $z United States

**Notes:**
Make see references (4XX) from all alternate forms of a name documented in 670’s
Alternative form

## References: city sections

**	****151 __ $a Chinatown (San Francisco, Calif.)**
**	****410 1_ $a San Francisco (Calif.). $b Chinatown**
**	****151 __ $a Battersea (London, England)**
**	****410 1_ $a London (England). $b Battersea**

**Notes:**
In the case of city sections there is a required cross reference (410).  Since a 151 cannot have a subordiante part added to it, it must be converted into a corporate body tag (X10) and in this case these are 410s. 

## References

- Make see also references (5XX) to link changes in name
**151 __ $a British Honduras**
**551 __ $w b $a Belize**

**Notes:**
Make see also references (5XX) to link earlier or later names

## EXERCISES1-5 

- EXERCISES1-5

## 

END OF MODULE 8

- END OF MODULE 8

## BASIC CREATION OF NAME AND TITLE AUTHORITIES

**BASIC CREATION OF NAME AND TITLE AUTHORITIES**

**Module 9: The NACO Program**

## Program for Cooperative Cataloging (PCC)

- International in scope
- Expand access to library collections
- Useful, timely, and cost-effective cataloging
- Mutually-accepted standards
- 	http://www.loc.gov/catdir/pcc/2001pcc.html

**Notes:**
International in scope, the Program for Cooperative Cataloging (PCC) aims to expand access to library collections “by providing useful, timely, and cost-effective cataloging that meets mutually-accepted standards of libraries around the world.”

## PCC goals

- Enhancing availability of bibliographic and authority records
- Mutually accepted standards
- Training

**Notes:**
The program’s goals include enhancing the availability of both bibliographic and authority records for sharing, developing and maintaining mutually accepted standards for those records, and through training efforts to increase the number of trained catalogers using those standards 

## PCC history and structure

- Initiated 1995
- Four programs:
- NACO (Name Authority Cooperative)
- SACO (Subject Authority Cooperative)
- BIBCO (Bibliographic Records Cooperative)
- CONSER (Cooperative Online Serials)

**Notes:**
The PCC was initiated in 1995 and currently consists of four programs:  
NACO (Name Authority Cooperative)
SACO (Subject Authority Cooperative)
BIBCO (Bibliographic Records [Monograph] Cooperative)
CONSER (Cooperative Online Serials)
	It developed from the previously existing NACO and CONSER programs and through a series of meetings of cooperative library programs during the mid-1990’s the PCC was consolidated in 1997. 

## NACO program 

- NACO program

- New and updated authority records
- Names, uniform titles, and series
- Contributed to shared authority file
- Individual institutions or groups
- “Funnel projects“
- Over 400 participants (190 individual institutions, 220 members in 19 NACO funnels)

**Notes:**
NACO participants learn to construct and contribute new and updated authority records for names, uniform titles, and series to the Library of Congress national authority file.  The program is open to individual institutions or to a group of libraries with a common interest through the formation of a "funnel project" to contribute records via a coordinator. There are over 400 participants, including approximately 190 individual institutional members and 220 members in 19 NACO funnel projects. 

## NACO training	

- NACO training

- Up to five days
- Overview of *MARC 21 authority format*
- Components of authority records
- Review relevant chapters of AACR

**Notes:**
Training sessions of up to five days are undertaken by participants at their home institutions, LC, or at another venue. The training consists of 
an overview of the MARC 21 Authority Format and the components of an authority record
review of the relevant chapters of AACR 
			22 – Personal names
			23 – Geographic names
			24 – Corporate bodies
			25 – Uniform titles
			26 – References

## NACO training

- Review of LCRIs
- Construction of headings
- Searching and verification of headings and references
- Procedures for contribution
- Administration and communication within the program

**Notes:**
Review of LCRIs (Library of Congress Rule Interpretations) relating to those chapters
construction of headings
searching and verification of headings and references
procedures for contribution
administration and communication within the program

## How to become involved 

- How to become involved

- Institution, not individuals
- Institutional involvement promotes continuity of participation

**Notes:**
Institutions, rather than individuals, make up the NACO program.  Institutional involvement in the time and training required promotes the continuity of participation long after an individual cataloger has moved on.  

