Authority Work Procedures:
Verifying and Establishing Headings

Introduction

Some of the original cataloguing procedures for verifying and establishing name and uniform title headings are likely to change once arrangements for an external authorities vendor have been made and in-house authorities workflow has been determined, if not before then.

This document represents a preliminary revision of our verification and establishment procedures of 1991, to be used when doing original cataloguing.

The introduction to the 1991 document, as annotated in 1999, should also be consulted.  For further details, please ask your trainer or the Database Management/Authority Control Librarian.

You may expect some changes to these procedures!

Please note:

• Sequence of steps:  Follow these steps until you have either found an acceptable heading or have reached the point of needing to create one.  In many cases, you may stop with step 1.  At any point, if you have any questions, consult with your trainer or the Database Management/Authority Control Librarian.

• AACR2/LCRI rules:  These guidelines do not attempt to explain specific AACR2/LCRI rules to be used in establishing a heading.  The understanding is that either you are already familiar with those rules or you will consult them.

• NACO records:  The verification procedures listed here do not make the assumption that you will be creating a NACO authority record if the heading needs to be established, although in many cases you will be doing so.  The steps for verifying a heading are essentially the same whether a NACO record or a local Voyager authority record is created.

  For more information on deciding whether to create a NACO record, see step 8 below.  For more information on creating NACO records, see “NACO Authority Records:  Creating New NACO Records.”

• Creating Voyager authority record:  If you are not creating a NACO record:  Generally create a local Voyager authority record, to document your tentative decisions in problematic situations.  The exception:  you do not need to create an authority record for a generic uniform title heading (e.g., 100 1 Pfefferkorn, Amadeus. $t Plays. $k Selections).

  For more information on deciding whether to create a Voyager authority record, see step 8 below.

• Editing authority record:  References to needed editing of authority records appear repeatedly in the instructions below.  Editing existing authority records, either in the LC/NACO file or locally, is necessary if you are changing the heading and is useful if you find additional cross-references or other useful information in the course of verifying a heading.  For more information on creating and editing authority records, see step 8 below.

• Printing out records:  The instructions also indicate in various situations that you should print out records.  If there are a large number of records (particularly in the OCLC bib file), you may prefer to take notes instead, unless you find complex problems.

  If you have a question about a complex problem that involves many records, first consult with your trainer or the Database Management/Authority Control Librarian, since (s)he may be able to consult the records online with you and thus save some time and paper.

• Examples:  Some examples below are real, while others are imaginary.  You should not have too much difficulty distinguishing the types of examples in most cases, but some are identified.

Searching steps

[Online searching:  Steps 1-4]

1. Search the LC/NACO authority file in OCLC.

   If you find:

   • Single authority record:
     • Heading that appears correct and is coded AACR2 or AACR2-compatible (Rules c or d):
       • Accept the heading.  Make sure that your bib record heading matches the authority record form (e.g., by copying and pasting).  See also "Original Cataloguing Workflow:  Perform authority checking."

       • If any authority record editing is needed, go on to step 8.

     • Heading that appears problematic, including a non-AACR2 heading:  Print record out.  Continue searching (step 2).

       E.g.    Your piece:

           Marco Aurelio Bosco Méndez         [imaginary]

       LC/NACO authority record, for author writing on same topics (based on 670):

            100 1  $a Bosco Méndez, Marco M.

       Problem:  middle initial conflict.

       E.g.    Your piece:

           Issued at some time or another by the Duchy of Grand Fenwick,

           Department of Hopeless Confusion

       LC/NACO authority record:

            710 1  $a Grand Fenwick (Duchy). $b Dept. of Utter Confusion

       Problem:  Possible name change.

   • Multiple authority records:  Print them out.  Continue searching (step 2).

     E.g.    Sweetman, P. David (n 87904718)

             670: Archaeological inventory of County Monaghan [Ireland]

     Sweetman, David (n 96068805)

             670: Irish castles and fortified houses ... (David Sweetman ... archaeologist)

     [since cleaned up]

   • No authority record:  Continue searching (step 2).

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2. Search for TULANET Authority File (TULAF) records in Voyager.

   Use “Staff Name Headings Search,” “Staff Subject Headings Search” (if there is a good chance that the person or body may appear as a subject), “Staff Title Headings Search,” or “Staff Name/Title Headings Search,” as applicable.  (See also “Voyager Authority Searching.”)

