Name Authorities: Policy Overview

Sources

Use the Name Authorities sections of the Cataloging Guidelines in conjunction with the following sources for name authority guidance.

Primary sources:

• RDA and associated LC-PCC PSs (GPO follows all LC-PCC PSs)
• DCM Z1
• MARC 21 Format for Authority Data
• LC Guidelines Supplement to the MARC 21 Format for Authority Data
• NACO Participants’ Manual

Additional sources:

• NACO home page (includes: Documentation & Updates, Cataloging FAQs, and Training)
• NACO Normalization
• PCC NACO Training
• PCC Post-RDA Test Guidelines
• Frequently Asked Questions: Program for Cooperative Cataloging and RDA (PCC-RDA-FAQ Update 20130401)
• Constant data records (internal GPO documentation, available to the public by request)
• AACR2 and associated LCRIs (GPO followed all LCRIs)
• Carroll's Federal Directory, Carroll's Federal Regional Directory (all paper issues for current and previous year retained; one issue for each past year retained permanently)
• Congressional Directory (issues available via Internet; all paper issues retained permanently)
• The United States Government Manual (issues available via Internet; all tangible, e.g., paper, issues retained permanently)

General Policies

GPO catalogers utilize name and series authority records from the Library of Congress Name Authority File (LC NAF). GPO has a local collection of authority records in its ILS, which are essentially the same as their counterparts in the LC NAF. Except for cataloger codes and other minor proprietary information, GPO currently includes no additional information in its local versions of authority records.

GPO participates in NACO (the Name Authority Cooperative Program) by creating and updating name authority records (NARs) and series authority records (SARs) in the LC NAF, via OCLC, as outlined below. Per NACO guidelines, new authority records are created according to the instructions in RDA. Updates are made to existing records in accordance with the PCC Post RDA Test Guidelines.

GPO considers the type of resource being cataloged when determining whether to create an authority record for an access point. Resources are categorized as either “Higher Priority” or “Lower Priority.” These categories are defined in Bibliographic Cataloging: Overview, Cataloging Priorities.

• If authority work is required, and no copy of the resource is in hand or viewable online, request a surrogate from a library in order to complete the authority work.
• Establish access points specifically requested via askGPO, obtaining surrogates as needed.
• Exceptions to the guidelines for lower priority resources may be made on a case-by-case basis, in consultation with a supervisor, if the cataloger judges an otherwise unrequired access point to be necessary.

GPO bibliographic records may be produced prior to the completion of NACO work. While NACO work is pending, the associated bibliographic record(s) can be produced at full level with unauthorized (i.e., uncontrolled) access points. The following conditions apply:

• NACO work needs to be drafted and saved to GPO’s online authority save file before the associated bibliographic record(s) can be produced.
  • Exception: If a NAR is needed because there is a conflict in the authority file, the NAR must be completed before the bibliographic record(s) can be produced.
• When the completed authority record has been added to the LC authority file, the associated bibliographic record(s) can be authenticated if all PCC requirements are met.

All guidance below is GPO practice.

Working with Existing Authority Records

• Update an existing authority record, regardless of the priority of the resource being cataloged, when needed to:
  • Conform to the PCC Post RDA Test Guidelines.
    • For more information, see Non-RDA Authority Records, below.
  • Add a variant name found in the resource being cataloged.
  • Correct an erroneous access point.
  • Correct transcription and other errors, if:

    • The authority record was created by GPO 

      and/or

    • The record is being used to support an authorized access point in a GPO bibliographic record
• See additional guidance for Personal Names, Corporate/Conference Names, and Works and Expressions below.

Non-RDA Authority Records

Background information about NACO’s transition to RDA can be found in the Word document Frequently Asked Questions: Program for Cooperative Cataloging and RDA (PCC-RDA-FAQ Update 20130401). Especially note: 5.1, 5.6, and 5.7.

Current NACO practice for using and updating non-RDA authority records is in the PCC Post RDA Test Guidelines. The guidance applied most frequently by GPO is summarized here for convenience, but it is not a substitute for the PCC documentation.