## How to become involved

- A least 200 new or modified authority records per year
- Small libraries: at least 100 new or modified records per year

**Notes:**
In order to justify the costs involved in the program large libraries (all ARL and national libraries) must contribute at least 200 new or modified name or series authority records per year.  Currently a funnel must contribute a total of 100 heading for the entire group not per library.

Small libraries (state, public, college, special libraries, and those with specialized collections) are required to contribute at least 100 new or modified name and series records per year

## How to become involved

- Application form available at:
- 	http://www.loc.gov/catdir/pcc/application.html

## All records are reviewed until independent— maximum of 1 year –if not independent within that time counseling takes place or participation may end.
Records reviewed to assure that:
Heading is unique and properly constructed
Record has appropriate cross references
All headings in the hierarchy have been established

- All records are reviewed until independent— maximum of 1 year –if not independent within that time counseling takes place or participation may end.
- Records reviewed to assure that:
- Heading is unique and properly constructed
- Record has appropriate cross references
- All headings in the hierarchy have been established

- Review period

**Notes:**
For a period of time after you have completed the NACO training sessions you will submit your records to a reviewer for feedback.  The reviewer will ensure that your heading:
is unique and properly constructed
that is has appropriate cross references
if the heading is part of a hierarchy that all the headings in the hierarchy have been established.

This process is part of a maximum one year probationary period required for membership in PCC. If your records have met the specified requirements of quality and met the quantity requirements within that one year probationary period you will be considered “independent” and review of your submitted records is no longer required.  In some cases where institutions submit records in large numbers the review period can take less time. 

## 12

- Libraries with similar mission or purpose in common join to contribute headings
**   ****Arabic Funnel Project**
**   ****Art-NACO Funnel Project**
**   ****Hebraica Funnel Project**
**   ****NACO Music Funnel Project**
**   ****OLAC Funnel Project**** Etc.**

- Funnel projects

**Notes:**
Funnel projects consist of libraries having a similarity of mission, purpose or location joining together to contribute name headings to the national authority file.  

These funnel projects may be based upon subject area, such as the NACO Music Project or Hebraica Funnel

- Smaller libraries within a location or members of same bibliographic utility may unite to contribute  headings to NACO
**	****Detroit Area Network Funnel, Minnesota Funnel, Utah Funnel, Virginia Funnel, **
**   ****NACO-MEXICO, NACO-Canada, Law Funnel/OCLC, Law Funnel/OCLC, etc.**

- Funnel projects

**Notes:**
Small libraries that may not be able to meet the 100 record a year minimum contribution of records to NACO may consider becoming part of a funnel project especially if these are within the same geographic area, such as the Virginia Funnel; or membership in a consortium, such as the OCLC law funnel.

## Funnel coordinator and training

- Project facilitated by coordinator
- Only coordinator is ‘independent’
- Recruit members, arrange training, distribute documentation
- Training more flexible for funnels

**Notes:**
The project is facilitated by a coordinator, who recruits members, arranges for training, and distributes documentation.  The training sessions are more flexible in funnel projects; they may be spread out over time, reduced in content, or given in conjunction with a conference, depending upon the needs of the project.

Within NACO it is only the coordinator who may be granted independent status and may vote within PCC on behalf of the funnel project.

## Funnel contributions in FY2005

- OLAC funnel: over 2000 name and series authority records
- Minnesota funnel: over 1200 name and series authority records

**Notes:**
Funnel projects make significant contributions to the LC authority file.  For example, in the 2005 fiscal year the OLAC funnel contributed just over 2000 name and series authority records.  During the same fiscal year the Minnesota funnel contributed over 1200 records.

## Funnel projects

- Consult the NACO web page:
- 	http:www.loc.gov/catdir/pcc/naco/naco.html

**Notes:**
For more information about NACO and NACO funnel projects you may consult the NACO web page at:
http:www.loc.gov/catdir/pcc/naco.html

## END OF MODULE 9

## BASIC CREATION OF NAME AND TITLE AUTHORITIES

**BASIC CREATION OF NAME AND TITLE AUTHORITIES**

**Module 10: Module for Reference Librarians**

**Notes:**
Rev. January 6, 2005

## Index design

**Index design**

- Personal name indexes
- Corporate name indexes
- Conference name indexes
- Work indexes

