NOTICE: Much of this document is dated. For current procedures,
see "Streamlined authority control procedures."
------------------------------------------------------------------------
Interim Authority Control Procedures May 23, 1989
Table of Contents:
Page Document
1 Statement of UCSD Cataloging Principles
3 Interim Authority Control Workflow for Name Headings
Used on Copy Cataloging
9 Interim Authority Control Workflow for Name Headings
Used on Cataloging Records New to OCLC
13 Appendix A: When to create/download an authority
record
14 Appendix B: Interim Discrepancy Resolution Procedure
14 Appendix C: Authority Record Revision Procedure
January 24, 1991
Statement of UCSD Cataloging Principles
1. Discrepancy resolution: During the time period that the
Melvyl-Innopac link is not operational, no bib record
corrections may be done. Therefore we will not attempt to
resolve conflicts resulting from headings input during this
period. Instead, we will use an interim discrepancy
resolution procedure (See Appendix B). All authority records
input in this period will be reviewed in Innopac after the
link is operational to see if bib. headings need to be fixed.
Catalogers will make references from other forms of the
heading found in Innopac to aid identification of those bib
records needing correction at a later time.
2. Which index needs an authority record?: If a heading requires
an authority record on Innopac, the cataloger is only
responsible for creating an authority record in the index in
which his or her heading appears. Cat. Maint. will search all
authority records which are created during this period to
determine if an authority record is needed in the other index,
and, if necessary, add or correct the authority record in that
index.
Example: My heading is used as a subject on my bib.
record. It has references, therefore it needs an
authority record. During the process of verification,
I discovered that my heading is also used as an author
on Innopac, but that no authority record exists in
Innopac. I put an authority record into the subject
index. Cat. Maint. will review the record at a later
time and create a duplicate authority record in the
author index.
3. Headings are established in AACR2 form: We will continue to
establish name headings according to AACR2 in all
circumstances.
4. Prefer LC AACR2 forms: We will continue to prefer LC AACR2
headings over locally established headings, except where our
hdg. is intentionally constructed to resolve a conflict.
5. Verification: All headings will be verified on Innopac. The
LC-NAF will be checked only in certain circumstances.
6. Verification of original inputs: Headings on original inputs
to the OCLC database will always be checked in the LC-NAF as
required by OCLC policy.
7. Creating authority records: Authority records will not be
created or downloaded for headings without references or
important notes. In particular, they will not be downloaded
from the LC-NAF solely to capture the 670 field information
(with a few exceptions).
8. Download LC-NAF records when possible: UCSD will prefer to
download records from the LC-NAF rather than manually create
records on Innopac in order to retain the additional
information on an LC-NAF record (010, fixed fields).
9. UTLAS authority records: If Innopac has an authority record
from the UTLAS tapeloads which UCSD would not make according
to the guidelines under Appendix A ( When to create/download
an authority record ), we will not delete the authority
record.
10. Pre-AACR2 headings: UCSD will routinely make references from
LC pre-AACR2 headings in their exact pre-AACR2 form (as well
as a normalized AACR2 form, if different). However, no
special searching will be done to identify the LC pre-AACR2
heading.
11. Which headings to verify: Catalogers are expected to
establish/verify headings and references for all names used
as headings, including names used as subject headings. For
corporate bodies, catalogers are expected to establish/verify
all portions of the hierarchy.
12. East Asia catalog headings: Cross references will be typed
for the East Asia catalog. Catalogers are responsible for
supplying printouts to the Authorities Section for that
purpose. In addition to following the regular workflows,
catalogers creating/downloading authority records for headings
used in the East Asia catalog should include "678 East Asia
catalog" notes and then forward a printout of the new record
to the Authorities Section. Likewise, when an existing
authority record is used in the East Asia catalog for the
first time, catalogers should add a 678 note and forward a
printout. When catalogers add references to existing
authority records for the East Asia catalog, a printout should
be forwarded, with the changes noted for the typists.
13. When creating a local authority record on Innopac, add a 910
field to the authority record.
January 24, 1991
Interim Authority Control Workflow for Name Headings Used on Copy
Cataloging
Prepared by J. Jeffs
Scope:
This document applies to personal, corporate, and geographic name
headings only. It applies to cataloging from exact online copy in
all formats. It does not apply to LC MARC AACR2 cataloging or
headings on original inputs to the OCLC database. These
verification and establishment procedures are in effect for the
time period before the Innopac-Melvyl link is operational. When
the link is available, these procedures will be reevaluated.
