See Also References
GUIDELINES FOR NAME AUTHORITY RECORDS IN IUCAT
BASIC PRINCIPLES
1. Cataloging agencies will use Library of Congress
established name authority records (NAR's) or series
authority records (SAR's) whenever possible.
2. Cataloging agencies will establish new NAR's or SAR's in
accordance with LC policies and procedures whenever
possible.
3. Cataloging agencies are responsible for "undoing" all
authority work which is no longer needed in IUCAT. This
includes each element of a heading and its hierarchical
see references when they are no longer reflected in the
database. The heading use codes on the authority records
are either adjusted to reflect non-usage (changed from
"c" to "a") or coded for deletion.
HEADING USE CODES IN IUCAT AUTHORITY RECORDS
The codes in the fixed field that define headings use -NAME, SUBJ,
SER- not only tell staff whether headings can be and have been used
as Name, Subject, or Series, but also control the display of the
references contained in these authority records in the appropriate
OPAC indexes.
Aside from the normal usage of main/added, subject, or series
entries found on an IUCAT bibliographic record, the following cases
also constitute a usage (i.e. "c") on an IUCAT name authority
record:
A. Names used only as the first element in an name and/or
subject authority heading.
B. Names used only in a hierarchical (see thru) reference
structure on an authority record.
In addition to the normal usages and the additional usages
mentioned above, there are three other cases where the NAME use
code or the SER use code are coded "c" to "force" references to
display in the appropriate OPAC indexes:
A. Series authority records are coded "c" in NAME as well as "c"
in SER, if the series is traced. This will force 410 (name)
references to display in the author index.
B. Uniform Title authority records (130) are coded "c" in NAME,
and/or "c" in SUBJ as well as "c" in SER. This will force 430
(title) references to display in the title index.
C. Name authority records (100, 110) are coded "c" in NAME,
and/or "c" in SUBJ as well as "c" in SER if it contains a 430
(title) reference. This will force the reference to display
in the title index.
The following cases do not constitute a NAME usage on an IUCAT
authority record (i.e. "a"):
A. Geographic names used only as a subdivision of a subject
heading.
B. Name headings used only as a qualifier on another name
heading.
C. Name headings used only as a "see also" reference on a
name authority record.
NAME AUTHORITY PROCEDURES FOR CATALOGING AGENCIES
I. NO AUTHORITY RECORD IN IUCAT, NO LC NAR AVAILABLE VIA OCLC
- Option 1:
- If no references are needed, do not create
a minimal level authority record (i.e. "one-
liner").
- Option 2:
- Even if no references are needed, create a
minimal level authority record.
- Option 3:
- Create a minimal level authority record.
- Add 690 field: NACO UPDATE REQUESTED.
- Send printout marked "NACO update requested"
with necessary surrogates to appropriate NACO
agency.
II. AUTHORITY RECORD IN IUCAT, NO LC NAR AVAILABLE VIA OCLC
- Option 1:
- Verify and correct heading use codes.
- Delete BNA 035 field to indicate that a cataloger has
verified for correctness.
- Option 2:
- Add 690 field: NACO UPDATE REQUESTED
- Send printout marked "NACO update requested"
with necessary surrogates to appropriate NACO
agency.
III. NO AUTHORITY RECORD IN IUCAT, LC NAR AVAILABLE VIA OCLC
- Download the appropriate LC NAR.
- Verify the hierarchical references.
- Download the LC NAR for all see thru
references that are not in IUCAT.
OPTIONALLY (If "RULES" byte is coded "a" or "b")
- Add 690 field: NACO UPDATE REQUESTED
- Send printout marked "NACO update requested"
with necessary surrogates to the appropriate
NACO agency.
IV. AUTHORITY RECORD IN IUCAT, LC NAR AVAILABLE VIA OCLC
- Compare records.
- Do nothing, overlay, or add local references.
- Verify and correct heading use codes.
OPTIONALLY (if "RULES" byte is coded "a" or "b")
- Add 690 field: NACO UPDATE REQUESTED
- Send printout marked "NACO update requested"
with necessary surrogates to the appropriate
NACO agency.
V. DUPLICATES AND CONFLICTS
Choose the best record, preferring:
1) LC NAR's
2) Full level NAR created by cataloging agency
3) BNA record
- Delete duplicate NAR's (first check for
local information which needs to be moved to
the retained NAR).
- Verify and correct heading use codes.
Report duplicate LC NAR's as described in the
IO NACO Work document.
