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This policy governs the establishment of series headings for use in the online catalog and the subsequent creation of MARC series authority records (SARs) to ensure consistency in the use of these headings, to provide increased access to library users through appropriate references in the catalog, and to document the library's treatment practice for each series heading.
The policy is designed to identify the aims of series authority work. It does not prescribe
specific procedures for accomplishing these aims, but should be used as a guide for establishing
procedure.
Establishing and Evaluating Headings
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All series 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 series 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
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As they search the NOTIS database to check new headings, catalogers should routinely be aware
of headings already in the file and make quick evaluations based on their knowledge of
cataloging rules. Sometimes additional information on items in hand can assist in this
evaluation.
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.
Authorities Team 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 Name Authorities Librarian.
Creating and Editing Authority Records in the Online
File
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Authority records should be created for headings previously used if they are deemed not in compliance with AACR2 or if it is apparent that they do not meet the default criteria.
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. When using series authority records
found in NAF, the cataloger must insure that the Library's treatment of the series is indicated
in the appropriate 64x variable fields if the Library's treatment decision differs from that of the
contributing institution.
Headings not found in online files
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Original authority records should be created for headings not found in NOTIS or NAF to record
information when any of the following conditions exists:
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
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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 Authorities Team.
Authority work for records input by the Copy Cataloging Team will be done by the Authorities
Team after the cataloging is done. Copy Cataloging Team personnel should search all series
headings used in their records in NOTIS. This will ensure consistent treatment of the series
heading. Those series headings not found in NOTIS should be searched in NAF. Series
authority records found in NAF that meet the default requirements (fully analyzed, traced,
classified separately) may be added by Copy Cataloging Team personnel or printouts may be
submitted to Authorities Team personnel for inclusion in the NOTIS authority file. Any series
authority record found in NAF which does not represent the series treatment default should be
printed out and forwarded with the item-in-hand to the professional cataloger for further
evaluation. If no authority record is found in NOTIS or in NAF, the item-in-hand will be
forwarded to the appropriate professional cataloger who will be responsible for creating the SAR
for that series heading.
Maintenance of the online file
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The inputting and online editing of authority records, as well as the reconciliation of headings
in the bibliographic file with authority records, is the responsibility of the Authorities Team.
Catalogers, if they wish, may assist with inputting their own work, but must be authorized by the Name Authorities Librarian to do so.