   If you have not found an LC/NACO record and find in Voyager:

   • Single authority record:
     • Heading that appears correct and is coded AACR2 (Rules c or d):  Print record out, including any record that resolves an LC/NACO record problem.  Note the heading, but double-check it by continuing to search, checking the OCLC bib file (step 3).

     • Heading that appears problematic, including a non-AACR2 heading:  Print record out.  Continue searching (step 3). 

       See examples above, under step 1.

   • Multiple authority records:  Print records out; continue searching (step 3).

   • No authority record:  Continue searching (step 3).

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3. Examine any bib records in OCLC.

   Use derived “4,3,” author search

   E.g.    hark,mar,

   unless it would result in an unmanageable number of headings.  If you have a birth date available, you may limit the search chronologically by adding up to 20 years to the birth date.

   E.g.    Marvin Harkness was born in 1948        [imaginary]

   OCLC search key:  hark,mar,/1968-

   If a derived search is still not manageable, use “fin au” keyword search, repeating “and au” before second and third elements of name.

   E.g.    fin au harkness and au marvin

   Keyword searches can include date qualifiers, to narrow searches involving more common names.

   E.g.    Martin Harper was born in 1954.

   OCLC search key:  fin au martin and au harper and yr 1974-

   Note:

   • Heading form(s):  In all records.  Note conflicting forms and the level of copy of records with each form, whether full-level DLC (not member-input LC) or OCLC-member records, in case LC or OCLC BFM for any conflicting forms needs to be reported (see also step 9 below).

     E.g.    Christides, Vassilios                  DLC, OCLC

     Chr¯estid¯es, Vasileios Ph.           OCLC

   • Usage(s):  the appearance of the name or title in the 245 field or quoted note 500 field of each record.  Make a quick tally to determine whether a particular usage is predominant.

     E.g.

     Vassilios Christides		||||
     V. Christides		|
     Vasileios Ph. Chr¯estid¯es		|

     If you have retrieved more than 10 records, you may limit your examination of usage to a representative sample of these records provided that the usage information is consistent in the records checked.  In the Vassilios Christides example above, you would need to continue checking even if more than 10 bib records were retrieved, because you found conflicting forms of usage.

   Authority records:  If you previously found either:

   • Problematic LC/NACO record

     or

   • Multiple LC/NACO records

     or

   • Single Voyager authority record

   Examine any information that you have found in the OCLC database.

   • Acceptable heading:  If you can confirm that the authority record heading is acceptable -- or, in the case of multiple authority records, you can confirm the correct heading:
     • Print out or otherwise note any useful information, particularly information that helps you to resolve the problem.

     • Accept the appropriate heading.  Make sure that your bib record heading matches the authority record form (e.g., by copying and pasting).  See also "Original Cataloguing Workflow:  Perform authority checking."

     • If any authority record editing is needed, go on to step 8.  If other authority or bib record maintenance is needed, go on to step 9.

   • Problematic heading(s):  Print out or otherwise note any information found and continue searching (step 4).

   No authority record:  Print out or otherwise note any information found and continue searching (step 4).

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4. Examine any bib records in Voyager.

   Note:

   • Level of copy
   • Heading form(s)
   • Usage(s).

   If you find a bib record with 035 $9 original system number (from our former NOTIS system) in the “A” range:  Watch for missing diacritics and special characters.

   Clearcut case

   Not clearcut case

   Clearcut case:  At this point, you will often be able to stop searching and select or accept a heading form.  If you are confident, keeping AACR2/LCRI rules in mind, that you have found:

   • Sufficient information to establish the heading -- i.e., no research in offline or external Web resources is required by AACR2/LCRI rules (see examples of required research in step 6)

     and

   • Consistent information apart from possible variations in degree of fullness -- i.e., no conflicting information regarding dates or other information affecting the heading form, such as language or nationality if relevant to establishing the heading (see examples of conflicts in step 6)

   Go on to establish an AACR2 heading (step 7).  Please note:  The majority of headings that we establish fall into this fairly straightforward category.

   Not clearcut case:  If you know that more checking is needed, or if you are not certain whether more checking is needed, continue.

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   [Offline sources, or external Web resources:  Steps 5-6]

   If you have not yet found a clearly acceptable heading:

   If you have reason to believe that an individual or corporate body may have written or issued a work, or that an anonymous work may have been written, prior to 1977:  Go on to check the printed NUCs (step 5).  Do not routinely check the NUCs for all authors of unknown date.

   E.g.

