NACO "New Relaxed Rules"

Disclaimer--READ ME FIRST !
When to notify your Co-op Catalog Liaison...
Which NAR's are required?
Punctuation & spacing ...
Fixed Field coding
Variable Field coding
Choice of name
Additions to names
Cross-References
OCLC commands & procedures

New members of the Program for Cooperative Cataloging contribute authority records to the name authority file (NAF) which are later redistributed on Library of Congress tapes. These records include personal names, corporate (including conference) names, and uniform title authorities. For authorization to contribute series authority records, an additional three days of training are required. What follows are some highly selective notes, based on what the writer learned during her basic NACO training ...

AAAF = Anglo-American Authority File. This is the new name and initialism for the authoritative NAF, meant to emphasize that the file is now international, since some Canadian, British, etc. libraries have been trained and have started contributing to it.

Notify your Co-op Cataloging Liaison when:

1. Your newly established name results in the need for LC bibliographic file maintenance (abbreviated "BFM"). This applies only to records created in machine-readable form by LC after 1968, not to older "LC copy" input retrospectively by OCLC member libraries. CONSER records, national newspaper program records, MLC and CIP records are considered "LC copy." (When establishing the form of name, however, NACO libraries do not oblige LC to change their existing post-1968 heading just to add $q qualifiers or $d date(s), if there is no conflict with other names.)
2. Your name is a Canadian corporate name. LC will contact the National Library of Canada (NLC) which will then send information back to us for completing the record. (If it is a personal name found in a work having a Canadian imprint for the first-named place of publisher, go ahead and establish the name; but always check OCLC for NLC records and add a second 670 field showing their heading and x- refs.)
3. You need to revise an existing 1xx field on an NAR which was contributed by either: National Library of Medicine (NLM) or the English Short Title Catalogue (ESTC).
4. You identify an NAR which needs to be canceled, usually a duplicate record. In this case it is helpful to recommend to LC which record to keep and which to delete.
5. You discover that a geographic name has officially been changed; your Co-op Cat Liaison may need to add "subject treatment" instructions to the resulting NAR's.

• If NAR is being established for 110 $a Parent Body. $b Subordinate Body, we must also establish the 110 $a Parent Body if no authority record already exists for it.
• Likewise, if this Parent Body shows up in a 410 field, it must also be independently established.
• Any 5xx-tagged names used on contributed NAR's must also be established on their own separate record.
• If uniform title is being established under a main heading, e.g. 100 $a Personal Name. $t Uniform title, we must also establish NAR for the main heading, if not yet done.
• Uniform title authority records should be established if 1) references are needed; 2) special research was done that needs recording; 3) heading is needed for related work or for subject entry, but the work itself does not exist as LC copy; or 4) special information needs recording (e.g., the citation title for a law).
• If a geographic name is being used as a qualifier in a conference name, corporate body, or uniform title which we are establishing, then the geographic name itself must also be established on its own NAR.

• No period at the end of 1xx fields (unless needed for an abbreviation). If revising an existing NAR for some other reason, delete the period at end of 1xx field.
• Consider the effect of normalization (removal of accent marks, punctuation, and the resulting spaces) on your headings and x-refs --> if this results in identical names, then you must add something to distinguish the two names; if this results in a 4xx text identical to its 1xx text, then you will omit the 4xx (unless it is an old catalog heading).
• When corporate names include a series of elements, add a comma before the "and" unless it is represented by an ampersand (&). But, for British corporate bodies, do not add the comma unless used by the body itself, e.g., Great Britain. $b Ministry of Agriculture, Fisheries and Food.

FIXED FIELD

• Upd stat --> a
• Ref stat --> a (refs evaluated),b (refs not evaluated), n (no refs present)
• Auth stat --> a (est. form is AACR2), c (est. form is "provisional")
• Auth/ref --> a
• Name ---> a (personal, unique name), b (shared, non-unique name), n (not personal name)

• Source --> c (for NACO); but leave it "blank" if revising an LC NAR
• Name use --> a
• Subj use ---> a
• Ser use ---> b
• Rules ---> c (AACR2); but use d (AACR2-compatible) if main heading was established as AACR2-compatible, and you are establishing a subordinate or u/t heading under it.

