FDLP

Name Authorities: Policy Overview

GPO's participation in NACO is limited to the following:

  • With the exception of certain titles that do not need to be established (see SHM H 1435), all names and titles used as subjects in 6XX fields of bibliographic records must be confirmed in the OCLC authority files. This includes personal names, corporate/conference names, works and expressions (previously called uniform titles), and jurisdictional geographic names that appear in the 6XX fields of bibliographic records. A temporary exception may be made for Congressionals or other priority titles, when names used in these as subjects (fields 600, 610, or 611) are in the process of having NACO records prepared.
  • For names and titles used as author or title descriptive access points in bibliographic records (fields 1XX, 7XX, and 8XX), consult the specific sections below: Personal Names, Corporate/Conference Names, Works and Expressions, and Places. In all cases, Congressionals or other priority titles may be produced with unauthorized access points (at I level), as a temporary measure, while name authority work for these is still in process.
  • Errors: Transcription and other errors occurring in existing authority records are corrected if they were created by GPO or traced as authorized access points in a GPO bibliographic record.

Personal Names

For all publications, authority records are created or updated for personal names used as subjects in bibliographic records.

Congressional Publications

Personal name authority records are created and existing authority records are updated only for Congressional publications with personal name access points, including main entries (100 field) or added entries (700 field). GPO adds new cross references for variant forms of personal names in Congressional publications, but does not add them for other publications.

Other Publications

Personal names needed to catalog other publications are confirmed in OCLC's authority file. Except when needed as a subject, new personal name authority records are not created. Existing personal name authority records are not updated; new cross references for variant forms of personal names are not added. For more specific instructions see: Name Authorities, RDA, Personal Names and Name Authorities, AACR2, Personal Names.

Corporate/Conference Names

New corporate name authority records, including those for conferences, are created, and existing authority records are updated for all publications requiring corporate body access points, including main entries (110 and 111 fields), subject added entries (610 and 611 fields), or added entries (710 and 711 fields).

Variant Names

Variant forms of corporate names appearing in publications cataloged after an authority record has been created are added to existing records.

Conference Authority Records

These are not created for individual conference papers nor are conference access points included in bibliographic records for individual papers.

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:

110 WaterSMART (Program)

670 WaterSMART, 2012: $b PDF t.p (U.S. Department of the Interior's WaterSMART(Sustain and Manage America's Resources for Tomorrow) Initiative; WaterSMART Initiative) p.2 (DOI Water SMART Program)

670 WaterSMART (Program) Web site, viewed Apr. 9, 2013 $b (U.S. Department of the Interior, Bureau of Reclamation, WaterSMART (Sustain and Manage America's Resources for Tomorrow))

 

110 Measuring Broadband America (Program : U.S.)

670 Measuring Broadband America, 2012: $b Background and overview (Federal Communication Commission's Measuring Broadband America program, an ongoing, rigorous, nationwide performance study of residential broadband performance in the United States)

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

245 A history of the Unemployment Compensation Program.

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, RDA, Corporate Bodies 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.

500 "Journal of elementary education, volume 50, number 1."

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:

100 1 Smith, Jane

245 10 Effective instruction / $c Jane Smith.

500 "Journal of elementary education, volume 50, number 3."

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.

245 00 Los Angeles and the future of secondary education.

500 "Journal of elementary education, volume 52, number 11."

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:

245 04 The journal of elementary education, $n Volume 52, Number 11.

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.

130 NPS D

667 Document

667 Give as a quoted note, including the number, if present, e.g., "NPS D-6"; not a report no., but designates a geographic area covered by the publication, do not enter in fields used to record report numbers

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, RDA, Works and Expressions.

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):

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. $p Town of Milan, New Hampshire, Coos County.

650 0 Flood insurance $z New Hampshire $z Milan (Town)

Because "Milan (Town)" is needed as a geographic subdivision of a topical subject, the geographic name authority record is established: 151 Milan (N.H. : Town)

A corporate body authority record is needed.

151 Door County (Wis.) (This record may be created so that the following record may be created.)

110 1 Door County (Wis.). $b Soil and Water Conservation Department

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

245 10 Alaska Native Village Corporation : $b report (to accompany S. 924).