   Your piece (pub. about 1859):		A. Ysabeau
   OCLC (various pub. dates, most prior to 1977):		Ysabeau, Alexandre, 1793-1873; Ysabeau, A. (Alexandre), 1793-1873; Ysabeau, Alexandre Victor Frédéric, 1793-1873; Ysabeau, Victor Frédéric Alexandre, 1793-1873; usage: A. Ysabeau, but usage rarely given

   E.g.

   Your piece (pub. 1953):		Fondation du Château de Rohoncz
   OCLC (pub. 1937-1941):		Stiftung Sammlung Schloss Rohoncz

   If you do not expect that you would find anything in the NUCs, go on to step 6.

   E.g.    Edwina Muggletrump

   Information in your piece:  born in 1896; wrote only one work, a play that was considered so far ahead of its time that it was not published during her lifetime; after she died in obscurity in 1928 or 1929 (no one is sure of the exact date), the manuscript was temporarily lost; first published in 1998.

5. Check the printed National Union Catalogs (NUCs).

   See also Appendix –, “Tips on searching National Union Catalogs.”  [Not yet in HTML document.]

   When searching the NUC sets that you consider appropriate:

   • Note both LC and non-LC headings that you find.

   • Note the usage(s), if present, found in the bib record titles or quoted notes.  Make a quick tally to determine whether a particular usage is predominant.

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6. Assess the information that you have gathered; consider whether further research will be necessary or helpful.

   Research required by rules

   Research not required by rules

   Research required by rules

   Perform additional research for categories of headings for which AACR2/LCRI rules require research, including:

   • A person functioning primarily as a non-author, a category including artists, musical performers, and people who are subjects of works being catalogued.  (AACR2/LCRI 22.1B)

     E.g.    Roma Geber -- painter with exhibition in Argentina; your piece is exhibition catalogue.

         No records are in OCLC for any works written by Geber.

     E.g.    Pope Nicholas III -- who died in 1280; previous name:  Giovanni Gaetano Orsini

   • An author writing prior to 1801.  (LCRI 22.1B)

     E.g.    Horatius Obscurus Horribilis -- author of (virtually unreadable) poetry

         found in recently discovered early mediaeval manuscript

   • A known member of the nobility, whether or not the chief source of information in your piece shows a title of nobility; you should not, however, spend time hunting for evidence of noble status.  (AACR2/LCRI 22.6)

     E.g.    On t.p. of your piece:  George Glorious

     On p. 4 of cover:  Sir George; baronet of Cricket St. Thomas

             [please note:  Sir George Glorious is imaginary; the village of Cricket St. Thomas is real]

   • An author known only by a phrase, when that phrase is not used by the author herself or himself.  (LCRI 22.1B 3))

     E.g.    Truth behind the Smoke and Mirrors -- an anonymous 19th-cent. pamphlet;

         in the introduction to the modern edition, the author is referred to as “the Truth Lady of Concord.”        [imaginary]

   • A corporate body that did not issue the work being catalogued or other works for which records have been found.  (AACR2/LCRI 24.2)

     E.g.    Intelligent Life inside Active Volcanoes Expedition -- work is about the Expedition

         but is not issued by it (particularly since no members survived).

   • Uniform titles (AACR2 25.3-25.4); in practice, do research for works that are:
     • Early (prior to 1801)

       E.g.    Enfances Vivien -- part of a cycle of mediaeval French epic poetry

       E.g.    Arbasto, the anatomie of fortune; by Robert Greene (1558?-1592)

       or

     • Issued in multiple editions by fairly well-known authors

       E.g.    Proust, Marcel, 1871-1922. Sur la lecture

       Published in 1979 under title: Hautes et fines enclaves du passé

   Generally focus on reference sources issued in the person’s language or country of nationality or residence -- except for early, pre-1500 authors, for whom English-language sources are preferred.  If none are available, you may use other reference sources.  (The LCRI do not provide for this extension, but in practice LC/NACO authority records frequently cite reference sources not in the person’s language.)

   Once you have performed additional research as required, go on to establish an AACR2 heading (step 7).

   Research not required by rules

   For other categories of headings, use judgment and restraint.  Keep in mind that your piece will often be the most thorough and authoritative source of information for your heading.

   Conflicts and other problems

   No conflict

   • Conflicts and other problems

     If you have found conflicting information, you suspect an error, or you have other outstanding questions regarding:

     • Possible non-unique heading:  A person for whom you do not have enough information to establish a unique heading.  (The NACO rules require you to check outside sources and provide either a 670 or 675 before adding a person to a non-unique heading.)

