Martha Hanscom

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Basic Authorities Workshop

• Martha Hanscom
• University of Wyoming
• Nancy Kall
• Douglas County Libraries

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Personal Names
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Contents

• Introduction
• NACO
• Authority records
• Cataloging rules
• Searching
• Examples
• Submitting names
• Practice

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Why do Authority Contol?

• All works by or about a person should be found
  together under a standardized name
• Unique heading as an access point for a
  bibliographic record
• References allow searching by variant form

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NARs and the NAF

• Name authority record (NAR) shows authorized form
  and variants
• LC/NACO Authority File (NAF) includes all NARs

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What is NACO?

• Name Authority Cooperative program
• A component of the Program for Cooperative
  Cataloging (PCC)
• Library of Congress is a member of the PCC
• NACO partners contribute name authority records
  to LC database via utilities
• Records are re-distributed via utilities, etc.

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Who is NACO?

• Libraries from around the world
• All different types and sizes of libraries
• Must apply and be accepted into the program
• Agree to follow standards
• Intensive training

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PCC Program Overview
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Authority Record Contribution and Distribution
British Library
OCLC
RLG
LC/NACO AUTHORITY FILE (NAF)
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Documentation

• Anglo-American Cataloguing Rules, 2nd ed,
  revised (AACR2R)
• Library of Congress Rule Interpretations (LCRI)
• MARC 21 Authority Format
• NACO web page

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Authority Records
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Variable fields

• 100 Personal name heading
• 400 See from heading
• 500 See also from heading
• 670 Source data found
• 675 Source data not found

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See reference in card format

• Di, Lady, 1961-1997
• see
• Diana, Princess of Wales, 1961-1997

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See reference (400) in online catalog
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Fixed field
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Fixed field
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Differences NARs vs. bibliographic records

• Some variable fields are used differently
• use 4XX for variants, NOT series fields
• use 5XX for linking NARs, NOT as note fields
• use 6XX as notes and source data, NOT subject
  fields

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Differences NARs vs. bibliographic records

• Fixed field (008) values are different
• Subfield w in authority records is used to
  denote "special relationships" in the 4XX or 5XX
  fields
• 4XX w nne previous AACR2 heading

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Creating Personal Name Authority Records

• Choice of name

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AACR2 22.1

• In general, choose, as the basis of the heading
  for a person, the name by which he or she is
  commonly known.
• This may be the persons real name, pseudonym,
  nickname, initials

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Authors

• Creators of text
• Artists
• Music composers
• Use name found in chief sources of information of
  works by the author (AACR2 22.1B)

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Non-Authors

• Subjects of biographies
• Some performers
• Use reference sources to determine name
• May use item being cataloged as reference source
• Generally use fullest form of name found

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Which name?

• Usually one authority record per person (22.2A)
• Choose one name for 100
• All others in 400s
• Special rules for pseudonyms (22.2B)

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AACR2 22.2 A1

• If a person is known by more than one name,
  choose the name by which the person is clearly
  most commonly known, if there is one. Otherwise,
  choose one name or form of name based on the
  following order of preference
• the name that appears most frequently in the
  persons works
• the name that appears most frequently in
  reference sources
• the latest name

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Different Forms of the Same NameAACR2 22.3

• Choose the form found in 80 of the authors
  works as the most commonly found form -- LCRI
• If no commonly found form, choose the fullest
  form

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Which form?
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AACR2 22.4-22.5

• Most names Surname, First Middle
• See rules for
• Given name only
• Surname only
• Compound surnames
• Surnames with prefixes
• Follow persons preference when known

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Additions to names (AACR2 22.17-18)

• Add birth and death dates whenever they are known
  (LCRI 22.17)
• Add fuller form (in parenthesis) to names that
  contain initials or abbreviations when the full
  form is known with certainty (LCRI 22.18A)

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Adding qualifiers

• Base name Love, J. D.
• Initials stand for John David
• Birth and death dates 1913-2002
• Love, J. D. q (John David), d 1913-2002

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Adding qualifiers

• Base name Love, J.
• Full name John David Love
• Dates 1913-2002
• Love, J. q (John), d 1913-2002

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Conflicts

• Names in the authority file must be unique
• Add dates and qualifiers to resolve conflicts
  (AACR2 22.17-22.20)

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What is a conflict?

• 100s cant match other 100s
• 100s cant match 400s
• 400s cant match 400s in the same record
• But
• 400s can match 400s in different records
• 500s must match a 100 in another record

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Normalization

• These look the same to the computer
• 100 1 Smith-Jones, Barb
• 100 1 Smith Jones, Barb

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100s cant match 400s

• 100 OBrien, John
• 400 OBrien, Jack
• 100 OBrien, Jack
• 400 OBrien, J. (Jack)
• (This is a conflict)

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400s may match 400s

• 100 Potter, Harold
• 400 Potter, Harry
• 100 Potter, Henry
• 400 Potter, Harry
• (No conflicts here!)