VARIABLE FIELDS

• $w nna (when the 4xx heading is an "old" catalog heading and its form is consistent with AACR2 rules for references)
• $w nnaa (when the 4xx heading is an "old" catalog heading which is not consistent with AACR2 references rules; therefore we don't want the reference made in the OPAC)
• $w nne (when the 4xx heading is an "old" heading established under AACR2 rules, but an erroneous or provisional form had been used)
• $w a (when the 5xx heading is the earlier valid name)
• $w b (when the 5xx heading is the later valid name)

670 $a Title of the work, pub. year: $b location in work where name was found (name in form found in work)

670 $a Law of contracts, 1923: $b t.p. (Wm. Ivan Linton) pref., etc. (W.I. Linton; William Ivan Linton)

670 $a Concise DNB 1901-1970 $b (Percy, Eustace Sutherland Campbell, Baron Percy of Newcastle; 1887-1958; politician and educationist)
670 $a OCLC database, Sept. 23, 1996 $b (hdg.: Percy, Eustace Sutherland Campbell, Lord, 1887- ; usage: Lord Eustace Percy)

675 (non-repeatable) is used for other sources consulted where name or data was not found. Include the span of years (or editions) checked. Repeat subfield $a code for each separate source listed. This field can also be used to "justify" a 510 field if a corporate name has changed, and the work cataloged is a serial issued by that body. EXAMPLE:

510 20 $a Florida Institute of Government $w b
670 $a Politics in Florida, 1984, no.1: $b p. 1 (Institute of Government)
675 $a Politics in Florida, 1988, no.1

952 is used--in NACO work--to convey "local" information, usually comments or questions, which needs to be communicated between the NACO contributor and the NACO trainer or liaison, or vice-versa. This field does not appear on the distributed version of the NAR.

CORPORATE

• If a "center," "institute," project, etc. entered subordinately under a college or university later gets named for someone, consider this to be a name change, and establish a new record for the center (institute, etc.) entered directly under its own name, with reciprocal xx- refs.
• Presidents, prime ministers, and heads of state (include. governors) are the only govt. officials who get independent NAR's for their positions, e.g., Florida. $b Governor (1991- : Chiles). Otherwise, establish the NAR under name of the office or department, e.g., Florida. $b Dept. of Legal Affairs (not "Attorney General").
• Existing NAR's may have a 667 field data saying "The following subdivisions have not been used as headings: ..." If you have a work by or about one of these bodies, go ahead and establish it on a separate NAR, and remove its name from the 667 on the parent body NAR.
• For geographic names in U.S., always convert "St." and "Mt." to "Saint" and "Mount," respectively. (However, this guideline doesn't necessarily apply to Canadian and British place names.)

Consult reference sources:

• When more data is needed to resolve a conflict
• When author/body is not English-language (consult ref sources for the other language or the place of activity)
• When person's works are "non-verbal" (e.g., a visual artist)
• When author's works pub. before 1801--> use form verified there; add forms found in pub. works (if different) as x-refs.
• When establishing a geographic name. (For U.S. names, check BGN web site; 2nd choice-->Rand McNally commercial and marketing guide. Australian & New Zealand, check different web site. Canadian-->must ask NLC for decision. Great Britain, use Bartholomew Gazetteer of Places in Great Britain.)

PERSONAL

• Always add full forename(s) in subfield $q if they are known, when establishing the name with initial(s) in place of the forename(s). However, if the establishing under an author's nickname (like, "Rob"), do not qualify by the full forename unless needed to resolve a conflict. Note also: titles of address may be qualified by forenames, but, titles of nobility are never so qualified. EXAMPLE:

  400 10 $a Richmond, $c Lord, $d 1809-1892
  400 10 $a Richmond, $c Dr. $q (Zachariah H.)

• Always add date(s) if known. If the birthdate is in the 19th century or earlier, and the death date cannot be determined, do not leave the date open, but rather, show it as a birthdate, e.g., $d b. 1809. If a pre-AACR2 name appears in the LC active bib records the other way, then add a 400-ref with the subfields , $d 1809- $w nnaa
• (But see above at no.1 under "Notify Your Co-op Cataloging Liaison" for an exception to the above two guidelines.)
• Titles of nobility--> see 22.6 rules. Law-related authors often use "Lord" on the t.p., but reference sources reveal him to be a "Baron." Use , $c Baron.