       E.g.    Aidan Clarke -- your author wrote in 1990 about 17th-century Irish constitutional history.

           Your piece gives no clues as to middle initial or birthdate.

       There is an OCLC record with the heading “Clarke, Aidan” and usage “Aidan Clarke” for an author who wrote poetry published in England in 1927.

     • Birth or death dates

       E.g.    Gumersindo Pacheco:  Records in OCLC had headings [since cleaned up]:

           Pacheco, Gumersindo, $d 1952-

           Pacheco Sosa, Sindo, $d 1956-

     • Language or nationality of person, when the language or nationality would have bearing on choice of name or entry element

       E.g.    Björn Magnusson [imaginary] -- You have found usages:

           Björn Magnusson (book published in Stockholm, Sweden, in Swedish)

           Björn Magnússon (book published in Reykjavík, Iceland, in Icelandic)

           Bjorn Magnusson (book published in Minneapolis, Minnesota, in English).

       Your piece gives no biographical information; one heading includes the birthdate 1937.

       In addition to the question of diacritics, a Swedish name would be entered:

           Magnusson, Björn

       whereas an Icelandic name would be entered:

           Björn Magnússon

     • Uncertainty whether difference in corporate body names represents a variant form, a name change, or a different body:

       E.g.    On your piece:   Fundación Centroamericana para el Desarrollo Humano

       In LC/NACO file:  Fundación Centroamericana para el Desarrollo Humano Sostenible

       [These are actually 2 different, unrelated bodies, but only a Web site that was checked could confirm the distinction]

     • Language of corporate body; for example, a corporate body with a name in a language that is not likely to be its official language and is not an official language of the country in which it is located.  (AACR2/LCRI 24.3A)

       E.g.    Piece, written in French:  l'Université du Pays de Galles, Swansea

       Since Swansea is in Wales, and the name translates in English as “University of Wales, Swansea,” the correct heading is likely to be in English or Welsh (the official languages of Wales).

     • Other matters that would affect the form of heading, such as middle initials, spelling variations not covered by orthographic changes or romanization standards, etc.

       E.g.    [example in step 1, still not resolved]

       E.g.    I.P. Sheldon-Williams -- headings in OCLC:

           Sheldon-Williams, I. P. (Inglis Patrick), 1908-1973, Sheldon-Williams, Inglis Patric,

           Sheldon-Williams, I. P.; usage:  I.P. Sheldon-Williams.

       Without a usage spelling out the middle name, you cannot be sure whether its correct spelling should be “Patrick” or “Patric.”

     Perform additional research unless:

     • You are confident that you can make a common-sense decision resolving the conflict -- in which case, go on to establish an AACR2 heading (step 7).

       E.g.    Jean-Paul Tricheur:  In one place, your piece cites his birthdate as 1883;

           in another place he is quoted, in old age, giving his birthdate as 1916.

           There is a photograph of him posing in (adult) uniform in the trenches during World War I.

       or

     • The person or body is so obscure that you seriously doubt that you will be able to find anything further -- in which case, go on to establish an AACR2 heading (step 7).

       E.g.    Our friend Edwina Muggletrump [in example above step 5]

     Once you have performed additional research, go on to establish an AACR2 heading (step 7).

   • No conflict

     If you have found no conflicting information regarding dates or other information affecting the heading form, such as language or nationality if relevant to establishing the heading:  Go on to establish an AACR2 heading (step 7).

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7. Establish AACR2 heading.

   Note:   If the established heading requires a geographic or corporate body qualifier, you will also need to perform authority work on that qualifier.  For geographic headings, refer when necessary to AACR2 Chapter 23, LC’s Subject Cataloging Manual, and our local documents “Introduction to Geographic Headings” and “Geographic Headings and Subdivisions:  A Summary of Contrasting Structures.”

   • Additional information collected

     Apply AACR2/LCRI rules to your collected data to establish the heading.  If you found problematic authority records, this establishment may involve either reconfirming or altering a previously established heading.

     You may accept dates and fuller forms of names for $q subfields from headings in OCLC or Voyager records (unless you suspect that they are in error).

     If you have any questions as to the appropriate AACR2 heading:  Consult with your trainer or the Database Management/Authority Control Librarian.

     Go on to create or edit an authority record (step 8).  If other authority or bib record maintenance is needed, go on to step 9.

   • No additional information collected

     Use the appropriate form on the piece for the heading, constructing the heading according to AACR2/LCRI rules.