Change headings for your cataloging agency and
notify other agencies of needed changes (or
request a global change through IOCM if over
25 records are involved).
ADDITIONAL NOTES:
S/SYS BYTE IN FIXED FIELD:
When creating authority records in IUCAT, routinely set the
S/SYS byte in the fixed field to "a." This allows for the
heading to index in the subject file. The S/SYS byte is
automatically set to "a" when OCLC authority records are
downloaded into IUCAT.
035 VARIABLE FIELD CODED AS "BNA":
Minimal-level authority records in IUCAT which contain "BNA"
in the 035 variable field may not necessarily be valid
headings. The absence of the BNA field on minimal-level
authority records, however, serves as an indication to all
cataloging agencies that a heading has been "blessed."
PERSONAL NAME HEADINGS (100)
Each cataloging agency is responsible for creating or downloading
authority records for all personal name headings appearing in that
agency's cataloging for which the needed authority records are not
present in IUCAT.
EXCEPTION: Creation of authority records for personal
name headings which have no required references (i.e.
"one-liners") is optional.
PSEUDONYMS
The 1988 change to rule 22.2C indicates that for contemporaries and
non-contemporaries who maintained "different bibliographic
identities" as many headings as names used should be created. The
revision does not include any definition of "contemporary," nor
does it elucidate "bibliographic entities." It also does not
address the complexities of the cross reference structure (CSB
41:32). At times, due to differences in holdings, what would be
a see reference (400) on an LC NAR needs to become a see also
reference (500) in IUCAT.
If LC does not have any bibliographic records which would justify
converting see references to see also references and the cataloging
agency does have bibliographic records to justify the changes, make
the changes as needed in IUCAT.
EXAMPLE 1: Pseudonym established as heading, all other forms of
name are see references on an LC NAR
Voltaire, 1694-1778
EXAMPLE 2: Pseudonyms and real names each established separately
Twain, Mark, 1835-1910
The NAR contains a 663 field with the following note: FOR WORKS OF
THIS AUTHOR ENTERED UNDER OTHER NAMES, SEARCH ALSO UNDER CLEMENS,
SAMUEL LANGHORNE, 1835-191, SNODGRASS, QUINTUS CURTIUS, 1835-1910.
EXAMPLE 3: Contemporary author with LC NAR coded RULES "a,"
multiple pseudonyms still as see references
Duncan, William Murdoch, 1909-
x Cassels, John
x Graham, Neill
x Marshall, Lovat
NAME/UNIFORM TITLE HEADINGS
EXAMPLE 1: NAME/UNIFORM TITLE
Twain, Mark, 1835-1910. Adventures of Tom Sawyer
NAME: a or c SUBJ: a or c SER: b
Use LC established name authority records (NAR's) for name/uniform
title headings (100) and also whenever name/uniform title occurs
in a 600 or 700 field in a bib record. LC does not create NAR's
for name/uniform title headings if there are no references
associated with those headings. Optionally, if there is no LC NAR
for a name/uniform title heading that occurs in a 100, 600 or 700
field, cataloging agencies may create one.
EXAMPLE 2: NAME/UNIFORM TITLE/LANGUAGE
Twain, Mark, 1835-1910. Adventures of Tom Sawyer.
Hungarian
NAME: c SUBJ: a SER: b
Related Authority Record:
Twain, Mark, 1835-1910. Adventures of Tom Sawyer
This related authority record is created by LC only if there are
references associated with the heading. Optionally, if there is
no LC NAR for the related authority record, cataloging agencies
may create one.
EXAMPLE 3: NAME/UNIFORM TITLE FOR WORKS IN A SINGLE FORM
Twain, Mark, 1835-1910. Short stories
NAME: c SUBJ: a SER: b
EXAMPLE 4: NAME/UNIFORM TITLE FOR COMPLETE WORKS
Twain, Mark, 1835-1910. Works. 1990
NAME: c SUBJ: a SER: b
In this situation, the publisher issued a single volume or a multi-
volume set which is not analyzed.
EXAMPLE 5: NAME/UNIFORM TITLE FOR SELECTIONS
Twain, Mark, 1835-1910. Selections. 1983
NAME: c SUBJ: a SER: b
SERIES AUTHORITY RECORDS
A series authority record (SAR) is needed for each series used in
a bibliographic record (i.e. 440, 490, or 830). Each SAR, in
addition, will need a 690 field which records the cataloging
agency's local decision on series treatment, regardless of whether
an LC SAR is available via OCLC. For specific instructions,
consult the document: Guidelines for Local Series Decisions in
IO.