## Index design

**Index design**

- BEWARE!
- 1. In most systems, keyword searches do not search authority records (cross references)
- 2. In most systems, limits cannot be applied to searches that search authority records (cross references)

## Index design: personal name indexes

**Index design: personal name indexes**

- Ideal: Keyword in heading searches that do not require the user to know the entry term or the order of terms, and that display matched headings rather than a list of bibliographic records
- It is not intuitive for users to have to invert personal names when doing computer searches
- Always include cross references from authority records in name heading indexes

## Index design: corporate name indexes

**Index design: corporate name indexes**

- Ideal: Keyword in heading searches that do not require the user to know the entry term, and that display matched headings rather than a list of bibliographic records
- Users often have garbled citations for corporate bodies and shouldn't be required to know the order of terms in headings

## Index design: corporate name indexes

**Index design: corporate name indexes**

- Corporate headings are often heavily constructed by catalogers, e.g. headings that begin with jurisdiction names; users can't be expected to know about this ahead of time (e.g. to look under United States for the FBI)
- Always include cross references from authority records in corporate name heading indexes

## Index design: meeting name indexes

**Index design: meeting name indexes**

- Ideal: Keyword in heading searches that do not require the user to know the entry term, and that display matched headings rather than a list of bibliographic records
- Use 008 fixed field codes to provide a subset for keyword in record searching

## Index design: meeting name indexes

**Index design: meeting name indexes**

- Conference names are even more often garbled in citations than corporate names
- Always include cross references from authority records in conference name heading indexes

## Index design: work indexes

**Index design: work indexes**

- Works have authority records, too!
- Implications:
- 1. If offered, exercise the option of displaying title cross references from authority records along with title headings from bibliographic records

## Index design: work indexes

**Index design: work indexes**

- Works have authority records, too!
- Implications:
- 2. If offered the option, suppress marked titles from display
- 130 0_ $a Rebel (Television program : 1959-1962). $p In memoriam
- 245 00 $a Rebel. $p In memoriam

**Notes:**
The 245 title should not be placed in the title index, as it duplicates the 130 title.  It is marked with the correct MARC 21 first indicator (0 means do not trace when a 1XX is present).

## Default searches

**Default searches**

- Personal authors
- Corporate bodies
- Conferences
- Works

## Default searches: personal authors

**Default searches: personal authors**

- Ideal default public search:
- keyword in heading search (no need to know entry terms or order of terms; no need to invert surname and forename) with display of matching headings rather than immediate display of bibliographic records

## Default searches: corporate bodies

**Default searches: corporate bodies**

- Ideal default search for both public and staff:
- keyword in heading search (no need to know entry terms or order of terms; no need to invert surname and forename) with display of matching headings rather than immediate display of bibliographic records

## Default searches: meeting names

**Default searches: meeting names**

- Ideal default search for both staff and public:
- keyword in heading search (no need to know entry terms or order of terms; no need to invert surname and forename) with display of matching headings rather than immediate display of bibliographic records

## Default searches: works

**Default searches: works**

- Only SIRSI provides the option to let users do a search using both author words and title words that matches on authority records, and few libraries exercise the option.

## Display of authority records

**Display of authority records**

- General
- Display of see references
- Display of see also references
- Display of complex references
- Display of notes
- NOTE: All recommendations apply to both staff and public displays

## Display of authority records: general

**Display of authority records: general**

- Allow OPAC users to request the display of the full authority record for any heading:
- a. from the preferred heading (1XX) wherever it appears, whether in a heading display or a single bibliographic record display
- b. from any see (4XX) or see also (5XX) reference in a headings display

## Display of authority records: general

**Display of authority records: general**

- Display of the full authority record will allow OPAC users to better identify the person, corporate body, etc. they are seeking when there is more than one entity by that name, and it has the potential of empowering them to construct Google-type Internet searches using all the name variants for a given entity (for example, in a Boolean OR search)

## Display of authority records: general

**Display of authority records: general**

- 010 __ $a no90008923
- 100 10 $a Morgan, Dennis, $d 1910-
- 400 10 $a Morner, Stanley, $d 1910-
- 400 10 $a Stanley, Richard, $d 1910-
- 670 __ $a Katz, E. Film encyc., 1979 $b (Morgan, Dennis; b. Dec. 30, 1910, Prentice,Wis.; mid-30’s used his r.n., Stanley Morner, or the pseud. Richard Stanley; in 1939 became Dennis Morgan; actor, singer, radio announcer, opera singer)

## Display of authority records: general

**Display of authority records: general**

- If a keyword-in-record search of bibliographic records also matches a heading or reference in an authority record, provide an option for the catalog user to “jump” to the appropriate place in an alphabetical display of headings that includes reference structures.

**Notes:**
SIRSI may be the only system to offer this option, but if it is available, take it!

## Display of authority records: general

**Display of authority records: general**

-  In a display of a single bibliographic record, hyperlink name or work headings to an alphabetical display of headings that includes reference structures.

## Display of authority records: general

**Display of authority records: general**

-  If possible, display reference structures with 0 postings if a heading exists in the database in subdivided form only (i.e., make suppression of reference structures with 0 postings optional and/or dependent on the existence of a given heading whether subdivided or alone)

## Display of authority records: general

**Display of authority records: general**

- FBI cross reference is only on the authority record for United States. Federal Bureau of Investigation.
- If library has only publications of subdivisions of the agency but nothing from the agency itself, it is still going to need the cross reference

## Display of authority records: general

**Display of authority records: general**

-   Provide hyperlinks from displayed references; these hyperlinks should take the user to the appropriate place in a headings display (i.e., a display that includes the reference structure)

## Display of authority records: see references

**Display of authority records: see references**

- Name see references should display along with headings in any name headings search

## Display of authority records: see references

**Display of authority records: see references**

- In the cases where there are non-unique see-references, display all the possibilities
- NEA, see:
- National Education Association of the United States
- National Endowment for the Arts
- Nepal Electricity Authority
- New England Archivists

## Display of authority records: see also references

**Display of authority records: ****see also references**

-  Exercise one of the following options for the placement of see also references relative to headings:
- (1) Display all see/see-also references, both simple and complex, in the list of headings

## Display of authority records: see also references

**Display of authority records: ****see also references**

-  (2) Condense the reference information in the initial display, identifying and quantifying the options available
- (3) Provide a link or links to a display of the reference structure for a given heading, with the capability of launching a new search from within the display

## Display of authority records: see also references

**Display of authority records: ****see also references**

-  Missing links in multi-level links: make it possible to display 0-posting headings if any see-also references associated with the headings have postings

## Display of authority records: complex references

**Display of authority records: ****complex references**

-  If offered, exercise the option to display complex see and see also references “up front”—specifically the 663, 664 and 665 fields.

## Display of authority records: notes

**Display of authority records: ****notes**

- Do display general notes in authority records (e.g., 667, 680).
- Be sure to display 680 notes to the public

## Searching techniques

**Searching techniques**

- Find out which searches in your system search authority records (cross references) and be sure to use them

## Searching techniques

**Searching techniques**

- If searching is failing, try breaking the search into parts and searching one entity at a time, e.g., for a search for a musical work, search separately:
- composer
- work
- work part

## END OF MODULE 10

## BASIC CREATION OF NAME AND TITLE AUTHORITIES

**BASIC CREATION OF NAME AND TITLE AUTHORITIES**

**Module 11: Module for System Designers**

**Notes:**
Rev. January 6, 2005

## Outline

**Outline**

- 1. What you can do in software design to better support authority work:
- Global modify
- Import of national level records
- Linking to national authority files
- Normalization
- Validation

**Notes:**
Note that presentation should begin with the general introduction module (#1) (why authority work is important, etc.)

## Outline

**Outline**

- 2. What you can do in software design to empower users to benefit from authority work
- 	-Index design
- 	-Default searches
- 	-Display of authority records

## Global modify

**Global modify**

- Link the authority record for any given heading to the bibliographic records in which the heading is used, whether it is used in a 1XX, 24X*, 4XX*, 6XX, 7XX or 8XX field.
- [*protecting transcribed data in 245 and 440 from change, of course; see below]

## Global modify

**Global modify**

- Provide catalogers with the ability to change the heading in an authority record and thereby automatically change that heading in all attached bibliographic records*
- [*protecting transcribed data in 245 and 440 from change, of course; see below]

## Global modify

**Global modify**

- Provide catalogers with the ability to change the tags and/or indicators and/or subfield codes for a heading in an authority record and thereby automatically change the tags and/or indicators and/or subfield codes for that heading in all attached bibliographic records

## Global modify

**Global modify**

- Ensure that transcribed fields (245, 440) are protected from global modify

## Global modify

**Global modify**

- Hierarchical force
- When there is a change to the authority record for a main heading that has subdivisions, it should be possible for an authorities librarian to request a change to every occurrence of that main heading, whether the subdivisions are present or not, in every other authority record and every bibliographic record

**Notes:**
Such a change should be considered carefully to ensure that entity change is not involved, rather than simple name change.

