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This policy governs the establishment of name headings for use in the online catalog and the subsequent creation of MARC authority records to ensure consistency in the use of these headings, as well as to provide increased access to library users through appropriate references in the catalog.
The policy is designed to identify the aims of authority work. It does not prescribe specific procedures for accomplishing these aims, but should be used as a guide for establishing procedure.
For the purposes of this policy, name headings include personal names, names of corporate
bodies and named meetings, uniform titles, and geographic names.
Establishing and Evaluating Headings
All name headings used in the online catalog should be established in accordance with the rules outlined in AACR2, 1988 revision, Part II. References should be created as prescribed by Chapter 26. Library of Congress Rule Interpretations should also be considered when applying AACR2.
All name headings to be used in new bibliographic records should be checked against the universal NOTIS database (the file containing both bibliographic and authority records). If no instance of established use is found, a new heading may be established.
Care should be taken at all times that no new heading is established for an entity that has already been established under a different form or that no new heading is identical to a heading already established for a different entity.
New headings to be established must also be checked against the Library of Congress Name Authority File (NAF) on either RLIN or OCLC. Established forms found in this file should normally be accepted and used.
Catalogers should use judgment in deciding whether additional sources need to be checked before a heading can be established. In establishing headings for entities whose works were published mostly before the advent of machine readable cataloging, it is often helpful to check the printed National Union Catalogs for information on earlier forms of headings. Encyclopedias and other reference sources may also be necessary at times.
Exhaustive research, however, is not necessary and no more time should be spent than is
needed to gather information to formulate the heading and its appropriate references. In most
cases, no sources other than the item in hand and the online bibliographic/authority files need
to be consulted.
Evaluating previously used headings
Headings that do not appear to be in compliance with AACR2 should be further researched and revised as new items are cataloged using these headings. Evaluation may result in additional references on the authority record, revision of the heading, or creation of a new authority record where one did not previously exist.
Authority Control Unit personnel may evaluate headings used in bibliographic records entered
by paraprofessional cataloging units against the NOTIS database and NAF in RLIN.
Headings not established in either file may be evaluated by the Authority Control Librarian.
Creating and Editing Authority Records in the Online File
Authority records should be created for headings previously used if they are deemed not in compliance with AACR2 or if it is apparent that cross references are needed.
All authority records in NAF that are used to establish headings in NOTIS, regardless of how
much or how little information they contain, should be entered into NOTIS either by GTO or
by direct key-in. Records from NAF may be edited in NOTIS to include additional
references or to delete references not needed in our local catalog.
Headings not found in online files
In all other instances authority records may be made at the discretion of the cataloger, but are not required. This policy assumes that virtually all cases not covered by the conditions above would be limited to instances in which an authority record, if created, would contain no information that could not also be found in the corresponding bibliographic record (i.e. the heading itself plus a citation to the item in hand as source).
As a general rule, in cases of doubt as to whether an authority record should be created,
create one.
Responsibility for Developing and Maintaining the Authority
File
Professional catalogers are responsible for establishing headings in all bibliographic records they create and for creating the authority records necessary to support these headings.
Catalogers who choose to relegate this responsibility to staff members under their supervision remain responsible for the quality of the output and should regularly review this work before it is submitted to the Authority Control Unit.
Authority work for records input by the RLIN/NOTIS Unit will be done by the Authority
Control Unit after the cataloging is done. Reclass Unit personnel should search all headings
used in their records in NOTIS and NAF and submit printouts of headings established in NAF
to the Authority Control Unit. Authority records for headings used by NOTIS/RLIN or
Reclass Units which are not established in NOTIS or NAF are not required but may be
created by the unit supervisors or the Authority Control Librarian if deemed to be necessary.
Maintenance of the online file
Catalogers, if they wish, may assist with inputting their own work, but must be authorized by
the Authority Control Librarian to do so.
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