Cataloging and Metadata Services

Authority Control at Gitenstein Library

Authority control is an important process of organizing bibliographic data in the library catalog. It ensures data consistency and enhances collocation of library resources in the catalog. This document provides guidelines and instructions for general authority control tasks in Cataloging and Metadata Services at Gitenstein Library. The purpose is to maintain database quality and also avoid duplication of efforts performed during cataloging by copy catalogers and librarians.

Authority control workflow includes several steps. In addition to searching the authority file on OCLC and finding the matching authorized access points, catalogers often need to examine relevant fixed and variable field data in the authority record to determine if and how they can be applied to bibliographic records. Catalogers also need to consult relevant cataloging rules based on information found within or outside the item being cataloged in order to properly identify or formulate access points in both bibliographic records and authority files. It is, therefore, considered professional-level responsibilities.

With that in mind, authority control tasks will be performed mostly by librarians. In principle, all access points should be controlled in original cataloging records created at Gitenstein Library, with personal/corporate name and series authority records created for contribution to the LC/NACO Name Authority File (LC/NAF) as needed. The following are instructions for handling authority control tasks for copy records in Cataloging and Metadata Services.

Names (1XX/7XX fields)

LC/PCC records – In general, no authority control work is needed for LC/PCC records. Occasionally, when additional name access points (e.g. 700/710/711 fields) need to be added to the bibliographic record, copy catalogers may perform basic authority checking in OCLC Connexion and add 7XX fields to bibliographic records as appropriate. Such records need not be revised by librarians if catalogers are confident in performing the task. However, if catalogers cannot find the correct name authority record or have questions about the name access point, the item should be placed on the revision truck with a note (e.g. check 700 fields, etc.) for librarians to work on. It is acceptable not to perform this task and forward the item straight to librarians.

Non-LC/PCC records – Comprehensive authority work should be performed by librarians as part of catalog revision work. (Note: it has been decided that copy catalogers will not perform authority control for non-LC/PCC records.) Librarians should check uncontrolled access points in OCLC as needed and judge if additional authority work is needed when they are not controlled in OCLC.

• In principle, librarians should create authority records for personal and corporate names not found in LC/NAF following the established NACO guidelines.
• For entities that may not be considered important for identification or selection (e.g., director of photography, etc. in video records), authority records should be created generally when the same name is used as an access point in two or more manifestations found in the OCLC database.

Series (490/8XX fields)

The default policy at Gitenstein Library is to trace all series for incoming copy records (except for those that are not traced according to their authority records or old untraced series whose authority records cannot be created readily).

LC/PCC records – LC does not perform series authority control for their bib records. Most PCC libraries continue to trace a series statement in a BIBCO record. No series authority control work is needed for PCC records (i.e. records with 042 ## pcc) during copy cataloging work. LC/PCC records with uncontrolled series statements will be identified/controlled by the Department Head or his designee weekly using the Alma report. 

Non-LC/PCC records – Copy catalogers do not conduct series authority checking for non-LC/PCC records. Comprehensive series authority work should be performed by librarians as part of catalog revision work. Series titles (or series-like phrases) that cannot be found in LC/NAF will need to be forwarded to Yuji for review. Series authority records may be created following the established NACO guidelines.

*Remember to pay special attention to a few series, in part due to past practice, for which Gitenstein Library's series treatment practice differs from ones defined in their authority records (see Local Fields and Headings for further details).

RDA and statements of responsibility/name access points

The local policy at Gitenstein Library is that all names should be provided with access points for resources with five or fewer names in their statements of responsibility (MARC 245 subfield $c). For works with more than five names, catalogers will use judgment and decide whether to give additional name access points to the record.

Unlinked headings in Alma Authority Control Task List Reports 

Following the practice noted above for non-LC/PCC copy records, we generally seek to control and create authority records for unlinked headings when they are used in two or more manifestations found in OCLC.

Access points to be excluded from authority control

We generally do not perform authority control for access points in the following types of bib records:

• Batch loaded records without OCLC control numbers in 035 fields (e.g., Naxos minimal, ICPSR)
• Records for materials not yet received by the library (i.e., materials on order)

YT 09/15/2014, rev. 10/18; CB 10/19, YT 2019-12, 2020-03