## Global modify

**Global modify**

- Hierarchical force
- When there is a change to the authority record for a name heading that is also used in name-title headings, it should be possible for an authorities librarian to request a change to every occurrence of that name heading, whether a title subfield is present or not, in every other authority record and every bibliographic record

**Notes:**
Such a change should be considered carefully to ensure that entity change is not involved, rather than simple name change.  For example, if the old heading was:

Mollat, Michel. Pauvres au Moyen Age

and the new heading is:

Mollat, Michel. Pauvres au Moyen Age. $l English

this is actually an entity change; the first heading represents the French expression and the second heading represents the English expression of this work.

## Global modify

**Global modify**

- Hierarchical force
- Example:
- National Science Foundation
- Became
- National Science Foundation (U.S.)
- Probably to break a conflict with National Science Foundation (Colombo, Sri Lanka)
- It has many subdivisions (many other authority record begin with this heading)

**Notes:**
Beware of entity change rather than name change; manual clean-up may be necessary in those cases.

If you are sure all names in your file are for the U.S. National Science Foundation, global modify should be safe?

## Global modify

**Global modify**

- Hierarchical force
- When there is a change to the authority record for a corporate name heading that has corporate subdivisions, it should be possible for an authorities librarian to request a change to every occurrence of that corporate name heading, whether a corporate subdivision is present or not, in every other authority record and every bibliographic record

**Notes:**
Such a change should be considered carefully to ensure that entity change is not involved, rather than simple name change.

## Global modify

**Global modify**

- Hierarchical force
- [Note that this global modify capability should not be used when a corporate name change that represents a change in identity has taken place.  Human editing must be used in that situation.]

## Global modify

**Global modify**

- Hierarchical force
- When there is a change to the authority record for a geographic heading, it should be possible for an authorities librarian to trigger a change (under the librarian's review) to every occurrence of that geographic name used as a subdivision, in every other authority record and every bibliographic record

## Import of national level records

**Import of national level records**

- Authority librarians need to be able to import national level authority records as efficiently as possible
- Local fields identified by $5 subfields should be protected from overlay when national level authority records are imported and overlaid on existing local authority records

## Linking to national authority files

**Linking to national authority files**

- It would be helpful if vendors could make it possible for records to be linked to the national authority files so that changes made nationally are automatically made locally

**Notes:**
I didn’t get any feedback on this one, so I’m putting it in tentatively to try to stimulate some discussion (smile)--Martha

## Normalization

**Normalization**

- Follow NACO normalization rules, found on the Web at:
- http://www.loc.gov/catdir/pcc/naco/normrule.html

## Normalization

**Normalization**

- Do pay attention to MARC 21 tags and indicators
- 130 0 _ $a Cancer metastasis
- is not the same as
- 450 _0 $a Cancer metastasis

## Normalization

**Normalization**

- Do pay attention to key pieces of punctuation such as commas, periods and parentheses
- Note that in NACO normalization, the first internal comma in subfield $a of a normalized field is retained as found

## Normalization

**Normalization**

- Example:
- 400 0_ $a Chung-hui (n79033696 Zhonghui)
- Is different from
- 400 1_ $a Chung, hui (n79141876 Zhong, Hui)

## Normalization

**Normalization**

- Do pay attention to presence or absence of subfield codes
- Note that in NACO normalization, the subfield delimiter is retained but not the subfield code

**Notes:**
Can anyone think of a good example in which two headings for two different entities are differentiated by presence or absence of a subfield code?

