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Authority procedures for catalogers

DLC and other exempt class records

No manual verification of name headings is required for 040 DLC|cDLC, pcc, or lccopycat records. Our authority processing vendor will verify headings in new bib records on a monthly basis. The cataloger should eyeball to make sure that the headings being traced on the record do belong to the item in hand and do not contain typographical errors. Where 050 contains a series class number, the cataloger should check the series in 440/830 against the Unicorn authority file to check for local classification policy.

Contributed records

Personal and corporate headings

Generally, no manual verification is needed.  Accept the form used on the contributed record.  Follow AACR2 and departmental policy to evaluate whether a particular name should be traced.  Follow steps listed under Original Cataloging below when adding headings not already on the record being worked on. Refer added headings to authority review when there appear to be variant forms of the name on the piece or name conflicts in reference sources consulted.

Conference headings

Search the name portion of the heading against the NCSU catalog using either WorkFlows or the OPAC.

1. If exact match on form of name is found, accept the name as is. Check the call number on earlier records to see if your title is part of a classed together meeting.
2. If the form on the record being worked on is slightly different from what appears in other catalog entries but the conference is believed to be the same, check the LC name authority file using LC Web authorities, the Browse authority wizard in Workflows, or OCLC for an authority record for the conference. If the form of name used on your title matches a 4xx of the NAF record, adjust the form on the bib record to match the NAF 1xx. If not, or if neither form of heading is represented in the NAF at all, refer your conference name to authority review to have an authority record with the cross-reference added. Check the call number on earlier records to see if your title is part of a classed together meeting.
3. If no match (exact or slightly different form of name) is found in the catalog, but the form used on the record is the same as what appears on the chief source of information, accept the name as is. If other forms of the conference name also appear on the piece, or if cross-references seem warranted, look up the name in the NAF, referring the work to authority review if no NAF heading matches.

Uniform titles

In general, no verification is needed for uniform titles entered under personal names (e.g. 100 with 240 or 700|a|t) or for uniform titles on periodical records where the 130 is simply the 245 with a qualifier such as date, publisher, language, or format ("Online").

For uniform titles traced as 130/630/730, search the Library of Congress authority file, WorkFlows Search Authority wizard, or OCLC NAF for exact match (i.e. all components of the heading). If no authoritative form is found in the LC authority file, send the piece for authority review.

Series

Make sure that the transcribed form (4xx) matches the information presented on the item itself. With the transcribed form:

1. Using the WorkFlows Search Authority wizard, first search the local authority file (Index: LCNAME) for a match on authorized form (A) or a cross-ref (x). The Unicorn NAF is our repository of series policy decisions in terms of whether to analyze, class together, trace, etc. Local variations on LC practice will be flagged by the presence of |5NcRC in a particular field.
1. If exact match between piece and NAF 1xx found, this is your 440.
2. If exact match between piece and NAF 4xx found, this is your 490 and NAF 1xx belongs in bib 830 or, far less commonly, an 800 or 810.
2. If no record is found in our local NAF, next search the LC name authority file using the LC authorities Web form or the OCLC authority file. If you have been trained to do so, create a new series authority record for the series in Unicorn. Place material with completed series work on the series question shelf for verification of policy decisions on tracing, classing together, etc.
3. If no matching authority record is available from any source, search bibliographic records in WorkFlows using the Browse Series wizard or the OPAC using Series as search type:
1. If exact match found, accept form from copy and tag as 440
2. If no exact match found but believe the item in hand belongs to the same series:
1. Tag series on copy as 490 with first indicator value 1
2. Copy the form found in field 440 or 830 from the pre-existing catalog record to field 830 on new record.
Note: for steps a) and b) check also if the series is classed together. Hint: if the numbering designation in 4xx|v (e.g., v. 23) is used in the 050/090, it is likely to be a classed together series.

4. If no bib records with the series are found in any of the above sources, refer piece to series review shelf. If you have been trained to do so, you may first create the new authority record for the series in Unicorn.

Original records

SPA catalogers:

1. Establish 1xx, 240, 4xx, 6xx, 7xx and 8xx using forms of names presented on the piece itself. Search for authoritative forms of names in one of the sources listed under Contributed records above.
1. If match found, use heading as is. Mark heading on printout with NAF.
2. If match not found, leave the form as it appears in the item. Mark heading on printout with °NAF
2. Route the piece with printout indicating authority work done to Authority Shelf if some headings marked as °NAF and x-refs are required; else place on Completion Shelf.

Completion, series review, and authority shelf catalogers:

1. Evaluate headings as part of the review process, following AACR2 guidelines
2. Establish the authoritative form of the heading following the guidelines in the document Cross reference structure in the NCSU catalog
1. If no authority record is deemed necessary, OK headings and return item to the SPA cataloger
2. If authority record is needed, do needed reference work, create heading and cross-refs in WorkFlows and return item to the SPA cataloger.
3. Resolve any conflicts discovered in the catalog during the research leading up to authority record creation, delegating work if appropriate.

Revised 16 June 2005