Upgrading a BNA minimal level series authority record
1. Set heading use codes as above.
2. Set S/TYP byte to "a"
3. Set NUM byte to a, b, or c depending.
a = numbered series
b = unnumbered series
c = numbered/unnumbered series
4. Add 690 field for your agency's decision on how to
treat the series, e.g.
690 BB: fts
EXAMPLE 1:
Biblioteka komunikacijske znanosti
NAME: c SUBJ: a or c SER: c
EXAMPLE 2:
Progress report (Florida. Marine Laboratory)
NAME: c SUBJ: a or c SER: c
EXAMPLE 3: PERSONAL AUTHOR SERIES
Twain, Mark, 1835-1910. Works. 1972
050 PS1300.F72
644 f (fully cataloged)
645 t (traced)
646 c (classed together)
NAME: c SUBJ: a SER: c
In this situation, individual volumes are issued by the publisher
as a series.
EXAMPLE 4: UNIFORM TITLE (NON-SERIES) HEADING
Guillaume (Chanson de geste)
NAME: a or c SUBJ: a or c SER: c
Use LC established uniform title authority records (NARs) for
uniform title headings (130) and also when uniform titles occur in
a 630, or 730 field in a bib record. LC does not create NARs for
uniform title headings if there are no references associated with
those headings. Optionally, if there is no LC NAR for a uniform
title heading that occurs in a 130, 630, or 730 field, cataloging
agencies may create one.
CORPORATE NAME HEADINGS (110)
EXAMPLE 1: CORPORATE NAME IN A HIERARCHICAL SEE REFERENCE
Indiana University, Bloomington. Dept. of Fine Arts
x Indiana University, Bloomington. College of Arts
and Sciences. Dept. of Fine Arts
Required related authority records:
Indiana University, Bloomington. College of Arts
and Sciences
Indiana University, Bloomington
EXAMPLE 2: CORPORATE NAME USED AS A QUALIFIER FOR ANOTHER NAME
Newman Club (University of Maryland)
Required related authority record
University of Maryland
EXAMPLE 3: CORPORATE NAME USED AS A QUALIFIER FOR A SERIES
Bulletin (National Museum of Canada)
Required related authority record
National Museum of Canada
CONFERENCE NAME HEADINGS (111)
Only conference name headings that would normally be established
by the Library of Congress require a local authority record. Note
the following statement for LC RI 24.7B:
On the name authority record for a conference heading,
do not add the number, date, or place to the name when
the conference is an ongoing one, even if all the
meetings were held in one place ... Apply this both to
meetings entered directly under their own name and to
meetings entered subordinately to headings for corporate
bodies.
Follow LC's policy; do not make authority records for individual
conferences for the IUCAT authority file. Delete and/or modify
existing minimal level authority records for conference names as
encountered.
EXAMPLE 1: HEADING FOR ONGOING CONFERENCE
Conference on the History of Western America
Heading on related bibliographic records:
Conference on the History of Western America
(1st : 1961 : Santa Fe, N.M.)
Conference on the History of Western America
(2nd : 1962 : Denver, Colo.)
etc.
EXAMPLE 2: HEADING FOR A ONE-TIME CONFERENCE
Conference on the Laboratory Use of Axolotls (1990 :
Indiana University)
Heading on related bibliographic records:
Conference on the Laboratory Use of Axolotls (1990 :
Indiana University)
GEOGRAPHICAL NAME HEADINGS (151)
EXAMPLE 1: GEOGRAPHIC NAME USED AS FIRST ELEMENT OF GOVERNMENT
BODY
Columbus (Ind.). Dept. of Parks and Recreation
Required related authority records:
Columbus (Ind.)
Indiana
EXAMPLE 2: GEOGRAPHIC NAME USED AS QUALIFIER IN A NAME HEADING
Center for Human Research (Boston, Mass.)
Conference on History (1980 : Boston, Mass.)
Required related authority records:
Boston (Mass.)
Massachusetts
EXAMPLE 3: GEOGRAPHIC NAME USED AS A QUALIFIER FOR A UNIFORM TITLE
Revista de literatura (Lima, Peru)
Required related authority records:
Lima (Peru)
Peru
NAME AUTHORITY RECORDS VS. SUBJECT AUTHORITY RECORDS
FOR GEOGRAPHIC NAMES
A. NON-JURISDICTIONAL GEOGRAPHIC NAME
(that is, a geographic name that was never the name of
a government body and is therefore valid only as a
subject)
1. One subject authority record needed
(either LC, BNA, or Local Input)
2. No name authority record needed
3. Heading Use Codes
a. If used as the first element of a heading (651)
West (U.S.)