Unfortunately, NACO normalization makes the following two headings look identical:

X10 1_ United States. $b Army $b Artillery
X10 1_ United States. $b Army $x Artillery

## Validation

**Validation**

- Headings to be validated should never be truncated

## Validation

**Validation**

- Always report the following to catalogers:
- 1. The same heading is established in two different authority records
- 2. A 4XX field matches a 1XX field (in either the same authority record or a different authority record)

## Validation

**Validation**

- Always report the following to catalogers:
- 3. A 4XX field matches a 5XX field (in either the same authority record or a different authority record
- 4. A 5XX is not matched by a 1XX in another authority record

## Validation

**Validation**

- Always report the following to catalogers:
- 5. A 1XX heading in an authority record is not used by any other authority or bibliographic record
- 6. A 1XX heading in an authority record is used in other authority records but not in any bibliographic records

## Validation

**Validation**

- Always report the following to catalogers:
- 7. A 1XX heading in an authority record matches a 5XX in the same authority record
- 8. A 4XX in an authority record matches another 4XX in the same authority record

## Validation

**Validation**

- Always report the following to catalogers:
- 9. A 5XX in an authority record matches another 5XX in the same authority record
- 10. A 4XX matches part of the 1XX in another authority record or in the same authority record

## Validation

**Validation**

- Always report the following to catalogers:
- 11. A 4XX matches part of the 5XX in another authority record or in the same authority record
- 12. One authority record establishes a basic conference name; another authority record establishes the same name with $n, $d and/or $c subfield(s)

## Validation

**Validation**

- Always report the following to catalogers:
- 13. Headings in two authority records are the same except for subfield codes
- 14. Headings in two authority records are the same except for subfield codes; difference is $v vs. $x

## Validation

**Validation**

- Always report the following to catalogers:
- 15. Personal name headings in two authority records are the same except for the first indicator
- 16. Corporate/conference name headings in two authority records are the same except for the first indicator

## Validation

**Validation**

- Always report the following to catalogers:
- 17. A name or series heading in a bibliographic record does not have a corresponding authority record; include cases in which the heading only matches a 5XX field in an authority record
- 18. A name-title heading, including a name-title series heading, in a bibliographic record does not have a corresponding authority record

## Validation

**Validation**

- Possible locations of name-title headings in bibliographic records:
- 1XX plus 240
- if no 240 is present, 1XX plus 245
- 6XX plus $t subfield
- 7XX plus $t subfield
- 8XX plus $t subfield

## Validation

**Validation**

- Possible locations of name-title headings in authority records:
- 1XX plus $t subfield
- 4XX plus $t subfield
- 5XX plus $t subfield

## Validation

**Validation**

- Always report the following to catalogers:
- 19. Personal or corporate name headings in authority and bibliographic records are the same except for first indicator
- 20. A name, title or series heading in a bibliographic record has an unauthorized subfield
- EXAMPLE:
- 600 10 $a Hayworth, Rita, $d 1918-1987 $v Biography.

## Validation

**Validation**

- Always report the following to catalogers:
- 21. A heading in a bibliographic record matches one or more 4XXs in authority records
- 22. A subdivision in a bibliographic record matches a 48X in a subdivision authority record

## Validation

**Validation**

- Always report the following to catalogers:
- 23. A geographic subdivision ($z) in a bibliographic record matches a 451 in a geographic authority record
- 24. A bibliographic main or added entry heading matches an established heading but the authority record is not coded for main/added use

## Validation

**Validation**

- Always report the following to catalogers:
- 25. A bibliographic series heading matches an established heading but the authority record is not coded for series use
- 26. A bibliographic heading matches another heading in the same bibliographic record

## Validation

**Validation**

- Always report the following to catalogers:
- 27. A bibliographic heading matches a heading on another bibliographic record except for subfield codes (including subfield $v/$x)
- 28. A name heading matches a name heading on another bibliographic record except for first indicators

## Validation

**Validation**

- Always report the following to catalogers:
- 29. The heading in a bibliographic record matches the text in a 1XX or 4XX field in an authority record, but the tags do not correspond
- 30. There is an inconsistency between the numbering of a bibliographic series heading and the numbering information in the authority record

## Validation

**Validation**

- Always report the following to catalogers:
- 31. There is an inconsistency between the series treatment of a bibliographic series heading and the series treatment information in the authority record
- 32. The matched authority record represents a non-unique name or is a provisional, preliminary or memorandum record

## Validation

**Validation**

- 33. Provide catalogers with the option to review all personal names without dates or qualifiers that are linked to more than one bibliographic record