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A 500 MUST match a 100 on another authority
record
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Resolving conflicts

• Do research to find additional information
• Contact the person
• Add qualifiers to the name thats already
  established to make that one different
• References (400s) may also need qualifiers
• Undifferentiated name authority record as last
  resort

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Resolving Conflicts
(LCRI 22.17-22.20)

• Resolve conflicts by adding, in order of
  preference
• Full form of initial or abbreviation when known
• Dates add both a) and b) if known
• Distinguishing terms
• Mrs. Dr. Prof. Ph. D. Rev. Captain

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Resolving Conflicts (LCRI
22.17-22.20)

• Full forename when forename chosen for the
  heading is a nickname
• A flourished date pre-20th century
• A century date pre-20th century

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Adding qualifiers to break a conflict

• Base name Love, J.
• Full name John David Love
• 100 1 Love, J. q (John David)

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References

• AACR2 Chapter 26

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AACR2 Chapter 26

• Make a see reference from a form of the name of a
  person that might reasonably be sought to the
  form that has been chosen as a name (AACR2
  26.1B1) (400s)
• If the works of one person are entered under two
  different headings, make a see also reference
  from each heading to the other (AACR2 26.2C1)
  (500s)
• Construct references in the same way that you
  would construct headings (AACR2 26.1F1)

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LCRIs

• Trace a reference from each variant that affects
  the primary elements of the name. (RI 26.2)
• Variations in all elements to the left of the
  comma
• Compound surnames
• Prefixes in surnames
• Variations in the first element to the right of
  the comma
• Not middle names

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Notes
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670 Source data found

• Record information found
• Justify headings and references
• At least one per record

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670 Required Elements(subfield a)

• Title proper of item being cataloged or
  reference source
• Date of publication or viewing

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670 Required Elements (Subfield b)

• Location
• Usage of name being established as found on chief
  source or in a reference source
• Other locations and data found

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Examples

• 670 a Harry Potter and the Chamber of Secrets,
  2002 b title screen (Chris Columbus) credits
  (Christopher Columbus)
• a Personal communication from author, Apr.
  28, 2006 b (full name is Harriet Jean Meyer
  prefers form H.J. Meyer)
• 670 a CoF files, Jan. 21, 2000 b (Arnold
  Pettigrew, b. 1867, d. 1945)

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OCLC headings and usage

• 670 a OCLC, date of search b (hdgs. data
  usage data)
• OCLC database, Apr. 15, 2006 b (hdgs. Love, J.
  D. (John David), 1913- Love, J. D., 1913-
  Love, J. David Love, John David, 1913- Love,
  John David Love, David usage J.D. Love, J.
  David Love, John David Love, David Love)

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Headings

• 100 1 Love, J. D. q (John David), d
  1913- 2002
• 100 1 Love, John David, d 1913-
• 100 1 Love, J. David , d 1913-
• 700 1 Love, David
• 600 10 Love, J. D. q (John David), d 1913-

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Headings
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Usage
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675 Source Data Not Found

• Field is not repeatable only one per NAR
• Subfield a is repeatable and is the only
  subfield allowed (never a b)
• Example
• 675 a Enc. Brit., 15th ed. a WWWest, 1969
  a Dict. Am. Biog., 1957

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Functions of the 675 Field

• To record bibliographic, and at times
  non-bibliographic sources (e.g., phone calls,
  letters)
• To save other catalogers the time of checking the
  same source

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Changes to records
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Changing 100s

• Only for good reasons
• Name change
• Authors personal preference
• Add death date to name with open birth date
• Errors

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Other changes

• Make these changes whenever needed
• Add references
• Add new information in notes

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Name changes

• If a person changes his or her name, the
  authority record for the person is changed to
  reflect the new name or latest name (22.2C1)
• Marriage or divorce
• Religious or professional reasons
• Unless person is better known by old name

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Duplicates

• Duplicate When 2 or more NARs exist for for the
  same person
• Merge info onto one NAR
• LC deletes the duplicate NARs

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Searching
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Searching

• Search NAF, OCLC, other catalogs
• Search to find
• All names the person has used
• Additional information (dates, full names, etc.)
• Conflicts other people with the same name

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Searching

• Search reference sources to find
• Additional information about non-authors
• Additional information to break conflicts

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Reference sources

• The item youre cataloging
• Biographies, histories, local files
• Newspapers
• Websites
• People
• The person youre establishing
• Library staff, local historians

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Record what you find

• The information you use in the authority record
  must be recorded in a note (670) to justify the
  heading and references

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Basic Authorities Workshop

• Nancy Kall
• Catalog Librarian
• Douglas County History Research Center,
• Douglas County Libraries

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Douglas County History Research Center(The
Center)

• Collection began in 1992 with the donation of all
  archival materials of the Douglas County
  Historical Society
• Custodian of materials documenting ? history of
  Douglas County ? people responsible for its
  development
• includes print materials, manuscript collections,
  photographs, oral histories, maps, aerial
  photographs, video materials, and more

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Topics

• The importance of authorities to Douglas County
  Libraries
• Some examples of creating Colorado personal name
  authorities
• Sources of information for historical Colorado
  personal names
• Process for submitting Colorado personal names as
  LC authority candidates

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Douglas County LibrariesWhy authorities?