NAME: b SUBJ: c SER: b
b. If used as a subdivision in a heading (650)
Mines and mineral resources--France--Riviera
NAME: b SUBJ: a SER: b
B. CURRENTLY USED JURISDICTIONAL GEOGRAPHIC NAME
(that is, a geographic name that is in current use as the
name of a government and can therefore be used both as
a name and a subject)
1. No subject authority record needed.
2. One name authority record needed
(either LC, BNA, or Local Input).
3. If no name authority or subject authority
record exists in IUCAT, download the LC NAR,
or create one locally.
4. If only the subject authority record exists in
IUCAT, overlay with the LC NAR.
5. If both a name authority and subject authority
record exists in IUCAT, delete the subject
authority record and merge the heading use
codes into the NAR. Any useful references may
also be transferred if noted in a 690 field:
e.g.: 690 BB: 451/2
Here are some hypothetical examples for: Bloomington (Ind.)
1. IF USED ONLY AS FIRST ELEMENT OF A SUBJECT
Bloomington (Ind.)--Periodicals.
NAME: a SUBJ: c SER: b
2. IF USED ONLY AS SUBDIVISION OF A SUBJECT
Swine--Indiana--Bloomington
NAME: a SUBJ: a SER: b
3. IF USED ONLY AS THE FIRST ELEMENT IN A GOVERNMENT BODY
Bloomington (Ind.). Dept. of Parks
NAME: c SUBJ: a SER: b
4. IF USED BOTH AS A NAME AND A SUBJECT
Bloomington (Ind.). Dept. of Parks
Bloomington (Ind.)--Politics and government
NAME: c SUBJ: c SER: b
5. IF USED AS A NAME AND AS A SUBJECT SUBDIVISION
Bloomington (Ind.). Dept. of Parks
Swine--Indiana--Bloomington
NAME: c SUBJ: a SER: b
6. IF USED ONLY AS A QUALIFIER IN A NAME OR SERIES
Museum of Art (Bloomington, Ind.)
Trends (Bloomington, Ind.)
NAME: a SUBJ: a SER: b
C. JURISDICTIONAL NAME NO LONGER VALID AS A SUBJECT
(that is, a geographic name that is no longer the name
of a government body and is therefore no longer valid as
a subject, yet is still valid for use as a name heading)
1. No subject authority record needed.
2 Name authority record needed.
3. Change 151 field on record to 110.
4. Add local note:
690 151 FIELD CHANGED LOCALLY TO 110
5. Add local note:
690 DO NOT USE AS A SUBJECT (65X)
6. Remember that although the name is no longer
valid for use as a subject in a 651 field or
in a "z" subfield of a 650, it is still valid
in a 610 if followed by subfields b, k, or t.
7. Set heading use codes as in the examples cited
above for current names of jurisdictions.
SUBJECT-TO-NAME "SEE ALSO" REFERENCES
Subject-to-name "see also" topical references are no longer made
on authority records by LC, and existing references are no longer
maintained by the LC Subject Cataloging Division. Because of this,
catalogers at LC and NACO participants are required to delete
subject-to-name references when updating existing authority
records.
EXAMPLE:
Wilmont College Library School Association
xx Library associations
Correct form would be:
xx Library science--Societies, etc.
As cataloging agencies encounter outdated/incorrect subject-to-
name references on authority records, these references should be
deleted, not corrected.
In addition, all subject-to-name see also references on name
authority records that are not prefixed by a "w" subfield with a
value of "g" should be deleted when downloading new name authority
records into IUCAT from the OCLC authority file.
Optionally, cataloging agencies may remove subject-to-name "see
also" references that lack a "w" subfield with a value of "g" from
any authority records already in IUCAT.
SEE ALSO REFERENCES (500, 510, 511, 551)
Cataloging agencies do not need to create or download name
authority records for headings used in see also references which
have never been used on a bibliographic record in IUCAT. Lack of
an authority record does not affect the OPAC display for author
searches.
Optionally, cataloging agencies may create or download name
authority records for headings used in see also references which
have never been used in IUCAT. These records should have heading
use codes as follows:
NAME: a SUBJ: a SER: b