Section VI, Chapter A
Name and Title Authority Guidelines for Catalogers
1. INTRODUCTION
With two exceptions, Rice does not, in general, make authority records for name headings requiring no cross references. However, authority records are made for all music headings, both personal and corporate, and for corporate headings for online service providers. This is because these headings are used constantly, and work is expedited if corresponding authority records do not have to be looked up each time a heading is used.
Check unauthorized headings in the authority file to make sure they are not displaying as unauthorized because of an error in the form of the heading. If no authority record is found in the Sirsi authority file, check the LC authority file (LCNA) for the correct form. In the following cases, send DBM printouts of LCNA records or printouts of bibliographic records with the headings marked. Put your initials on each sheet.
2. PERSONAL NAMES
2.1 Names varying in form from the name as it appears on the title page
Title page:
By Mrs. Edward McClure Peters.
Correct entry:
100 1_ Peters, Eleanor Bradley, |d b. 1855.
Reference:
400 1_ Peters, Edward McClure, |c Mrs., |d b.1855.
Example VII.A.1
Title page:
By Melissa Andrews.
Correct entry:
100 1_ McAdams, Melissa Andrews, |d 1972-
Reference:
400 1_ Andrews, Melissa, |d 1972-
Example VII.A.2
2.2 Pseudonyms
Title page:
By Pablo Neruda.
Correct entry:
100 1_ Neruda, Pablo, |d 1904-1973
References:
400 1_ Reyes, Neftalí Ricardo, |d 1904-1973
400 1_ Basoalto, Neftalí Ricardo Reyes, |d 1904-1973
400 1_ Reyes Basoalto, Neftalí Ricardo, |d 1904-1973
Example VII.A.3
Title page:
By Elizabeth Peters.
Correct entry:
100 1_ Peters, Elizabeth
Reference:
500 1_ Mertz, Barbara
Note:
663 __ Works by this author are entered under the name used in the item. For a listing of other names used by this author, search also under: Mertz, Barbara, 1927-
Example VII.A.4
2.3 Compound names
Title page:
By Federico García Lorca.
Correct entry:
100 1_ García Lorca, Federico, |d 1898-1936
Reference:
400 1_ Lorca, Federico García, |d 1898-1936
Example VII.A.5
Title page:
By Delfina Molina y Vedia.
Correct entry:
100 1_ Molina y Vedia, Delfina
Reference:
400 1_ Vedia, Delfina Molina y
Example VII.A.6
2.4 Names with prefixes
Title page:
By Isabel de la Cruz Cabanillas.
Correct entry:
100 1_ Cruz Cabanillas, Isabel de la
References:
400 1_ Cabanillas, Isabel de la Cruz
400 1_ De la Cruz Cabanillas, Isabel
400 1_ La Cruz Cabanillas, Isabel de
Example VII.A.7
Title page:
By Paul Du Bois-Reymond.
Correct entry:
100 1_ Du Bois-Reymond, Paul, |d 1831-1889
References:
400 1_ Bois-Reymond, Paul du, |d 1831-1889
400 1_ Reymond, Paul du Bois-, |d 1831-1889
Example VII.A.8
Title page:
By Guillaume de Lorris.
Correct entry:
100 0_ Guillaume, |c de Lorris, |d fl. 1230
References:
400 1_ De Loris, Guillaume, |d fl. 1230
400 1_ Loris, Guillaume de, |d fl. 1230
Example VII.A.9
2.5 Surname entry, with full forename(s); reference from two or more forename
initials
Title page:
By G. G. Lunt.
Correct entry:
100 1_ Lunt, George G.
Reference:
400 1_ Lunt, G. G.
Example VII.A.10
2.6 Surname entry, with initials for forename(s); reference from full forenames
Title page:
By J. K. Rowling.
Correct entry:
100 1_ Rowling, J. K.
Reference:
400 1_ Rowling, Joanne Kathleen
Example VII.A.11
2.7 Entry contains |q
Title page:
By G. H. Peters.