     If you have any questions as to the appropriate AACR2 heading:  Consult with your trainer or the Database Management/Authority Control Librarian.

     Go on to create an authority record (step 8).

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   [Record creation and maintenance:  Steps 8-9]

8. Creating and editing authority records

   Choosing type of record

   Checking Voyager files

   • Choosing type of authority record

     In creating or editing authority records, you have two options, depending on your training and your level of confidence with the information that you want to add:

     1. NACO records:   Preferable whenever you are confident about your heading, references, and important associated information (provided that you have been trained in NACO authority work).  Please keep in mind that NACO records are required for the associated bib record to be coded with 042 pcc and counted as a PCC record in bib record statistics.

        For more information on creating NACO records, see “NACO Authority Records:  Creating New NACO Records.”

     2. Local authority records:  Preferable whenever your choice of heading, references, or important associated information is tentative.  Examples of good candidates for in-house authority records include those for:
        • Problematic headings.

          E.g.    Language and nationality uncertain, when entry element is also uncertain as a result:

          Björn Magnusson (see example in step 6 above) -- you could not find any biographical information, so you still do not know whether he is Swedish, Icelandic, or Scandinavian American

          E.g.    Choice of whether to treat corporate body as subordinate corporate body or directly under its own name is tentative:

          Conseil général de l'Hérault

          Hérault (France). $b Conseil général

          Pattern in OCLC and LC/NACO file is not consistent.

        • Corporate body headings that require 5xx related heading references when headings for those references are not in the LC/NACO file and would be either problematic or quite time-consuming to establish -- especially if a chain of such references is involved.

          E.g.    Duchy of Grand Fenwick, Department of Hopeless Confusion

              [see example in step 1 above]: 

          You have verified that it did represent a name change from the Department of Utter Confusion; it turned out that the earlier body in turn had been a name change from The Confusion Department.  Prior to that, the history is obscure and confused.

        If you are not creating a NACO record:  Generally create a local authority record, to document your tentative decisions in problematic situations.  The exception:  you do not need to create an authority record for a generic uniform title heading (e.g., 100 1 Pfefferkorn, Amadeus. $t Plays. $k Selections).

        For more information on creating local Voyager authority records, see “Authority Record Creation in Voyager.”

        Place Voyager authority records in the “TULAF Records to be Reviewed” folder (pink).

        You may also prefer to add editing only to a local Voyager authority record, if your supplementary information is not entirely certain.  For more information on editing Voyager authority records, see “Authority Record Creation in Voyager:  Edit the record.”

   • Checking Voyager files

     If you have not already done so, check Voyager (step 2 and step 4) for the presence of the authority record there and the need for or availability of additional data.  Even if you plan to edit the NACO record itself, there may be useful local information in Voyager that could be added to the international record.

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9. Maintenance of authority and bib records

   If you have found any conflicting heading forms in any of the authority or bibliographic files that you have checked, authority file correction and/or bibliographic file maintenance (BFM) will be needed.

   • Corrections after checking OCLC
     • LC/NACO file correction:  Sometimes following up on the problem that you have resolved goes beyond editing an LC/NACO authority record.  If you need to request the removal of duplicate authority records:  Contact our NACO coordinator with information about the record that needs to be deleted.

     • LC BFM:  If, as a result of your heading choice, headings in any full MARC DLC-DLC bib records need to be changed:  Contact our NACO coordinator with information about the heading that needs to be changed.

     • OCLC BFM:  If, as a result of your heading choice, headings in any other bib records in OCLC need to be changed:  Contact Susan Westberg at OCLC (westbers@oclc.org) with the authority record number for the heading that needs to be changed.

   • Corrections after checking Voyager
     • Conflicting or redundant authority records in Voyager:
       • If you create a NACO record for a heading already represented by a Voyager authority record:  Be sure to overlay the Voyager authority record with your NACO record, adding back in any information that you want to include only in the local record.

       • If you have found multiple authority records in Voyager for the same heading:  Delete redundant records.

     • Conflicting bib headings in Voyager:  If you have found conflicting forms of your heading in Voyager bib records:
       • Variant form(s) present in 4xx in your authority record:  You do not need to take further action, since the global heading change process should take care of conflicts.

       • Variant form(s) not present in 4xx in your authority record:  Either:
         • Report the conflict to the Database Maintenance/Authority Unit:  Print out relevant information; place printout in the “Bib Record Corrections” folder (purple)

           or

         • Correct the conflicting headings yourself.

HTML document last reviewed:  24 March 2004