610 20 Newtok Native Corporation (Newtok, Alaska)

In order to establish the corporate name: 110 2 Newtok Native Corporation (Newtok, Alaska), the following jurisdictional name is established: 151 Newtok (Alaska)

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:

151 Hopkinsville (Ky.)

However, this same authorized access point may appear in the bibliographic record as follows:

710 1 Hopkinsville (Ky.)

This added entry will control (authorize) in OCLC, even though it is tagged differently than the authority record. This is true of all geographic names in the LC/NACO (Names) file. It is not true of geographic names that are subjects in the LC/SACO (Subjects) file. See: DCM Z1: Appendix 1: 1.2.a: "Note that when entities tagged 151 in the authority file are used as access points in bibliographic records (110, 710, and 810), the first indicator is set to the value 1."

Another example of this is below.

151 Gary Sanitary District (Ind.) (in the authority record)

710 1 Gary Sanitary District (Ind.) (in the bibliographic record)

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, RDA, Places and Name Authorities, AACR2, Places.

 

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GPO Cataloging Guidelines

Introduction
Bibliographic Cataloging
Overview
Authoritative Status of the Catalog of U.S. Government Publications
GPO Records in OCLC and Record Maintenance
Sources
What LSCM Catalogs
Treatment Decisions for Collections and Analytics
Factors to Consider for the Treatment Decision
Separate Record Policy
Background
Procedures
Exceptions
Original Cataloging
Copy Cataloging
Adapting PCC Pre-RDA Records
Adapting Non-PCC Pre-RDA Records
Authenticating Non-PCC Pre-RDA Records as PCC
Replacing and Exporting Records
Cataloging Non-distributed Formats (for C&I)
Authority Records
General MARC Field Policy 490 – Series Statement Field
General MARC Field Policy 856 – Historic URLs
074 GPO Item Number
Multiparts
Item Number Corrections
086 SuDoc Number
Sources to Consult
Background and General Instructions
Multiparts
Serials and Integrating Resources
Microfiche
Current RDA Policies and MARC Fields (February 2015- )
MARC Fields
Overview of Previous Microfiche Policies
Re-Cataloging Microfiche
Congressional Publications
Fixed Fields
Leader/17- Encoding Level
Leader/18 - Descriptive Cataloging Form
008/39 - Cataloging Source
Variable Fields
037 - GPO Sales Stock Number
042 - Authentication Code
050 - LC Call Number
086 - SuDoc Classification Number
088 - Report Number
1xx - Principal Creator
130/240 - Unique Title for Work
245 - Title Statement
250 - Edition Statement
264 - Publication Statement
264 - Distribution Statement
300 - Physical Description
500 - General Notes
504 - Bibliography, etc. Note
505 - Contents Note
Technical Reports
Identification of Technical Reports
Monograph or Serial
Sources of Information
Cataloging Instructions
Fixed Fields
Variable Fields
Public and Private Laws
Public Laws
Private Laws
Instructions
Treaties
074 - Item Number
086 - SuDoc Number
490 and 830 - Series
546 and 041- Language
Senate Treaty Document Series (Y 1.1/4:)
Cartographic Materials
Background and Sources Consulted
BLM Surface/Mineral Management Maps
Encoding Level
1XX- Principal Creator
255 - Cartographic Math Data
300 - Physical Description
655 - Genre Term
Audiovisual Resources
Scope of the Format Visual Resources
Definitions of Types of Visual Resources
Bibliographic Treatment in the CGP
Analytics of Videos
Collections of Videos
Analytics of Still Images
Collections of Still Images
MARC Fields for Visual Resources
245
300 - Physical Description
655 - Genre/Form Terms
Continuing Resources
Selective Registration for ISSN Assignments
GPO’s automated submission of continuing resources for ISSN assignments
GPO’s selective registration of continuing resources for ISSN assignments
Inclusion criteria
Exclusion criteria
Serials
Sources to Consult
Policies, Procedures, Practices
Definition of Serial