Correct entry:
100 1_ Peters, G. H. |q(George Henry), |d 1934-
Reference:
400 1_ Peters, George Henry, |d 1934-
Example VII.A.12
3. PERSONAL NAMES NOT TO BE SENT
3.1 Surname entry; references from a less full form of forenames (unless reference is from two initials or one initial and a middle name)
Title page:
By Roy Strong.
Correct entry:
100 1_ Strong, Roy C.
Reference:
400 1_ Strong, Roy
Example VII.A.15
Title page:
By David N. Alloway.
Correct entry:
100 1_ Alloway, David Nelson
Reference:
400 1_ Alloway, David N.
Example VII.A.16
Exception: The following type of reference provides additional information.
Title page:
By John Arnold.
Correct entry:
100 1_ Arnold, John Floyd
Reference:
400 1_ Arnold, John, |d 1935-
Example VII.A.17
4. CORPORATE AND CONFERENCE NAMES
4.1 Names with variant forms, either in English or other languages
Title page:
Issued by Unesco.
Correct entry:
110 2_ Unesco
References:
410 2_ United Nations. |b Educational, Scientific, and Cultural Organization
410 2_ Organisation des Nations Unies pour l’éducation, la science et la culture
410 2_ Organización de las Naciones Unidas para la Educación, la Ciencia y la Cultura
410 2_ U.N.E.S.C.O.
Example VII.A.18
Title page:
Conference of Paris
Correct entry:
111 2_ Paris Peace Conference |d (1946)
References:
411 2_ Peace Conference to consider the Draft Treaties of Peace with Italy, Rumania, Bulgaria, Hungary and Finland |d (1946)
411 2_ Paris Conference |d (1946)
411 2_ Conference of Paris |d (1946)
411 2_ Conférence de la paix de Paris |d (1946)
411 2_ Pariser Konferenz |d (1946)
Example VII.A.19
4.2 Authority records with helpful information notes (670s)
Title page:
Rice Institute
Correct entry:
110 2_ Rice University
References
410 2_ Rice Institute
410 2_ William Marsh Rice University
410 2_ William Marsh Rice Institute
670 __ Am. univ. and colleges, 11th ed. |b(Rice University chartered as William M. Rice Institute, 1891; first college-level instruction 1912; 1960 official name became William Marsh Rice University)
Example VII.A.20
5. CORPORATE AND CONFERENCE NAMES NOT TO BE SENT
5.1 Authority records when the only variation between the correct heading and the
reference is the form of punctuation or the addition of a subfield code
Title page:
Issued by the Texas State Board of Examiners of Professional Counselors
Correct entry:
110 2_ Texas State Board of Examiners of Professional Counselors
Reference:
410 1_ Texas. |b State Board of Examiners of Professional Counselors
Example VII.A.21
Title:
Nineteenth-century Houston.
Correct subject entry form:
151 0_ Houston (Tex.)
Reference:
451 0_ Houston, Tex.
Example VII.A.22
5.2 Names of conferences when the only cross reference is from place
Title page:
Conference on Global Warming, Houston, July 22, 1998
Correct entry:
111 2_ Conference on Global Warming |d (1998 : |c Houston, Tex.)
Reference:
411 1_ Houston (Tex.) |q Conference on Global Warming |d(1998)
Example VII.A.23
5.3 Authority records for subordinate bodies entered under a parent body, if the only variation is in subfield a
Title page:
Historisches Institut, Universitat Mannheim.
Correct entry:
110 2_ Universität Mannheim. |b Historisches Institut
Reference:
410 2_ Mannheim (Germany). |b Universität. |b Historisches Institut
Example VII.A.24
Note: Variations in the form of the name in subfield a will be handled in a second authority record for the parent body. If there is no authority record for a parent body with variant forms of name, please send a printout to DBM.
Correct entry:
110 2_ Universität Mannheim.
