Yale Policies for NACO Name Authority Records
This document sets forth Yale University Library policies for creating, updating, and importing NACO name, uniform title, and name-title authority records (NARs). It is intended to supplement, not replace, standard documentation issued by the Library of Congress (LC) and the Program for Cooperative Cataloging (PCC).
1. Creating New NARS
1A. Where to Create New NARs
Create all new NARs in the OCLC authority file according to Yale's NACO workflow.
Do not create new NARs in ORBIS.
As a general rule, create new NARs whenever one or more of the following criteria apply:
- the name, uniform title, or name-title requires cross reference(s)
- the name, uniform title, or name-title needs to be distinguished from a similar entity
- the name, uniform title, or name-title will be traced in a BIBCO record
- the name, uniform title, or name-title is represented by a local NAR*
*Note: Local NARs lack an 010 field. These records were created in ORBIS, rather than contributed to NACO, in accordance with former Yale policy. The local NAR should be deleted from ORBIS after the NACO record is created.
New NARs may be created in other situations if desired but they are not mandatory.
However, keep in mind that these are general criteria only and you may use judgment in deciding whether or not to establish a heading. You may opt not to create a NAR if a heading is particularly problematic, you do not have sufficient information, or you think the NAR will not be all that useful. The latter is especially true of uniform title and name-title headings. For example, if a bibliographic record isn't being coded for BIBCO and the only cross-reference needed in the NAR would be for the title in the 245 field of the bib record, it is permissable to add a 240 field to the bib record without creating a NAR for the name-title heading. This is because the bib record is retrievable in Orbis using a variety of searches. Example:
100 1 $a Dickens, Charles, $ d 1812-1870. 240 1 0 $a Christmas stories. $l German 245 1 0 $a Weihnachtsgeschichten. The bib record can be retrived using any one of these searches:
Title = christmas stories german
Title = weihnachtsgeschichten
Staff Name-Title = dickens charles 1812 1870 christmas stories germanOnly this search will not retrieve the bib record:
Staff Name-Title = dickens charles 1812 1870 weihnachtsgeschichten
1C. Special Policy for Southeast Asia Collection
The Southeast Asia Collection will create new NARs according to the above criteria with one exception: personal name headings that would require cross-references need not be established if they are first-time authors in the Yale catalog. This policy reflects the limited staffing in this unit, the limited number of Southeast Asian names being established by PCC catalogers worldwide, and the reality that nearly every Southeast Asian name requires cross references.
1D. Optional Fields in New NARs
Including the following fields in new NARs is optional: 043, 053, 781.
043 Fields: Geographic Area Codes
Optional practice: In a NAR for a geographic name heading (coded 151), you may include an 043 field giving the geographic area code. Both indicators should be blank. No justification is needed in a 670 field.
043 $an-us-wa 151 $aSeattle (Wash.) For more information, see the MARC Code List for Geographic Areas, the LC Descriptive Cataloging Manual (DCM Z1 043 field), and the NACO Participants' Manual (NPM p. 21: section I, 043 field).
053 Fields: LC Classification Numbers for Literary Authors
Optional practice: You may record an LC classification number for a literary author in an 053 field in a NAR only in one of the two following situations: you find the number in the 050 of a bibliographic record created and input by LC (040 $a DLC $c DLC) or you have requested an 053 from LC using their online request form. If adding an 053 field, only the $a portion of the full call number is to be recorded. The second indicator should be 0. No justification is needed in a 670 field.
053 fields should never be used on undifferentiated name records or to record PZ numbers.
Multiple 053 fields may be used for literary authors who write in more than one language. Qualify the 053 with the language in $c (without using parentheses) in such cases.
053 0 $aPS3527.A15$cEnglish 053 0 $aPG3476.N3$cRussian For more information, see the LC Classification Manual (SCM F 632), the LC Descriptive Cataloging Manual (DCM Z1 053 field), and the NACO Participants' Manual (NPM p. 22: section I, 053 field).
If you want to record an LC classification number in a NAR and you cannot do it using an 053 field, update the record in ORBIS using an 090 field (see below).
781 Fields: Geographic Subdivision
Optional practice: In a NAR for a geographic name heading (coded 151), you may include a 781 field giving the form of the heading to be used in a geographic subdivision. The second indicator in the 781 field should be 0. No justification is needed in a 670 field.
151 $aSydney (N.S.W.) 781 0 $zAustralia$zSydney (N.S.W.) Do not add a 781 field to a record for a geographic name heading that is not appropriate for use as a subject added entry (008/15 value "b"), such as the earlier name of a jurisdiction that has undergone a linear name change, for example, Ceylon.
Please use caution when exercising this option! Make sure you are constructing the geographic subdivision correctly. For more information, see the LC Subject Cataloging Manual (SCM H 690 through SCM H 1055), the LC Descriptive Cataloging Manual (DCM Z1 781 field), and the NACO Participants' Manual (NPM p. 67: section I, 781 field).
2. Updating Existing NARs
Update a NAR in OCLC if making national-level changes. National-level changes include such things as:
- changing fixed fields, headings, and cross references
- adding new 4XX, 5XX, 667, 670, and 675 fields
- adding new 043, 053, and 781 fields (optional practices)
- the heading is needed in current cataloging, the death date is readily available, and you have chosen to exercise the option
- the heading is being updated for another reason and the death date is readily available
- the death date is needed to resolve a conflict with another heading
- a patron has requested the addition of the death date to the heading
- a staff member has requested the addition of the death date because the person represented by the heading has strong associations with Yale or the greater New Haven area (e.g. a well-known faculty member, community leader, or local author) or the person is the primary subject of a locally-sponsored event (e.g. a conference, exhibition, or lecture)
Update a NAR in ORBIS if making local changes. Local changes include such things as:
- adding classification numbers in 090 fields (optional practice)
- recording local notes in 690 fields (optional practice)
It might be necessary to import the NAR from LCDB or OCLC into ORBIS before making the update.
090 Fields: LC Classification Numbers (update in ORBIS)
Optional practice: You may add an 090 field to the NAR in ORBIS to record an LC classification number for a literary author if the number cannot be recorded in an 053 field in OCLC (e.g. PZ numbers for juvenile literature). Example:
Before After 053 0 PS3558.A4636 053 0 PS3558.A4636 090 PZ7.S6795 <for juvenile lit.> 090 Fields: Other Classification Numbers (update in ORBIS)
Optional practice: You may add an 090 field to a NAR in ORBIS to record a local Yale (non-LC) classification number for a person. Preface the classification number with the Yale location to which it pertains. Example:
Before After 053 0 PS3503.E4488 053 0 PS3503.E4488 090 BEIN: Zab B4173 690 Fields: Local Notes (update in ORBIS)
Optional practice: You may add a 690 field to a NAR in ORBIS to record a local note relating to the heading. Do not add 690 fields as a matter of course!
3. Importing NARs
As a general rule, do not import NARs into ORBIS from LCDB or the utilities. MARS will send us the NARs as a result of weekly bib record processing. However, you may import a NAR if you need to update it in ORBIS with local information.
Authority records are imported from LCDB and the utilities in the same way that bib records are imported.