Verification of Personal, Corporate, and Geographic Names
I. Search the appropriate Innopac index. (If your heading is
used as a subject, search first in the subject index. If your
heading is used as a main or added entry, search first in the
author index. In this workflow, the term "1st index" is used
to refer to the Innopac index you search first.
If bibliographic records with incorrect forms of hdg. for the
same entity are encountered while searching Innopac, note the
form found so that the corresponding authority record can be
annotated. (See Appendix B)
A. Authority record found in the 1st index.
Evaluate the Innopac authority record. Evaluate whether
the Innopac heading is correct and whether all
appropriate references and notes are present.
1. If the authority record found in the 1st index is
CORRECT and COMPLETE, you are DONE.
2. If the authority record found in the 1st index needs
references or notes, add them to the authority
record. If the Innopac authority record is an LC-
NAF record, include a 667 note as instructed in
Appendix C, "Authority Record Revision Procedure."
(NACO Catalogers: If a new or changed LC-NAF record
is needed, prepare a change request). You are DONE.
3. If the authority record found in the 1st index is
WRONG, search the LC-NAF. Search other reference
tools as needed. Based on the information gathered,
fix the authority record. If the heading on the
authority record changes, make a reference from the
previous heading in the exact form it appeared on
the authority record. If the Innopac authority
record is an LC-NAF record, include a 667 note as
instructed in Appendix C, "Authority Record Revision
Procedure." (NACO Catalogers: If a new or changed
LC-NAF record is needed, prepare a change request).
You are DONE.
B. Bibliographic records ONLY are found in the 1st index.
1. Determine if references are needed.
a. If references are needed, proceed to Sect. II
(Search the 2nd index).
b. If no references are needed, accept the heading
found on the copy or formulated according to
AACR2 if it is an exact match with what is in
Innopac. You are DONE. If the headings are
different in any way, e.g., tags, subfield
codes, spacing, proceed to Sect. II (Search the
2nd index).
C. Nothing found in the 1st index. Proceed to Sect. II
(Search the 2nd index).
II. Search the 2nd Innopac index. (If the 1st index searched was
the author index, then the 2nd index is the subject index.
If the first index searched was the subject index, then the
2nd index is the author index.)
If bibliographic records with incorrect forms of hdg. for the
same entity are encountered while searching Innopac, note the
form found so that the corresponding authority record can be
annotated. (See Appendix B)
A. Authority record found in the 2nd index.
Evaluate the Innopac authority record. Evaluate whether
the Innopac heading is correct and whether all
appropriate references and notes are present.
1. If the authority record found in the 2nd index is
CORRECT and COMPLETE, print out the authority record
and forward it to the Authorities Section to
download or create an identical authority record in
the 1st index. You are DONE.
2. If the authority record found in the 2nd index needs
references or notes, add them to the authority
record. If the Innopac authority record is an LC-
NAF record, include a 667 note as instructed in
Appendix C, "Authority Record Revision Procedure."
(NACO Catalogers: If a new or changed LC-NAF record
is needed, prepare a change request). Print out the
edited authority record and forward it to the
Authorities Section to download or create an
identical authority record in the 1st index. You
are DONE.
3. If the authority record found in the 2nd index is
WRONG, print out the authority record and search
the LC-NAF. Search other reference tools as needed.
Based on the information gathered, fix the authority
record. If the heading on the authority record
changes, make a reference from the previous heading
in the exact form it appeared on the authority
record. If the Innopac authority record is an LC-
NAF record, include a 667 note as instructed in
Appendix C, "Authority Record Revision Procedure."
(NACO Catalogers: If a new or changed LC-NAF record
is needed, prepare a change request). Print out the
edited authority record and forward it to the
Authorities Section to download or create an
identical authority record in the 1st index. You
are DONE.
B. Bibliographic records ONLY are found in the 2nd index.
1. Determine if references are needed.
a. If references are needed, proceed to Sect. III
(Search the LC-NAF).
b. If no references are needed, accept the heading
found on the copy or formulated according to
AACR2 if it is an exact match with what is in
Innopac. You are DONE. If the headings are
different in any way, e.g., tags, subfield
codes, spacing, proceed to Sect. III (Search
the LC-NAF).
C. Nothing found in the 2nd index. Proceed to Sect. III.
(Search the LC-NAF).
III. Search the LC-NAF.
A. If FOUND in the LC-NAF, determine if the LC-NAF heading
is an AACR2 form.
1. If the LC-NAF heading is AACR2, determine if an
authority record is needed in Innopac. (See Appendix
A: When to create/download an authority record).
a. If an authority record is needed in Innopac,
evaluate the references for AACR2 form, add
any local references or notes to the LC-NAF
record and download the record into the 1st
index. Include a 667 note as instructed in
Appendix C, "Authority Record Revision
Procedure." (NACO Catalogers: If a new or
changed LC-NAF record is needed, prepare a
change request). You are DONE.
b. If no authority record in needed on Innopac,
use the form found on the LC-NAF. You are
DONE.