• Re-code non-RDA authority records to RDA (using the instructions in Name Authorities: General Procedures, How to Recode an Existing NAR from AACR2 to RDA) in the following situations:
  • The authority record is needed for a PCC RDA bibliographic record, and either of the following is true:
    • The authority record contains a 667 field stating “THIS 1XX FIELD CANNOT BE USED UNDER RDA UNTIL THIS RECORD HAS BEEN REVIEWED AND/OR UPDATED.”
    • The authority record lacks the 667 note above, but its authorized access point does not qualify as “RDA acceptable.”
      • This is most common when working with a personal name that includes Jr., III, or the like. If such a term is missing from the person’s authorized access point, the NAR is not “RDA acceptable.” For more information, see RDA 9.2.2.9.5 and 9.19.1.1.
  • The authority record is being updated for another reason. This includes adding variant names, adding other identifying characteristics, fixing a typo, etc.
    • Exception: When a record is being updated only to change a 5XX field, in response to changing a 1XX in another record, evaluation and recoding of the record with the 5XX is not required.
• Aside from the situations covered above, do not take the encouraged action wherever the phrase “strongly encouraged” appears in the PCC Post RDA Test Guidelines.

Hybrid Authority Records

It is possible for a NAR to be a hybrid, i.e., contain mixed RDA and AACR2 elements. For example:

• An existing NAR coded as RDA may contain variants (4XX) formulated according to AACR2 and related bodies (5XX) that have AACR2-coded NARs.
• An original NAR coded as RDA may contain an “RDA acceptable” AACR2 authorized access point in a 5XX field.

However, NACO disallows a hybrid authorized access point (1XX), so every component of the 1XX in an RDA-coded record must be RDA compliant.

A common situation will occur with the creation of a new RDA NAR for a subordinate body that resides within a long-standing government agency.

• When the NAR for a parent body was established according to AACR2, and that parent body is needed as part of the authorized access point (1XX) for a subordinate body in an RDA record:
  • Re-code the NAR for the parent body as RDA. See #4 in the PCC Post-RDA Test Guidelines.
• When the NAR for a parent body was established according to AACR2, and that parent body is needed as part of a variant access point (4XX) for a subordinate body in an RDA record, evaluate whether the parent body’s authorized access point appears to be RDA acceptable.
  • If RDA acceptable, the parent body’s authorized access point can be used in the new NAR’s variant as-is.
  • If not RDA acceptable, the parent body’s NAR must be re-coded to RDA before its authorized access point can be used in the new NAR’s variant.

Personal Names

Updating Existing Personal NARs

• In addition to the situations covered in Working with Existing Authority Records above, update an existing NAR, regardless of the priority of the resource being cataloged, when needed to:

  • Help users identify the person. Such an update is important when it is discovered that a person is involved in very different fields of activity.
    • If readily available information does not confirm whether an existing NAR represents the person from the work cat, attempt to contact the person or their institution for clarification. Make two email attempts, two weeks apart. Also attempt to call if a phone number is available. If no response is received within a week of the phone call or second email, create a new NAR.

  Example:

  n 85306066

  100 10  Posey, Carl A., ǂd 1933-2018

  373 ##  United States. National Oceanic and Atmospheric Administration ǂa National Optical Astronomy Observatories (U.S.) ǂ2 naf

  670 ##  His Bushmaster fall, c1991: ǂb CIP t.p. (Carl Posey)

  670 ##  The big book of weirdos, c1995: ǂb CIP t.p. (Carl A. Posey; editor for Time-Life Books)

  670 ##  Cunningham Turch Funeral Home website, Apr. 21, 2023: ǂb obituaries > search: carl posey > result: Carl A. Posey (Carl A. Posey; February 2018: Carl Alfred Posey, Jr., author and former Public Affairs Officer for NOAA and National Optical Astronomy Observatories, Dies at 84; Carl A. Posey, Jr., a prolific author of fiction and nonfiction books and a regular contributor to Air & Space magazine, died at home on February 9. By the time of his death he had authored eight published novels, a score of non-fiction books, and dozens of magazine articles, most of them about science and aviation)

  This NAR originally indicated the person was affiliated with fiction and comic strips. When searching the OCLC bibliographic file, the GPO cataloger found this authorized access point in a bib record for a NOAA publication. Rather than assuming the access point was assigned incorrectly, the cataloger located the person’s obituary and discovered he was indeed responsible for both the fiction and non-fiction works. The NAR was updated to make the connection apparent for future catalog users.

Creating New Personal NARs

Whether an authority record is created for a personal name depends upon the type of resource being cataloged. Resources are categorized as either “higher priority” or “lower priority.”