• Key part of the cataloging of materials for the
  Douglas County History Research Center
• Authors
• Non-authors (i.e. subjects)
• Involvement with CDP played a role
• Colorado authors artists within the librarys
  collection

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Creating Colorado authoritiesresolving conflicts
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Creating Colorado authoritiesresolving conflicts
Personal name
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Creating Colorado authoritiesresolving conflicts
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Creating Colorado authoritiesresolving conflicts
LCRI 22.17-22.20 (Additions to distinguish
identical names)
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Creating Colorado authoritiesexisting OCLC
headings
Carl W. McWilliams
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Creating Colorado authoritiesexisting OCLC
headings
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Creating Colorado authoritiesexisting OCLC
headings
LCRI 22.3A (Existing works/Fullness of name)

• 80 rule (predominant or most commonly found
  form) applies here

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Creating Colorado authorities
the same person?
Robert J. Mutaw
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Creating Colorado authorities
the same person?
Mutaw, Robert John.
Human auditory ossicle variation and function /
?c by Robert John Mutaw.
Human auditory ossicle variation and function
microfilm / ?c by Robert John Mutaw.
Mutaw, Robert J.
Horsetooth Reservoir north shoreline, cultural
resources inventory, Larimer County, Colorado /
?c written by Robert J. Mutaw
Horsetooth Reservoir pool area, final cultural
resources inventory, Larimer County, Colorado /
?c written by Robert J. Mutaw
Horsetooth Reservoir south shoreline, cultural
resources inventory, Larimer County, Colorado /
?c written by Robert J. Mutaw
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Creating Colorado authorities
the same person?

• Question?
• Is someone who does their Ph.D. thesis on small
  bones in the human ear cavity the same as a
  contributing author of works on archaeological
  surveying?
• Answer
• Yes! Confirmed by phone call with authors wife

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Creating Colorado authorities
the same person?
Catalogers judgment applied here
LCRI 22.3A (Existing works/Fullness of name)
80 rule doesnt apply unless you eliminate the
microfilm record in the analysis
LCRI 22.4A (Authors name preference)
All published works beyond thesis used form of
Robert J. Mutaw
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Creating Colorado authorities
the same person?
LCRI 22.18A (Fuller forms of name)
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Creating Colorado authorities
non-author
Would-be developer of Roxborough Park. Formed
Roxborough Land Company to develop the property
into a premier tourist destination. Never
materialized.
Historic Persse Place in todays Roxborough
State Park
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Creating Colorado authorities
non-author

• Existing, related authority record in LC

Grandfather of our subject
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Creating Colorado authorities
non-author
Excerpt from Historical interpretation program
of the Persse Place of Roxborough State Park
(Mitchell)
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Creating Colorado authorities
non-author
LCRI 22.1B 2) (Non-authors)
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Sources of information for historical Colorado
names(beyond the chief one)

• History of Colorado, 1918 (Wilbur Fiske Stone,
  editor)
• Portrait and biographical record of Denver and
  vicinity, Colorado, 1898
• Available online at http//www.memoriallibrary.com
  /CO/1898DenverPB
• Women of consequence the Colorado womens hall
  of fame, 1999 (Varnell)

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Sources of information (contd.)

• Other resources
• Genealogy databases (ex. Ancestry.com)
• Cemetery records other information
• Colorado USGenWeb Project Archives available at
  http//www.rootsweb.com/usgenweb/co/cofiles.htmc
  ntyindex
• Find a Grave, available at http//findagrave.org/
  

?And of course, for both
current and non-current persons
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Sources of information (contd.)

• Colorados Historic Newspaper Collection,
  available at http//www.cdpheritage.org/collection
  /chnc.cfm

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Sources of information (contd.)

• Resources for local area (Douglas County) history
• Fading past the story of Douglas County, 2001
  (Susan Consola Appleby)
• Douglas County a historical journey, 1983
  (Josephine Lowell Marr)
• Our heritage people of Douglas County,1984
  (Douglas County Historical Society)
• Locally compiled lists, etc. (e.g. County
  marriage licenses)
• Biography files of Douglas County people
• Look for sources in your collection that include
  the history of your area

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Verifying information

• sometimes an art

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Confirming information for non-current authors
non-authorsBailey, Bully, or ???
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Bailey, Bully, or ???
(v. 4, p. 381)
Bailey
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Bailey, Bully, or ???
DOUGLAS COUNTY COLORADO MARRIAGE RECORDS BOOK
2 (Copied by Mrs. Donald K. Andersen, 1987)
Bully
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Bailey, Bully, or Bally?
Colorado's Historic Newspaper Collection
Bally
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So Bally it is
LCRI 26.1-26.2 Constructing references and
recording variant forms of names
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Lesson

• Just because its in print (or even online),
  doesnt mean its always right
• For non-current non-authors (especially), need to
  double-check information

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NEXT

• Exercises
• How to submit your personal name candidates to
  include in the LC Authority file
• Discussion on examples you have brought with you

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EXERCISES
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Procedure forsubmitting personal name
authority candidates
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McWilliams example
Different headings usages in OCLC
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Jensen example
Info found source of info
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Submitting the form
Your info
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Questions?