References:
410 2_ Mannheim (Germany). |b Universität.
Example VII.A.25
5.4 Authority records with references that simply delete or place at the end of the entry the initial word(s) of a name
Title page:
NATO Advanced Research Workshop on Molecular and Cellular Processes
Correct entry:
111 2_ NATO Advanced Research Workshop on Molecular and Cellular Processes |d (1986 : |c Paris, France)
References:
411 2_ Advanced Research Workshop on Molecular and Cellular Processes, NATO
411 2_ Workshop on Molecular and Cellular Processes, NATO Advanced Research
Example VII.A.26
6. GEOGRAPHIC NAMES
6.1 Names with variant forms, unless the only variation is in punctuation
Title page:
Wien, die Hauptstadt Österreichs.
Correct subject entry form:
151 _0 Vienna (Austria)
References:
451 _0 Wien (Austria)
451 _0 Vindobona (Austria)
451 _0 Vienne (Austria)
Example VII.A.27
6.2. Names with helpful information notes (670s), even if there are no cross references
Title page:
Saint Petersburg; the city of the czars.
Correct entry:
151 _0 Saint Petersburg (Russia)
References:
451 _0 Peterburg (Russia)
451 _0 St. Petersburg (Russia)
551 _0 Petrograd (R.S.F.S.R.)
551 _0 Leningrad (R.S.F.S.R.)
670 __ Officially renamed from Leningrad on 23 October 1991; earlier names: Petrograd (1914-1924), Leningrad (1924-1991)
Example VII.A.28
7. UNIFORM TITLES
7.1 Anonymous classics
Title page:
Mocedades de Rodrigo.
Correct entry:
130 0_ Crónica rimada del Cid
References:
430 0_ Mocedades del Cid
430 0_ Cantar de Rodrigo
430 0_ Poema de Rodrigo
430 0_ Mocedades de Rodrigo
Example VII.A.29
7.2 Works of voluminous authors where title varies
Title page:
Gli affanni del Giovane Verter.
Correct entry:
100 1_ Goethe, Johann Wolfgang von, |d 1749-1832. |t Werther. |l Italian
Reference:
400 1_ Goethe, Johann Wolfgang von, |d 1749-1832. |t Leiden des jungen Werthers
Example VII.A.30
7.3 Music
Title page:
The Marriage of Figaro.
Correct entry:
100 1_ Mozart, Wolfgang Amadeus, |d 1756-1791. |t Nozze di Figaro
References:
400 1_ Mozart, Wolfgang Amadeus, |d 1756-1791. |t Noces de Figaro
400 1_ Mozart, Wolfgang Amadeus, |d 1756-1791. |t Hochzeit des Figaro
400 1_ Mozart, Wolfgang Amadeus, |d 1756-1791. |t Marriage of Figaro
400 1_ Mozart, Wolfgang Amadeus, |d 1756-1791. |t Mariage de Figaro
400 1_ Mozart, Wolfgang Amadeus, |d 1756-1791. |t Figaros Hochzeit
400 1_ Mozart, Wolfgang Amadeus, |d 1756-1791. |t Topsy-turvy day
Example VII.A.31
8. UNIFORM TITLES NOT TO BE SENT
8.1 Authorities for translations of current works
Title page:
Portrait in sepia, by Isabel Allende.
Correct entry:
100 1_ Allende, Isabel. |t Retrato en sepia. |l English
Example VII.A.32
Exception: If a subject heading consists of an author/uniform title entry for a current work known under a variant title or titles, an authority record should be made.
Title page:
Isabel Allende : Hija de la fortuna : rediagramación fronteriza del saber histórico.
Correct subject entry:
600 1_ Allende, Isabel. |t Hija de la fortuna.
Reference:
400 1_ Allende, Isabel. |t Daughter of fortune
Example VII.A.33
Prepared by: Shirley Wetzel and Keith Chapman
Last updated: February 19, 2013
Index terms: Name authorities, corporate names, uniform titles,