CORPORATE

• Add (Firm), or other appropriate qualifier, if corporate name includes personal forenames or initials, e.g.,

  A. Stone & D. Pullen (Firm)
  but Stone & Pullen (no qualifier needed)

• Omit "Inc." and its foreign equivalents, unless needed to clarify an ambiguity or distinguish it from other types of headings; if "Inc." is not part of official name, use (Firm)
• Add $n number, $d date, $c place qualifiers to names of one-time or uniquely-named conferences; add 670 or 667 info to justify these additions. (N.B.--> only one NAR is made for an annual or ongoing conference, without these qualifiers in 1xx field, provided the conference does not change its name. However, this guideline is being reviewed, and is subject to change.)

Resolve Conflicts following this order of preference:

1. add qualifier showing fuller form of name
2. add birth and/or death date(s)
3. add term of address found in items by the person or found in reference sources
4. add an initial or forename found in another source qualify a nickname
5. use "flourish" date(s), but only for authors flourishing prior to 1901
6. LAST RESORT: use undifferentiated "non-unique" NAR

• Should be made only when the variation affects the element to the left of the comma or the first element to the right of the comma in a personal name. If the variation is only at the middle initial(s) or name(s), generally do not make a 4xx- reference.
• References should be based on usage as found in the author's works, or on AACR2 rules.
• Compound surnames and some "prefixed" names are candidates for x-refs from all rotated permutations of the name.
• 4xx-References need not be unique, as compared to 4xx fields on other NAR's. However, the 4xx text cannot be identical to a 1xx line on another (different) NAR.
• Use "common sense" economy: Do not make a cross- reference that would likely file directly adjacent to the 1xx form in the bibliographic index.

• Consider the following changes in corporate names not name changes, but rather "variations" from which 4xx references should be made:

  --use of abbreviation, acronym or initialism vs. spelled-out words
  --change in a preposition, article, or conjunction
  --change in punctuation (but see "normalization" guidelines above)

• Cross-references consisting of an initialism with periods (like, F.S.U.) should also be made as a separate 4xx field without the periods (FSU). However, if the 4xx reference is made with no periods (like, ABA), then do not add another 4xx the other way.
• For government subheadings beginning with a generic term (Dept., Office, Division, Bureau, etc.), always make an x-ref from the inverted subheading form, e.g., 410 10 $a Florida. $b Legal Affairs, Dept of
• However, for conference names which are not established with the generic term (Conference, Congress, etc.) as the lead-in term, always add an x-ref in the inverted form, like 411 20 $a Conference on Aging, St. Louis (but do not add the $d or $c data qualifiers to this reference).
• Existing NAR's may have "subject-to-name" (550 or 551) xx-refs; these should be deleted if you are replacing the NAR for some other reason.

• wfan --> OCLC command for retrieving a name authority workform
• val --> OCLC command for "validating" your record (the system will detect erroneous use of MARC indicators, subfield codes, etc.)
• s --> "Saves" the record. Remember to type the left bracket when retrieving a saved authority record, e.g., [/54
• sub --> OCLC command for submitting the NAR to the NACO trainer who is reviewing your contributions; later, when we become "independent," we can still use the sub command if we wish to ask a question or seek an opinion from our LC Co-op Cat Liaison (in which case we'll send a separate e-mail message alerting her to look for it).
• si rs --> OCLC command for accessing the "response" file in the save index. This will list all of the submitted NAR's which have been reviewed, and the trainer's or the liaison's response will appear in a 952 field. (Note: it is not necessary to delete the 952 field(s), as these will automatically disappear when the "add" command is given.)
• add --> OCLC command for adding the NAR to the national (oops!, international) file. The NAR will immediately receive an 010 field with a system-supplied LCCN. Recommend waiting until this point to "export" the NAR to local online authority file, if desired. It will be one-two days before the record shows up in the OCLC database or the statewide "lc" resource file.
• lock --> Use this command on an existing NAR which you need to revise. During review period, add 952 stating what changes you made, and then "sub" the record. After favorable response is received, execute the rep command (for "replace").

That's All There Is, There Ain't No More !

Disclaimer:

Back to Law Library Catalog Department