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UNIVERSITY
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Catalog Department Procedures |
The NACO Project at UIC | (rev. 2002 Mar. 6) |
This supersedes all previous UIC NACO project documentation. We expect to expand, improve, and revise it over time. If you prefer to use a printed copy of this document, please use the most up-to-date revision (consult the Catalog Dept. web page). Your suggestions for corrections and improvements are always welcome.
The NACO Program and How We Participate
NACO is the name authority program component of the Program for Cooperative Cataloging. The PCC is an international cooperative program coordinated jointly by the Library of Congress & PCC participants around the world.
The UIC Library became a NACO participant in 1994, after Catalog Dept. staff completed a weeklong course given by experienced trainers from LC. These staff members have passed their knowledge of NACO work on to others in the department since that time.
When in doubt about how to do something, your answer will almost always be in one of these sources.
Objectives of Name Authority Work
Purpose of the Name Authority Record
The basis for the heading for a personal author is generally the usage as found in the book he has written.
From the rules for name headings:
"In general, choose, as the basis of the heading for a person, the name by which he or she is commonly known. … " (AACR2 rule 22.1A)
"Determine the name by which a person is commonly known from the chief sources of information of works by that person …" (AACR2 rule 22.1B) the chief source of information for a book is most commonly the title page.
From the rules for description:
"Transcribe statements of responsibility appearing prominently in the item in the form in which they appear there. If a statement of responsibility is taken from a source other than the chief source of information, enclose it in square brackets." (AACR2 rule 1.1F)
"The word prominently … means that a statement to which it applies must be a formal statement found in one of the prescribed sources of information … " (AACR2 rule 0.8)
t.p.: "Oyster
crackers by C. S.
Nudelman"
Introd. "Born in 1947, Campbell S. Nudelman embarked early
on his career as a food essayist."
Jacket: "C. Stewart Nudelman"
The usage, and the basis for the heading, is: C. S. Nudelman.
Some variants are: Campbell S. Nudelman and C. Stewart
Nudelman.
The heading is: Nudelman, C. S. (Campbell Stewart), 1947-
"Usage - The literal transcriptions of the forms of name usually found in statements of responsibility. Literal transcriptions may also appear in other parts of the bibliographic record, such as in the title proper or in a quoted note. … [this is] the name as it appeared on the publication and not as it was formulated because of cataloging rules. Be especially careful when taking information from the publication, distribution area and from series statements. Headings may never be provided as usage." (NACO participants' manual, 1996, p. 4)
Look in the 245 for usages. The 245 is transcribed exactly from the chief source.
Be careful when looking in the 260 for usages. A name appearing in the 260 may include abbreviations, and not be a literal transcription of the name as it is found in the publication.
The forms found in the 1XX, 7XX, and 8XX fields are not usages, they are headings. Usages are transcribed exactly as found in the publications. Headings are artificial. Usages are natural.
Variant - a different form of the same name (i.e., not a different name, but a form of the same name that varies in fullness, language, or spelling)
Heading - the form in which a name is used on a catalog entry (i.e., record) as an access point; the form found in fields tagged 1XX, 7XX, 8XX
Step-by-Step Guide to Establishing a Personal Author
Search the national name authority file in OCLC to be sure his name is not already established.
Closely examine the book you are cataloging for information about the author's identity. This includes variants of his name, the field the author is working in, dates and places of birth and death, title, academic degrees, etc. You may want to re-search the national name authority file now that you know more about him.
Once you are sure your author has not already been established, search OCLC to find all the bibliographic records, and only those, which have an entry for your author. (He may be entered more than one way, of course, so search creatively.) Be sure to eliminate from consideration all of the bibliographic records that are not for your author, but for an author with the same, or a similar, name.
In your list of all of the books for your author only, look at what usages there are and how often they are used. The form of the author's name on which the heading will be based, will generally be the form that is most commonly found. (In certain exceptional cases, it will be the form in agreement with the heading in use, in order to minimize LC bibliographic file maintenance, but in most cases it will be the form that is most commonly found.) Or, if there is no commonly found form, the fullest form.
Add a fuller form as a qualifier and/or dates to the basic heading, if known.
If this heading matches the heading established for another author, modify the heading further in order to distinguish this author from the one already established. If this is not possible, you may change the established heading from "unique" to "non-unique" and add the information about your author to the existing authority record. Try to avoid this if at all possible.
If this is a new heading, you may create an authority record for the heading in Voyager.