• All personal name access points (MARC 100, 600, and 700) must be authorized in bibliographic records for higher priority resources.
• Personal name access points (MARC 100, 600, and 700) may be unauthorized in bibliographic records for lower priority resources, under certain conditions. See below for more specific guidance.

Whether a NAR is created at the comprehensive or brief level depends upon the cataloger’s research.

• Create a brief name authority record if warranted according to the guidance in Brief Personal NARs. Otherwise, create a comprehensive authority record.

Personal Names in Higher Priority Resources

• Create a NAR if none exists, following the guidance for Comprehensive Personal NARs or Brief Personal NARs, as appropriate. 

Personal Names in Lower Priority Resources

Personal name access points (MARC 100, 600, and 700) may be unauthorized in bibliographic records for lower priority resources, under certain conditions. Such records cannot be authenticated for PCC.

• See the Decision Tree for Personal Names to determine whether an unauthorized access point is allowable.
  • If a NAR must be created, follow the guidance for Comprehensive Personal NARs or Brief Personal NARs, as appropriate.
  • Catalogers who are fully independent for personal names can choose to establish a name that is not otherwise required under this policy.
• When drafting an unauthorized access point:
  • Utilize the form of name and distinguishing information found in the work being cataloged.
    • If the work cat does not provide sufficient information to make the unauthorized access point unique when compared to the LC NAF, a NAR will need to be created.
  • Follow all RDA and NACO rules for access point formulation.
    • See RDA 9.19.1 and 9.2.
  • If additions are needed to make the unauthorized access point unique, follow GPO’s order of preference for constructing the access point.

Comprehensive Personal NARs

• When a personal NAR is needed, create a comprehensive name authority record. For detailed guidance, see Name Authorities: General Procedures, Research in OCLC, Personal Names and Name Authorities: Personal Names.
  • Exception: Create a brief name authority record if warranted according to the guidance in Brief Personal NARs.

Constructing the Access Point

• If, after constructing an authorized access point according to the LC-PCC PS for 9.19.1.1 and 9.19.1.3, additions are needed to make the access point unique, follow GPO’s order of preference for qualifiers. This order should be applied to information that is readily available:
  • Fuller form of name
    • If a fuller form of name is not readily available, it is cataloger’s judgment whether to contact a person to obtain this information or use the next available qualifier.
    • e.g., ǂa Alexander, Donald W. ǂq (Donald William)
  • Profession or occupation
    • Prefer the singular form of an LCSH term.
    • e.g., ǂa Alexander, Donald W. ǂc (Government librarian)
  • Other term of rank, etc.
    • e.g., ǂa Alexander, Donald W., ǂc Ph. D.
  • Associated institution
    • Begin the qualifier with “Of the” and use a grammatically correct form of the institution name. It is cataloger’s judgment whether to base the institution name on the authorized access point for the corporate body; if using the access point, modify punctuation as needed for clarity.
    • e.g., ǂa Alexander, Donald W. ǂc (Of the United States Government Publishing Office)

Brief Personal NARs

• A brief name authority record is warranted under either or both of the following conditions:
  • The work cat pre-dates 1995, and no more recent works by or about the person can be found in ten minutes of research.
  • Ten minutes of research on a person does not yield any of the preferred qualifiers listed for comprehensive NARs above.
  • Research includes searching the OCLC bibliographic file. For details, see Name Authorities: General Procedures, Research in OCLC, Personal Names.
• To create a brief name authority record, only two MARC fields are required: 

Corporate/Conference Names

The guidance in this section applies to both federal and non-federal corporate bodies, including conferences.

• To determine whether a non-federal corporate body warrants an access point in a bibliographic record, see Bibliographic Cataloging: General Policies, Non-Federal Corporate Bodies.

Updating Existing Corporate NARs

• Update an existing NAR, regardless of the priority of the resource being cataloged, in accordance with Working with Existing Authority Records, above.
• When updating existing NARs for corporate bodies, add references (4XX and 5XX) and 670 citations to the authority record as needed.
  • Optional fields such as 046, 368, 37X, etc., may be added if the information is readily available, helpful, and can quickly be added. Otherwise, do not add any optional fields.

Creating New Corporate NARs

Whether an authority record is created for a corporate body depends upon the type of resource being cataloged. Resources are categorized as either “higher priority” or “lower priority.”