## What you can do

**What you can do**

- 2. What you can do in software design to empower users to benefit from authority work:
- Index design
- Default searches
- Display of authority records

## Index design

**Index design**

- Do not penalize users who choose to search headings indexes that include cross references by not allowing them to limit their searches

## Index design

**Index design**

- Make it possible to apply limits but still provide access to the appropriate reference structures; and for each heading displayed, indicate the number of bibliographic records that have that heading *and* that conform to the limits applied

## Index design

**Index design**

- Personal name indexes
- Corporate name indexes
- Conference name indexes
- Work indexes

## Index design: personal name indexes

**Index design: personal name indexes**

- Keyword in heading searches that do not require the user to know the entry term or the order of terms, and that display matched headings rather than a list of bibliographic records
- It is not intuitive for users to have to invert personal names when doing computer searches
- Always include cross references from authority records in name heading indexes

## Index design: corporate name indexes

**Index design: corporate name indexes**

- Keyword in heading searches that do not require the user to know the entry term, and that display matched headings rather than a list of bibliographic records
- Users often have garbled citations for corporate bodies and shouldn't be required to know the order of terms in headings

## Index design: corporate name indexes

**Index design: corporate name indexes**

- Corporate headings are often heavily constructed by catalogers, e.g. headings that begin with jurisdiction names; users can't be expected to know about this ahead of time (e.g. to look under United States for the FBI)
- Always include cross references from authority records in corporate name heading indexes

## Index design: corporate name indexes

**Index design: corporate name indexes**

- Display X51 headings and cross references (geographic headings) in *both* the name authority file and the subject authority file

## Index design: meeting name indexes

**Index design: meeting name indexes**

- Keyword in heading searches that do not require the user to know the entry term, and that display matched headings rather than a list of bibliographic records
- Use 008 fixed field codes to provide a subset for keyword in record searching

## Index design: meeting name indexes

**Index design: meeting name indexes**

- Conference names are even more often garbled in citations than corporate names
- Always include cross references from authority records in conference name heading indexes

## Index design: work indexes

**Index design: work indexes**

- Works have authority records, too!
- Implications:
- 1. Allow institutions the option of displaying title cross references from authority records along with title headings from bibliographic records

## Index design: work indexes

**Index design: work indexes**

- Works have authority records, too!
- Implications:
- 2. Allow institutions the option of suppressing marked titles from display
- 130 0_ $a Rebel (Television program : 1959-1962). $p In memorium
- 245 00 $a Rebel. $p In memorium

**Notes:**
The 245 title should not be placed in the title index, as it duplicates the 130 title.  It is marked with the correct MARC 21 first indicator (0 means do not trace when a 1XX is present).

## Index design: work indexes

**Index design: work indexes**

- Works have authority records, too!
- Implications:
- 3. Since name-title work authority records do not have cross references from the title alone, allow keyword in heading searching (match two or more keywords in any order within a field and display the heading matched)

## Default searches

**Default searches**

- Personal authors
- Corporate bodies
- Conferences
- Works

## Default searches: personal authors

**Default searches: personal authors**

- Default staff search:
- left to right match with automatic truncation
- Default public search:
- keyword in heading search (no need to know entry terms or order of terms; no need to invert surname and forename) with display of matching headings rather than immediate display of bibliographic records

## Default searches: corporate bodies

**Default searches: corporate bodies**

- default search for both public and staff:
- keyword in heading search (no need to know entry terms or order of terms; no need to invert surname and forename) with display of matching headings rather than immediate display of bibliographic records

## Default searches: corporate bodies

**Default searches: corporate bodies**

- default search for both staff and public:
- keyword in heading search (no need to know entry terms or order of terms; no need to invert surname and forename) with display of matching headings rather than immediate display of bibliographic records

## Default searches: works

**Default searches: works**

- Only SIRSI provides the option to let users do a search using both author words and title words that matches on authority records, and few libraries exercise the option.
- Such a search would be more attractive if the resultant displays differentiated among:
- 1. editions of the work sought, including editions of it that are contained in other works
- 2. works about the work sought
- 3. works related to the work sought, such as motion picture adaptations, sequels, etc.