Example Using the Step-by-Step Guide
The work I am cataloging in this example is Processed foods and your family, published in 1955. The title page gives the author's name as A. C. Campbell. (Both the author and the book are fictitious.)
There are several authors already established, any one of which may be my A.C. Campbell. So I'm not sure if my A.C. Campbell has been established yet. I have to determine whether one of the existing authorized headings is the heading for my author.
My author has signed the preface on p. iii: Andrew C. Campbell. The biography on the book jacket says that he was born in Charleston, Texas, in 1918. There is an Andrew C. Campbell already established, but his books are about aquatic animals and they were published decades later than the 1950's and his publisher is in London. I decide that this is a different author and that my author has not yet been established.
I searched OCLC: camp,a,c/1938- (since he was born in 1918, I don't want to see any books published before he was about 20).
I got about 28 entries in response to this search. But of those, there are only 14 of them, including the book I am cataloging, that I am pretty sure are his; these 14 are all published in the United States and have something to do with nutrition, diet or food processing. There was no statement of responsibility in the 245 of 7 of them. Only the one I'm cataloging gave the author as "A.C. Campbell." That leaves 6, all of which had the usage "Andrew C. Campbell."
The most commonly found form of this author's name is Andrew C. Campbell. So the basic heading will be: Campbell, Andrew C.
His date of birth was given on the jacket, so we will establish the name as: Campbell, Andrew C., 1918-
The heading Campbell, Andrew C., 1918- is a unique heading. It has not been used for another author. So I will create an authority record for it in Voyager.
100 1 Campbell, Andrew C., $d 1918-
670 Processed foods and your
family,
1955: $b t.p. (A.C. Campbell) p.
iii (Andrew C. Campbell)
jacket (b. 1918,
Charleston, Tex.)
The first 670 must always be for the work cataloged. The transcribed data is entered within parentheses. Data other than name and titles may be abbreviated or paraphrased. It is not necessary to include the main entry. But the DCM Z1 pages say that you may leave it in as generated by Voyager's "create authority" feature. The name as it appears on the chief source MUST be cited. The other information is included to help identify the person and back up our form of entry.
This second 670 is necessary in order to show the usage that our entry is based on. The form on p.iii is a variant, but not a usage. The forms in the 245s on six OCLC records are the usages we are basing this heading on. Note that the name of the month is spelled out as directed by the DCM Z1 pages.
We make a reference from the form found on the t.p. of the work cataloged because the first element after the comma differs from that in the established form. The reference is formulated according to the same rules as is the established heading, i.e., we add the fuller form and the date.
When the record has been added to the national authority file, you will receive the book and printout back. Now you must complete the local authority work. To do this you must:
Guide to the Fixed Field for New Name Authority Records
Some examples of the 008:
______________________________________________________________________________________________ 008 [000000] n |_ a c a n n a a b n _______ |n _ a a a ___ _ c [no refs.; pers. name] 008 [000000] n |_ a c a n n a a b n _______ |a _ a a a ___ _ c [refs.; pers. name] 008 [000000] n |_ a c a n n a a b n _______ |n _ a n a ___ _ c [no refs.; corp. name] 008 [000000] n |_ a c a n n a a b n _______ |a _ a n a ___ _ c [refs.; corp. name] ______________________________________________________________________________________________
______________________________________________________________________________________________
008/06 Subdivision ................................ n
008/07 Romanization scheme ........................ |
008/08 Language of catalog ......................... [blank]
008/09 Kind of Record ............................. a
008/10 Cataloging Rules ........................... c
008/11 Subject heading ............................ a
008/12 Type of Series ............................. n
008/13 Numbered Series ............................ n
008/14 Heading Use: Main or Added Entry ........... a
008/15 Heading Use: Subject Added Entry .......... a
008/16 Heading Use: Series Added Entry ........... b
008/17 Subject Subdivision ........................ n
008/28 Govt. Agency ............................... |
008/29 Reference Evaluation ........................ a or n
a = record contains refs
n = record does not contain refs
008/31 Record Update .............................. a
008/32 Personal Name .............................. a or b or n
a = personal. name used for only one person
b = personal name used for more than one person
n = not a personal. name (= corp. or conf. name)
008/33 Level of Establishment ..................... a
008/38 Modified Record ............................ [blank]
008/39 Cataloging Source .......................... c
For complete details on all values for all authority records, see OCLC Authorities User Guide and MARC 21 Format for Authority Data. ______________________________________________________________________________________________
Our 040 must always look like this for NACO: 040 $a ICIU $b eng $c ICIU
Chicago, Illinois 60607 USA
Administration: 312-996-2716