2. If the LC-NAF heading is pre-AACR2, print out the
authority record to use as a resource recordand
proceed to Sect. IV (Establish an AACR2 form
locally).
B. If NOT FOUND in the LC-NAF, proceed to Sect. IV
(Establish an AACR2 form locally.)
IV. Establish an AACR2 form locally.
If no AACR2 form has been found on Innopac or the LC-NAF,
establish the heading locally according to AACR2, the LCRI's
and UCSD practice. Edit your bib. record hdg. to match.
Create an authority record only if called for in Appendix A
(When to create/download an authority record). If an
authority record is necessary, create an authority record in
the 1st index. Add a 910 field to the Innopac authority
record.
January 24, 1991
Interim Authority Control Workflow for Name Headings Used on
Cataloging Records New to OCLC
Prepared by: C. Graham
SCOPE NOTE: This workflow applies to personal, corporate, and
geographic name headings used on ALL TYPES of records new to the
OCLC database (i.e., records created on OCLC using either the
"new" or "workform" command, including LC-precedent, original
cataloging, etc.) It applies to headings used on new records in
ALL FORMATS (e.g. serials, music, computer files, etc.)
I. Search the LC-NAF for your heading.
A. If FOUND in LC-NAF, note the form found and any
references. (Generally you will want to make a
printout. Catalogers making authority records for
headings used in the East Asia catalog should always
make printouts).
B. If NOT FOUND in the LC-NAF, note that the heading was
not found.
II. Search the appropriate Innopac index. If your heading is
used as subject, search first in the subject index. If your
heading is used as a main or added entry, search first in
the author index. In the workflow, the term "1st index" is
used to refer to the Innopac index you search first). If
bibliographic records with incorrect forms of heading for
the same entity are encountered while searching Innopac,
note the forms found so that the related authority record
can be annotated. (See Appendix B, "Interim Discrepancy
Resolution Procedure.")
A. If NO RECORDS are found in the 1st index:
1. And LC-NAF record was NOT FOUND, note search
results and proceed to Step III (Search the 2nd
index).
2. And LC-NAF record was FOUND:
a. Determine whether Innopac authority record
should have REFERENCES or NOTES:
(1) If REFERENCES are present on the LC-NAF
record or if other references or notes
are needed, download the LC-NAF record.
(Consult Appendix A, "When to
create/download an authority record" for
guidance). When including local data,
make a 667 note. (See Appendix C,
"Authority Record Revision Procedure).
You are DONE.
(2) If REFERENCES are NOT present on the LC-
NAF record and no other references are
needed, you are DONE.
B. If BIBLIOGRAPHIC records ONLY are found in the 1st
index:
1. And LC-NAF record was NOT FOUND:
a. NACO Catalogers: Type a NACO worksheet.
Indicate on the worksheet the Innopac index
to which the NACO record should be
downloaded. You are DONE. (Our NACO staff
will download your record when it is loaded
into LC-NAF).
b. Non-NACO Catalogers: Go to Step III (Search
the 2nd index)
2. And LC-NAF record was FOUND:
a. Determine whether Innopac authority record
should have REFERENCES or NOTES:
(1) If REFERENCES are present on the LC-NAF
record or if other references or notes
are needed, download the LC-NAF record.
(Consult Appendix A, "When to
create/download an Authority Record" for
guidance). When including local data,
make a 667 note. (See Appendix C,
"Authority Record Revision Procedure).
You are DONE.
(2) If REFERENCES are NOT present on the LC-
NAF record and no other references or
notes are needed, you are DONE.
C. If an AUTHORITY record is FOUND in the 1st Innopac
index:
1. Evaluate the Innopac authority record. Compare
the LC-NAF record (if any) to the Innopac record.
Evaluate whether the Innopac heading is correct
and whether all appropriate references and notes
are present. (Catalogers evaluating authority
records for headings used in the East Asia catalog
should make sure that a "678 East Asia Catalog"
note is present. NACO catalogers: If a new or
changed LC-NAF record is needed, prepare a
worksheet).
a. If the AUTHORITY record found in the 1st
index is CORRECT and COMPLETE, you are DONE.
b. If the AUTHORITY record found in the 1st
index is WRONG or INCOMPLETE, fix it.
Download the LC-NAF record (if there is one)
or type the corrected information directly
into Innopac. Include a 667 note as
instructed in Appendix C, "Authority Record
Revision Procedure." (NACO Catalogers: If a
new or changed LC-NAF record is needed,
prepare a change request). You are DONE.