Monograph vs. Serial and Frequency of Issuance
When Mode of Issuance Is Ambiguous
Replacement of Monograph Records with a Serial Record
Ceased Serials Cataloged for the First Time GPO
Numbering–Exceptions to RDA Principle of Transcription
Notification of Cataloging Updates via WebTech Notes
Notification of OAM for Serials Harvesting
Updating Collections of Serials
MARC Fields
Leader /17 (Encoding Lvl) & 042
010 - LC Control Number
022 - ISSN
050 – LC Call Number
060 – NLM Call Number
070 – NAL Call Number
074 - Item Number
082 - Dewey Decimal Classification Number
086 - SuDoc Number
246- Varying Form of Title
264 - Production, Publication
300 - Physical Description (300|a )
362, 588, and Any Field Where Designation Is Represented
500 - Distribution Note
515 - Numbering Peculiarities
538 - System Details Note
588 - Source of Description Note
Verbiage for “Description Based on” Note
Print Version Record Used As Basis of Description for Online Version
76X--78X– Linking Entry Fields
776 – Additional Physical Form
Cessation of print version, continuation online version
Cessation of serial due to format and title change
Microform serials and GPO practices for linkages
Former, discontinued practice for linking microform serials to other manifestations
Current practice for linking microform serials to other manifestations
Other Considerations for Linking Entry Fields
Parallel formats
Works linked but not described in bibliographic records
856 – Electronic Location & Access
Single- vs. Separate-Record Approach and PURLs
Appendix A: Bibliographic File Maintenance: Deletion of Records from the CONSER Database
Appendix B: Where to Find Certain CONSER Procedures
Integrating Resources
086 - SuDoc Number
130 - Authorized Access Point for Work
245 - Title
Other Title Information ($b)
Statement of Responsibility ($c)
300 - Physical Description
5XX - Notes
Order of 5xx Notes
588 - DBO on Source of Title Proper Note
580/760-787 - Linking Relationships
Computer Files
Procedures to Convert Type "M" to Type "A" Records
Name Authorities
Background
Instructions to Consult
Policy Overview
Personal Names
Congressional Publications
Other Publications
Corporate/Conference Names
Variant Names
Conference Authority Records
Programs and Projects
Corporate Names for Parks, Forests, Preserves, etc.
Works and Expressions
Multipart (Collective) Titles
Series
Series-Like Phrases
Places (Jurisdictional Geographic Names)
General Procedures
Optional Fields
Research in OCLC
How Much Research Should Be Performed . . . ?
When to Consult Additional Sources
Tips for Contacting Agencies
General Field Specific Guidelines
043 - See from Tracing
1xx and 4xx
4XX - See from Tracing
5XX - See Also from Tracing
670 - Source Data Found
678 - Biographical or Historical Data
781 - Subdivision Linking Entry - Geographic Subdivision
RDA
General Policies
Hybrid Records in RDA Name Authority Records
When to Recode an Existing NAR to RDA
How to Recode an Existing NAR from AACR2 to RDA
Field Specific Guidelines
$u and $v in the 046 and 3XX Optional Fields
Source of Information: 670 vs. $v in the 046 and 3XX Optional Fields
046 – Special Coded Dates
$2 – Source of Term
$s (start date or period) $t (end date or period)
336 - Content Type
368 - Other Attributes of Person or Corporate Body
370 - Associated Place
371 – Address
372 – Field of Activity
373 – Association Group
377 – Associated Language
4XX – See from Tracing
5XX – See Also from Tracings
670 – Source Data Found
678 – Biographical or Historical Data
Personal Names
Procedure for ECIP
General Instructions
046 – Special Coded Dates (RDA 9.3)
$s and $t in the 046 and 3XX Optional Fields
100 – Authorized Access Point
$q – Fuller Form of Name
$d – Birth and/or Death Date
$c – Titles and Other Words (Professions) Associated with a Name
368 - Other Attributes of Person or Corporate Body
370 - Associated Place (RDA 9.8-9.11)
371 - Address (RDA 9.12)
372 – Field of Activity (RDA 9.15)