## Display of authority records

**Display of authority records**

- General
- Display of see references
- Display of see also references
- Display of complex references
- Display of notes
- NOTE: All recommendations apply to both staff and public displays

## Display of authority records: general

**Display of authority records: general**

- Allow OPAC users to request the display of the full authority record for any heading:
- a. from the preferred heading (1XX) wherever it appears, whether in a heading display or a single bibliographic record display
- b. from any see (4XX) or see also (5XX) reference in a headings display

## Display of authority records: general

**Display of authority records: general**

- Display of the full authority record will allow OPAC users to better identify the person, corporate body, etc. they are seeking when there is more than one entity by that name, and it has the potential of empowering them to construct Google-type Internet searches using all the name variants for a given entity (for example, in a Boolean OR search)

## Display of authority records: general

**Display of authority records: general**

- 010 __ $a no90008923
- 100 10 $a Morgan, Dennis, $d 1910-
- 400 10 $a Morner, Stanley, $d 1910-
- 400 10 $a Stanley, Richard, $d 1910-
- 670 __ $a Katz, E. Film encyc., 1979 $b (Morgan, Dennis; b. Dec. 30, 1910, Prentice,Wis.; mid-30’s used his r.n., Stanley Morner, or the pseud. Richard Stanley; in 1939 became Dennis Morgan; actor, singer, radio announcer, opera singer)

## Display of authority records: general

**Display of authority records: general**

- If a keyword-in-record search of bibliographic records also matches a heading or reference in an authority record, provide an option for the catalog user to “jump” to the appropriate place in an alphabetical display of headings that includes reference structures.

## Display of authority records: general

**Display of authority records: general**

-  In a display of a single bibliographic record, hyperlink name or work headings to an alphabetical display of headings that includes reference structures.

## Display of authority records: general

**Display of authority records: general**

-  Preserve punctuation and capitalization in the display of headings and references (i.e., do not normalize the display)

## Display of authority records: general

**Display of authority records: general**

-  Use MARC 21 bibliographic tags to create meaningful arrays of name and work headings:
- 1. Separate works by a person or corporate body from works about the person or corporate body
- 2. Separate editions of a work (including editions contained within other works) from works about a work and from related works

## Display of authority records: general

**Display of authority records: general**

-  Make it possible to display reference structures with 0 postings if a heading exists in the database in subdivided form only (i.e., make suppression of reference structures with 0 postings optional and/or dependent on the existence of a given heading whether subdivided or alone)

## Display of authority records: general

**Display of authority records: general**

- FBI cross reference is only on the authority record for United States. Federal Bureau of Investigation.
- If library has only publications of subdivisions of the agency but nothing from the agency itself, it is still going to need the cross reference

## Display of authority records: general

**Display of authority records: general**

-   Provide hyperlinks from displayed references; these hyperlinks should take the user to the appropriate place in a headings display (i.e., a display that includes the reference structure)

## Display of authority records: see references

**Display of authority records: ****see references**

- Name see references should display along with headings in any name headings search
- Libraries should be given the option to display title see references along with title headings in any title headings search
- Libraries should be given the option to have a name and title search that searches both authority records and bibliographic records

## Display of authority records: see references

**Display of authority records: ****see references**

- In the cases where there are non-unique see-references, display all the possibilities
- NEA, see:
- National Education Association of the United States
- National Endowment for the Arts
- Nepal Electricity Authority
- New England Archivists

## Display of authority records: see also references

**Display of authority records: ****see also references**

-  Systems should offer institutions an array of options for the placement of see also references relative to headings.
- Options that a system should ideally offer to an institution:
- (1) Display all see/see-also references, both simple and complex, in the list of headings

## Display of authority records: see also references

**Display of authority records: ****see also references**

-  (2) Condense the reference information in the initial display, identifying and quantifying the options available
- (3) Provide a link or links to a display of the reference structure for a given heading, with the capability of launching a new search from within the display

## Display of authority records: see also references

**Display of authority records: ****see also references**

-  Missing links in multi-level links: make it possible to display 0-posting headings if any see-also references associated with the headings have postings

## Display of authority records: complex references

**Display of authority records: ****complex references**

-  Make it possible for an institution to choose to display complex see and see also references “up front”—specifically the 663, 664 and 665 fields.

## Display of authority records: notes

**Display of authority records: ****notes**

- Also, as an option, make it possible to display general notes (e.g., 667, 680).

## End of Module 11