• All corporate body access points (MARC 11X, 61X, and 71X) must be authorized in bibliographic records for higher priority resources.
• Corporate body access points (MARC 11X, 61X, and 71X) may be unauthorized or partially authorized in bibliographic records for lower priority resources. See below for more specific guidance.

Corporate Names in Higher Priority Resources

• Create a NAR if none exists. 

Corporate Names in Lower Priority Resources

Corporate body access points (MARC 11X, 61X, and 71X) may be unauthorized or partially authorized in bibliographic records for lower priority resources. Such records cannot be authenticated for PCC.

• If a corporate body is not found in the LC name authority file (LC NAF), search the CGP for an access point that represents the body.
  • When an access point is found in the CGP, use it in the bibliographic record.

• If no access point for the body is found in the CGP, create an unauthorized or partially authorized access point to use in the non-PCC bibliographic record.
  • Utilize the form of name found in the work being cataloged.
  • Follow all RDA and NACO rules for access point formulation.
    • See RDA 11.13.1 and 11.2.
    • Ensure that the access point created does not conflict with any 1XX in the LC name authority file.
  • For corporate bodies entered subordinately:
    • Form a partially authorized access point when possible, beginning with the authorized access point for the parent body from the LC name authority file.
    • When a partially authorized access point is not possible, look for the parent body in the CGP. If an unauthorized access point for the parent body exists in the CGP, use it to begin the unauthorized access point for the subordinate body.

Catalogers who are fully independent for corporate names can choose to establish a name that is not required under this policy.

Conferences

• Follow the guidance for corporate names, above.
  • When cataloging a lower priority resource for an individual instance of a conference and there is no matching NAR, use an unauthorized or partially authorized access point.

Programs and Projects

See RDA 11.0 and Glossary: Corporate body.

GPO provides authorized access points in bibliographic records, and creates and updates authority records for programs and projects, unless these are mere abstract ideas that appear only in a title or within the text of a publication. In other words, the program or project must have some intrinsic existence of its own, apart from a reference in a publication. Note: Studies are corporate bodies. Here are two examples of programs/projects that GPO would establish as corporate bodies:

Here is an example of a "program" that GPO would not establish as a corporate body:

The "Unemployment Compensation Program" would not be established; it is used loosely in this title, as a concept.

Corporate Names for Parks, Forests, Preserves, etc.

DCM Z1: Appendix 1, Section 2.8: Forests, Parks, Preserves, etc., explains that a park, forest, etc. can have two separate authority records, one in the Names file, and one in the Subjects file. Establish corporate names for the administrative aspect of these entities, when functioning as a creator (such as an author), issuing body, sponsoring body, publisher, etc. of a publication (or when functioning as any of the relationship designators in RDA Appendix I.2). For the authorized access point, use the form in the following example: 110 2 Everglades National Park (Agency : U.S.).

For more specific instructions, see: Name Authorities: Corporate Names and Name Authorities: AACR2, Corporate Bodies.

Works and Expressions

If a work or expression (previously called uniform titles) that must be established, such as a series, law, or treaty, is not in the LC/NACO authority file, it is established following the instructions in DCM Z1, and RDA/LC-PCC PSs. GPO authorizes all titles for series, laws, and treaties in the authority file, and creates and update authority records for these as needed.

Authority records for certain other titles (such as monographs, serials, computer programs or applications) may be created and contributed to the LC/NACO authority file per LC's DCM Z1 instructions only if cross-references need to be made. This is usually the case with private and public laws and treaties involving three or more countries. Often the official name of the public law appears on a publication in several manifestations (e.g. the official name, the name of the law in a citation, and the public law number).

If there are no cross references, an authority record is not created. Titles for works and expressions are included in bibliographic records, if required, even though they have not been established (See RDA 6.27.1.9).

Per RDA chapter 6, unique authorized access points are required for publications published simultaneously with different titles (6.2.2.4), in different languages (6.2.2.4, 6.27.3), or that are translations (6.27.3). However, LC/NACO authority records are not created for them by GPO.

Consider a publication a translation rather than a version in a different language if it contains explicit translation statements, e.g., 500 "Translated by ..." or 500 "Translation of ...."; Prior to RDA, some time before 2002, the Library of Congress requested that GPO not establish uniform titles for translations of individual journal articles. Therefore, GPO will not establish unique authorized access points for translations of individual journal articles.