373 – Associated Group (RDA 9.13: Affiliation)
374 – Profession or Occupation (RDA 9.16)
375 - Gender (RDA 9.7)
377 - Language (RDA 9.14)
378 – Fuller Form of Name (RDA 9.5)
400 - See from Tracing-Personal Name
510 - Related Corporate Body
678 - Biographical or Historical Data (RDA 9.17)
Corporate Names
Notes
Sources to Consult
Before You Begin
MARC Fields
110 - Corporate Name
Places Associated with the Corporate Body
Associated Institution
Names Containing the Word "Services"
111- Meeting Names
368 - Other Attributes of Corporate Body, $a Type of Corporate Body
370 - Associated Place
372 - Field of Activity
373 - Associated Group (11.5)
410/411 - See from Tracing
Initialism or Acronyms in Capital Letters
Variants for Names Containing Ampersands
410 - See from Tracing - Corporate Name
Variant Names Entered Subordinately
Place Names As Jurisdictions vs. Locations
Variant Names Entered Directly
Variants for Names Containing the Term “Inc.” or “Incorporated”
411 - See from Tracing - Meeting Name
Additional Identifying Element(s) for Initialisms/Acronyms in Variants for Meeting Names
510/511 – See Also from Tracing
Relationships and Relationship Designators
Mergers
510 - See Also from Tracing - Corporate Name
Hierarchical Superior Relationship
667 - Nonpublic Gen Note
678 - Biographical or Historical Data (11.11)
Works and Expressions
046 – Special Coded Dates (RDA 6.4 and 6.10)
130 – Authorized Access Point
336 – Content Type (RDA 6.9)
370 – Associated Place (RDA 6.5)
377 – Associated Language (RDA 6.11)
380 – Form of Work (RDA 6.3)
410/430 – Variant Authorized Access Points
667 – Nonpublic General Note
670 – Source Data Found
EXEMPLARS
Places
043 - Geographic Area Code
451 - See From Tracing
670 - Source Data Found
781 - Subdivision Linking Entry-Geographic Subdivision
AACR2
General Policies
Hybrid Records in RDA NARs
When to Recode an Existing NAR to RDA
How to Recode an Existing NAR from AACR2 to RDA
Field Specific Guidelines
5XX - See Also from Tracings
Personal Names
100 – Authorized Access Point
$q - Fuller Form of Name
400 – See from Tracing-Personal Name
678 – Biographical or Historical Data (RDA 9.17)
Corporate Bodies
Auth Status - 008/33
110 - Corporate Name
111 – Meeting Name
410/411 – Variant Name
5XX – See Also from Tracings
670 - Source Data Found
Places
043 - Geographic Area Code
451 - See from Tracing
670 – Source Data Found
781 - Subdivision Linking Entry-Geographic Subdivision
Subject Cataloging
General Policies
LC Subject Headings
NASA Thesaurus Terms As Subject Headings
MESH, NAL, and Other Non-LC Subject Headings
LC Genre/Form Terms for Library and Archival Materials
Adding General LCGFT to Bibliographic Records
Background Resources for LCGFT
Adding LCGFT to Cartographic Records
Adding LCGFT to Audiovisual Records
Subject Heading Proposals, Background, and Tips
Tips and Instructions
Internet Research
Subject Headings Manual
Searching Minaret
Add'l Minaret (Class Web) Tips
Scope Notes
Use of the Dictionary
Use of Wikipedia
Use of LSCH As a Thesaurus
References
Class Web or Minaret
SACO Resources
Subject Headings Manual
Print Resources
Resources for Geographic Proposals
Geographic Print Resources
Examples of GPO Subject Proposals
Subject Heading Proposals, Workflow
Submitting SACO Proposals for Internal Review
Producing Associated Bib Records; Exporting Subject Authority Records
Submitting SACO Proposals to the Library of Congress
Updating Aleph Authority File
Name vs Subject Authority File
Overview
Instructions
Name Headings As Subjects
Special Topics, Materials, Subdivisions, Etc.
Environmental Impact Statements
Legal Topics
Research
Other Metadata Schemes
Dublin Core
ONIX
Glossary
Initialisms and Acronyms
List of Major Changes to the Cataloging Guidelines

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Questions on the GPO-specific practices outlined in the guidelines should be submitted via askGPO. Please indicate "Cataloging: Policies & Practices" in the subject area.