Authority Work Procedures:
Verifying and Establishing Headings

Introduction

The following instructions deal with procedures for performing in-house name and uniform title authority work.  These instructions do not apply to series, geographic, or topical subject heading authority work; they also do not deal with verifying and establishing literary class numbers.

The procedures vary somewhat, depending upon the type of bib record copy in which the heading appears, so these instructions are generally broken down by type of copy.

General Notes

1. Variant forms:  Search all possible forms of the heading, truncating online search keys when possible (for example, to incorporate first initials as well as spelled-out first names).  Examine the piece quickly for variants if necessary.

   If, at any point during your searching, you learn of another possible form of the heading, go back and repeat earlier searching steps, including a search in the LC/NACO file.  For example, if you find a reference to an author’s real name when you previously knew only the pseudonym, re-search the LC/NACO file for the real name.

2. 1xx and 5xx relationships:  Local authority records:
   • 5xx in Voyager:  If, in performing authority work on one name (most frequently a corporate name), you encounter a related name, provide that related heading as a 5xx reference in your authority record if you find it as a heading in the Voyager bib file.  If you do not find a record for that 5xx heading in the LC/NACO file, you may use the form found in Voyager.

   • 5xx not in Voyager:  In other cases when you have found adequate information in the course of establishing the 1xx heading, you may also provide 5xx tracings; however, you do not need to search simply to provide a verified heading in a 5xx tracing if the related heading is not in Voyager.

3. Order of steps:  The following outlines are intended as guidelines on the steps to follow.  You may use judgment as to the order of the steps, as long as all necessary steps are covered.  Do not stop searching before you have found a heading with a source acceptable for your category of cataloguing.

   For example, in copy cataloguing, if you recall verifying the same heading recently, you may prefer to begin by simply searching the Voyager authority file.

4. Suspected problems:  If you suspect a problem in a heading that you find in an acceptable source for your type of bib record copy:  Unless other procedures are specified, go on to the next step and continue until the problem is resolved.

5. Searching Voyager:

   See also “Voyager Authority Searching.”

   • Search the Voyager authority file as well as the bib file.  Within the bib file, use, as applicable:
     • Staff Name Headings Search
     • Staff Name/Title Headings Search
     • Staff Title Headings Search.

     • If the person, body, or title is likely to be found as a subject, also search using the Staff Subject Headings Search.

   • Look at the form(s) of the name or title in the body of the bib records (primarily the 245, 500 quoted note, and 505 fields) — the usage — as well as at the heading itself, for possible cross-references, as well as, in some cases, to resolve problems.

   • Beware of names and titles in Voyager bib records that lack diacritics where you would expect them.  This problem occurs most often in records with former NOTIS bib record numbers (in 035 field, $9 subfield) beginning with “A.”  If there is a possibility that a missing diacritic should be present in the name or title, check the OCLC bib file or our shelflist.

6. NLC:  The term “NLC” is used here to refer only to English-language National Library of Canada records (040 $a NLC $b eng $c NLC or 040 $a Ca ... $b eng $c NLC).  French-language NLC records (with 040 $b fre) should be treated as any other OCLC-member copy.

7. Cross-references:  Please see “Useful Types of Cross-References and Additional Information about Headings.”  Keep in mind variant forms found in the piece as well as variant headings and usage that you find while searching outside sources.  Once you have established an acceptable heading for your category of bib record copy, however, there is no need to continue searching just to find cross-references.

8. Authority records:  Once you have verified or established an acceptable heading:
   • Local authority records:  Provide or edit an authority record if applicable based on the criteria outlined in “Useful Types of Cross-References and Additional Information about Headings.”

     For guidelines on how to create and edit local authority records, noting the information that you find while carrying out authority work, please see “Authority Record Creation in Voyager.”

   • NACO authority records:  If you have been trained to create NACO authority records or to do NACO revision of records, provide authority records whenever you can reasonably do so.  For guidelines on creating NACO records, please see "NACO Authority Records:  Creating New NACO Records."

9. Abbreviations:  For the significance of abbreviations used in this document, see the appendix.  [Not yet in HTML document.]

10. Unresolved problems and questions:  If after following (or attempting to follow) these instructions, you still encounter problems, have difficulty making a decision, or have any other questions, please consult with your trainer or the Database Management/Authority Control Librarian.

HTML document last reviewed:  24 March 2004