Multipart (Collective) Titles

New authority records are created and existing records are updated for use in bibliographic records only if a multipart collective title is to be recorded in the series statement of a record per GPO policy. Variant forms found in publications cataloged are added to authority records.

Series

Series titles and series numbering are always confirmed in OCLC's authority file.

For all publications that are not individual issues of serials or articles from serials, new series authority records are created and updated. Series statements are recorded in the 490 field and traced in the 830 or 810 series added entry field. Variant series statements appearing in resources are always confirmed in, and added if necessary, to the authority record. If following specific CONSER or BIBCO guidance, only the 830 field need be entered, if the series statement appears on the resource in its authorized form.

If publications are either individual issues of serials or articles from serials, series authority records are not created for these.

Instead, the serial's title and designation in which an individual article or group of articles appears is recorded in a note.

The title of the individual article or the title given to a group of individual articles is recorded in the title and statement of responsibility area of the record. Hypothetical example:

If the individual issue of a serial has its own individual title, the individual title is recorded in the title area of the cataloging record. The serials title and numbering are recorded in a note. See hypothetical example below.

If the individual issue does not have its own title, the title and issue numbering are recorded in the title and statement of responsibility area. See hypothetical example below:

Series-Like Phrases

In the past, GPO established series-like phrases, but no longer establishes them regularly. Authority records are created only for series-like phrases that are frequently confused with one or more series and are inadvertently, but frequently, recorded as series. Notes giving instructions on usage are added to multipart and series authority records.

Series-like phrases that qualify to be recorded are confirmed for full-level records. Authority records are created only if required for the reasons indicated above.

For more specific instructions, see: Name Authorities: Works & Expressions: General.

Places (Jurisdictional Geographic Names)

New jurisdictional geographic name authority records are created in the LC/NACO authority file. These include countries, states, provinces, counties, cities, and towns, as well as water, sanitation, utility, conservation, soil, recreation, park, and ranger districts. Active military installations, city sections, and U.S. Indian tribes as legal entities are also geographic names that GPO establishes and updates. For more details, consult: LC-PCC PS 16.4.1, and: DCM Z1: Appendix 1: Ambiguous Entities.

Existing name authority records for geographic entities are updated as needed. Cross-references and variant forms are added as they are discovered. For all work on geographic NARs, whether creating a new record or updating an existing one, RDA chapter 16 is followed, along with its corresponding LC-PCC PSs. If appropriate, you may apply RDA chapter 11 elements and their corresponding MARC 046 and 3XX fields, which record various attributes of corporate bodies. Include MARC fields 043 and 781 in geographic NARs. In addition, one of the following two sources is always consulted and cited (See SHM (Subject Headings Manual) H 203 for citation method):

• Geographic Names Information System (GNIS) for domestic (U.S.) names
• GEOnet Names Server for foreign (non-U.S.) names

The following sources may additionally be consulted as needed:

• Columbia Gazetteer of the World, 1998
• National Geographic's Atlas of North America
• Rand McNally ... Commercial Atlas & Marketing Guide
• Rand McNally's The New International Atlas
• The Times Atlas of the World
• Merriam-Webster's Geographical Dictionary, 3rd edition

Works in which a geographic name is found are recorded in the 670 field, while those in which the name is not found are recorded in the 675 field. New jurisdictional geographic heading authority records are created in the LC/NACO authority file, whether needed in the bibliographic record as a subject or as a name. Below are some examples.

Title of resource cataloged: Flood insurance study. ǂp Town of Milan, New Hampshire, Coos County.

A corporate body authority record is needed.

Occasionally, a jurisdictional name may be needed as a qualifier in another authority record:

The resource cataloged may contain a statement on the title page: "prepared in cooperation with the city of Hopkinsville, Kentucky." The following record is created:

Another example of this is below.

For more details and documentation about using geographic names as corporate bodies, coded X10, see: MARC 21 Format for Bibliographic Data--X10.

For clarification on the treatment of ambiguous geographic entities, see DCM Z1: Appendix 1.

For additional information, also see:

• LC-PCC PS 16.4.1, which deals with ambiguous entities such as Indian Tribes.
• AACR2: chapter 23, 24.3E1, 24.6
• LCRI: 23.1, 24.1A

For more specific instructions, see: Name Authorities: Places.