III. Search the 2nd Innopac index.
A. If an AUTHORITY record is NOT FOUND in the 2nd index,
note search results and Proceed to Part IV (No records
found).
B. If an AUTHORITY record is FOUND in the 2nd index,
evaluate the record. Evaluate whether the heading is
correct and whether all appropriate references and
notes are present. (Catalogers evaluating authority
records for headings used in the East Asia catalog
should make sure that a "678 East Asia Catalog" note
is present).
1. If the authority record found in the 2nd index is
CORRECT and COMPLETE, print out the authority
record and forward it to the Authorities Section
to download or create an identical record in the
1st index. You are DONE.
2. If the authority record found in the 2nd index is
WRONG or INCOMPLETE, fix it. Download the LC-NAF
record (if there is one) or type the corrected
information directly into Innopac. Include a 667
note as instructed in Appendix C, "Authority
Record Revision Procedure." Print out the
authority record and forward it to the Authorities
Section to download or create an identical record
in the 1st index. (NACO Catalogers: If a new or
changed LC-NAF record is needed, prepare a
worksheet). You are DONE.
IV. If AUTHORITY records are NOT FOUND in Innopac:
A. And LC-NAF record was FOUND:
1. Determine whether authority record should have
REFERENCES or NOTES:
a. If REFERENCES are present on the LC-NAF
record or if other references or notes are
needed, download the LC-NAF record into the
1st index. (Consult Appendix A, "When to
create/download an Authority Record" for
guidance). When including local data, make a
667 note. (See Appendix C, "Authority Record
Revision Procedure). NACO Catalogers: If a
change to an LC-NAF record is needed, prepare
a change request. You are DONE.
b. If REFERENCES are NOT present on the LC-NAF
record and no other references or notes are
needed, you are DONE.
B. And LC-NAF record was NOT FOUND:
1. NACO Catalogers: Type a NACO worksheet. Indicate
on the worksheet the Innopac index to which the
NACO record should be downloaded. You are DONE.
(Our NACO staff will download your record when it
is loaded into LC-NAF).
2. Non-NACO Catalogers: Determine whether authority
record should have REFERENCES or NOTES:
a. If REFERENCES or NOTES are needed, key an
authority record directly into Innopac in the
1st index. You are DONE.
b. If REFERENCES are NOTES are NOT needed, you
are DONE.
Appendix A When to create/download an authority record.
Create or download an authority record if there is no
authority record on Innopac and one of the conditions below
applies. Refer to the documents: Creating Authority
Records on Innopac and Downloading Authority Records From
OCLC to Innopac for information on HOW to create or download
an authority record.
1. Local references or notes need to be recorded.
2. References found on LC-NAF record: In the instance
where the procedures call for a search of the LC-NAF,
and that search discovers an authority record with
references or important notes, download the authority
record. Do not download a record solely to capture 670
information.
3. Deviations from LC AACR2 form: In any instance where
UCSD deliberately chooses to deviate from an LC-NAF
established heading, always create an authority record.
Make a reference from the LC-NAF form.
Examples: LC-NAF hdg. is pre-AACR2; incorrect LC
CIP-based authority records.
4. Undifferentiated personal names: Always create or
download an authority record for an undifferentiated
personal name.
Appendix B: Interim Discrepancy Resolution Procedure
IF A FORM OF YOUR HEADING APPEARS IN INNOPAC WHICH UCSD WILL NO
LONGER USE (MOST COMMONLY A PRE-AACR2 FORM OF NAME), ADD TO THE
AUTHORITY RECORD THE FOLLOWING:
1. A reference from the heading that will no longer be
used. Exception: For minor typographical errors, it
is not necessary to make this reference.
2. The word "discrep" (lower case, no quotation marks) in
a 678 note. Add this note for minor typographical
errors as well as all other errors.
Background: The note will be used to identify those
bibliogrpahic headings needing cleanup after the MELVYL-
INNOPAC link is operational.
Appendix C: Authority Record Revision Procedure
When you add or revise a field on an LC-NAF authority record,
make a 667 note. If the record is particularly long or
complicated, include the number of the tag which was added or
revised.
1. When adding a field, make a note in this format:
667 add
667 add [tag] (If the LC-NAF record is a complicated one with
many cross refs or notes.)
For example:
667 add 400
667 add 670
2. When revising a field, make a note in this format:
667 rev
667 rev [tag] (If the LC-NAF record is a complicated one with
many cross refs or notes.)
For example:
667 rev 400
667 rev 100,400