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							Draft Sept. 2008



                         Guidelines for Creating Name Authorities for UW Theses

Name authorities will be created for authors of UW theses when:

       1. Needed to distinguish the author from an existing name in the LC Name Authority File (NAF)
       2. Multiple forms of the author’s name appears in the resource and in the UW Space metadata

The rules for choosing the form of the name are found in AACR2 chapter 22 and in the accompanying
LCRIs. Several things need to be determined before creating a name authority:

       1. What form of name should be used as the basis for the heading, i.e. the $a portion of the 100
          tag
       2. Does the chosen form of name conflict with an already established name heading in the LC NAF
               If so, what can be added to resolve the conflict
       3. What references do I need to make for other forms of the name

Choosing the form of name for the name heading

AACR2 instructs us to use the “name by which someone is commonly known” as the basis for the name
heading. This is what will appear in the $a portion of the 100 tag. For new authors, “commonly known”
is determined by the form of the name that appears on the chief sources of information of the works by
that author. The chief source of information for a thesis is the title page (or the title page image if you
are working with the electronic version). Therefore, if you have one form of the name on the title page
and another form in UW Space, then the form on the title page will be used as the basis for the name
heading.

E.g.
          Thesis title page: Fraser Dow
          UW Space metadata: Dow, Fraser Alexander
          Basis of name heading: Fraser Dow

         In this case, “Fraser Alexander” will be taken into consideration if needed for resolving a conflict
or if needed for adding a reference, the next steps in constructing a heading. We will not automatically
qualify by the fuller name; we will use the information in the authority record to change the authority at
a later date if needed.

If you have different forms of name on the Master’s thesis and on the PhD thesis use the form that came
first (i.e. the Master’s thesis) but make a reference from the form that you find in the PhD thesis.

          e.g. Master’s thesis: Gordon Adomdza
                  PhD thesis: Gordon Kwesi Adomdza

          Use Gordon Adomdza as the basis for the heading.
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Resolving conflicts by making additions to the name heading

If the form of the name you have chosen conflicts with someone else in the LC NAF then you can add to
the name heading:

    1. Dates
       e.g.    Wang, Kai, $d 1977-
       note: dates are preferred over using a title such as “Jr.”. Generally “Jr.” is not added to a name
       heading. You can get the birth date by contacting the Grad Office.

         NOTE: in this case there are no references, so you do not need to create a name authority; just
         add the date to the 100 tag in the bib record.

    2. A fuller form of the name
       e.g.     McFadden, Elizabeth $q (Elizabeth Jay)

         Thesis title page: Elizabeth McFadden
         UW Space metadata: Elizabeth Jay McFadden
         Conflict in NAF: yes, there is already an Elizabeth McFadden

Note: we only qualified by Elizabeth Jay because there was a conflict in the NAF. Otherwise, the fuller
form would just have been in the reference only.


Making References for different forms of the name

References are needed for:
    1. Other forms of the name that appear on the item
       e.g.    100 $a McFadden, Elizabeth $q (Elizabeth Jay)
               400 $a McFadden, Elizabeth Jay

    2. Parts of a compound surname
       e.g.     100 $a Bastos Lima, Mairon Giovani
                400 $a Lima, Mairon Giovani Bastos

    3. Names with prefixes
       e.g.  100 $a Al-Dahleh, Reena
             400 $a Dahleh, Reena Al-
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Special cases

    1. Authors who record their surname before their personal name
       Use the title page as your guide and assume that the format is First name Last name. If UW
       Space has the names in the opposite order, add a reference.

         e.g.      Title page: Shunde Yin
                   UW Space: Shunde, Yin

                   100 $a Yin, Shunde
                   400 $a Shunde, Yin

         In some situations, if you are confident that the UW Space order is in fact the correct order, you
         can establish the 100 based on UW Space:

         e.g.      Title page: Xu Jingjing
                   UW Space: Xu, Jingjing

                   100 $a Xu, Jingjing
                   400 $a Jingjing, Xu

    2. Authors with a personal name in their original language and another name that they use as an
       alternate
       e.g.    Title page: Kaixian (Max) Hu

                   100 $a Hu, Kaixian, $d 1974-
                   400 $a Hu, Max

         However, if it isn’t clear by typography that that other name is an alternate, treat as a regular
         name:

                   Title page: Simon Ningsun Zhou
                   UWSpace: Ningsun Zhou

                   100 $aZhou, Simon Ningsun
                   400 $aZhou, Ningsun


Creating the name authority in Voyager

    1. Put the correct form of the name in the 100 tag of your bibliographic record.

    2. Save the record to the database to bring up the Validation screen.

    3. On the validation screen you can click on your author’s name and then click on the “create auth”
       button:
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    4. A new authority should be opened using the “theses-name” template. If not, ask your supervisor
       to map this template to your preferences:
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    5. Edit the authority record.
           a. The Voyager program automatically creates a dummy 040 which needs to be deleted.

              b. Check the 670 for correctness:




The 670 is the source that the information was found. It cites the main entry, the title of the book and
the date. Then in the $b it shows the source that you used for the form of the name and how that form
appeared on that source.

If you are adding a different form of the name in the 400 tag you will need to add your source in the 670
tag:
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Examples

Word birds ‡h [electronic resource] : ‡b an exhibition of drawing and sculpture / ‡c by Amy Switzer.

UWSpace: http://hdl.handle.net/10012/3673
                              Title: Word Birds
                           Authors: Switzer, Amy Elizabeth

Authority record:




Transitions ‡h [electronic resource] : ‡b an exhibition of installation art / ‡c by Daria Magas-Zamaria.

UWSpace: http://hdl.handle.net/10012/3749 (same as t.p.)

Authority record:




Geology, geochemistry and Cr-Ni-Cu-PGE mineralization of the Bird River sill ‡h [electronic resource] : ‡b
evidence for a multiple intrusion model / ‡c by Caroline A. Mealin.

UWSpace: http://hdl.handle.net/10012/3651

   Title: Geology, geochemistry and Cr-Ni-Cu-PGE mineralization of the
          Bird River sill: Evidence for a multiple intrusion model
Authors: Mealin, Caroline

Authority: