AUTHORITY FILE AGREEMENTS
The following documents deal with general IO authority file guidelines:
Rev. 9/28/92
General Policies Regarding Authority Records in IO [minutes,
12/12/89, and attachment to same minutes].
I. LC Authority Records.
A. Cleanup of Heading Use Codes.
IU cataloging agencies will correct erroneous heading use codes
whenever they are found in the course of prospective cataloging or
database cleanup.
B. Cleanup of Subject/Name Duplicates Created by BNA.
IU cataloging agencies will consolidate these duplicate
authority records when they are found in the course of prospective
cataloging or database cleanup.
C. Problems with Source LC Authority Records.
As a general rule, the IO cataloging agencies should not alter
LC authority records in the IO authority file, except for local
series treatment fields. Instead, the cataloging agencies who
find problems in LC-established headings in the IO authority file
will have two alternative courses of action:
1. Use the form of heading in the authority file. This course
is more likely in copy cataloging routines.
2. Use a corrected form of heading in the bibliographic record
in hand, and request that the LC authority record be adjusted.
[see IOCAT Note: IO NACO Work: Procedures and Agreements].
The general rule described above was predicted to apply to at
least the following situations:
LC authority contains a pre-AACR2 heading;
LC authority is coded pre-AACR2, but is also valid for AACR2;
Duplicate LC authorities, one for subject, one for name/title.
The following are exceptions to the general rule against
modifying LC authority records in IO:
1. IO cataloging agencies must be able to add references to
uniform title records for title page titles represented in the
IO bibliographic file.
2. IO cataloging agencies must be able to add references to
authority records as specified in LC reference policy and in
other pattern heading records. For example, we know that LC
allows see also references from particular breeds to "Dogs."
If IU has a book about beagles, we may add a corresponding see
also to the "Dogs" authority record originated at LC.
II. Non-LC Authority Records.
A. Subfield H.
BNA generated a number of local uniform title authority records
fo IU based on unique subfield H values. The IU cataloging
agencies consider these authority records superfluous, and will
delete them when they are found in the course of prospective
cataloging or database cleanup.
B. Other Problems With Non-LC Authorities.
There are hundreds, if not thousands, or problems with
individual non-LC authority records or groups of records in the IO
database. Only the LC authorities coordination unit (the IOCM
Department in IUB central technical services) will be charged with
seeking out those problems. When other cataloging agencies
encounter them in the course of prospective cataloging or database
cleanup activities, however, it is their responsibility to:
1. Correct the authority records themselves;
2. Arrange for the correction of corresponding bibliographic
records in the processing units for which the cataloging agency
is responsible (that is, either change the bibliographic
records individually or, if there are more than 25, request a
global change);
3. Report the authority file change to IOCM, who will notify
other cataloging agencies of the need to modify bibliographic
records.
This general guideline applies to at least the following
situations:
1. A non-LC authority file record establishes an incorrect or
outdated heading form (cataloging agencies also have the option
of using the established heading for copy cataloging, in which
case the record need not be considered a problem).
2. There are conflicting or duplicate authority records in the
IO authority file.
IO cataloging agencies may communicate directly with each other
rather than via IOCM if the problem does not involve a change to
the authority file. For exmaple, if agency A believes that agency
B has used an outdated form of name, agency A should correct the
authority record(s) involved and send a heading change report to
IOCM. IOCM will see to it that the bibliographic records for
other agencies are corrected. On the other hand, if agency A
believes that agency B has chosen the wrong heading (e.g., Dogs--
Alaska when the book is about Wolves--Oregon), agency A should ask
agency B directly to reconsider its subject analysis.
[supplemental decision from minutes of Mar. 2, 1990].
Approved 7-14-90
IO NACO WORK
I. REQUESTS FOR NACO UPDATES MAY BE MADE FOR THE FOLLOWING:
a. Deletion of duplicate records in NAF
b. Errors (typos, romanization, etc.) to be corrected
c. References to be added
d. Upgrade of FF rules code from "a" (ALA) or "b" (AARC1)
e. Creation of new records
II. BASIC RULES FOR NACO CHANGE REQUESTS:
a. Agencies must provide appropriate documentation when
submitting a NACO request.
b. Changes in fullness or form of heading on LC
NARs with RULES coded "c" or "d" may NOT be
submitted as a NACO request.
c. Qualifiers and/or dates can be added to an
existing LC NAR when necessary to resolve a
conflict between the existing and a new
heading. In these cases, NARs should be
created for the new headings.
d. Cataloging agencies suggesting a change of
heading on an existing LC NAR should not use
the new form of name in IO until the NACO unit
changes the national database. In those rare
instances where this is not possible, it is the
agency's responsibility to manage the conflict
that will appear in their new headings list.
III. PROCEDURES FOR CATALOGING AGENCIES SUBMITTING NACO REQUESTS:
a. When proposing a change on an existing LC NAR:
- download the record into the IO AF
- add 690 field: NACO UPDATE REQUESTED
b. When proposing the creation of a new NAR:
- create a minimal IO AF record
- add 690 field: NACO UPDATE REQUESTED
c. Make a printout of the authority record:
- at top of printout add: NACO UPDATE REQUESTED
- attach appropriate documentation
- specify changes or additions to be made
d. Forward NACO packets to one of the following IUL NACO
units:
- IUB Music - headings used primarily in music records
- IUB Serials - corporate names
- IUB Cataloging - all other headings
IV. PROCEDURES FOR NACO UNITS:
a. If NACO unit agrees with suggested changes or
additions, it will update the LC NAR through
OCLC/LSP and overlay the existing IO AF
record.
b. In all cases (whether or not the NACO unit
agrees with the suggested change), the NACO
unit will return the printouts to the
cataloging agency which suggested the change
with appropriate comments.
c. If a global change or changes to other
processing units' records are required, the
cataloging agency is responsible for forwarding
the change request to IOCM.
NON-REQUIRED AUTHORITY RECORDS: POLICY CLARIFICATION [minutes,
4/26/91].
When an IOCM catalog editor is processing a global change for an
LCSH heading or subheading, it is frequently also necessary to
change many associated authority records one at a time. The
catalog editor is authorized to delete the authority record
(rather than change it) it whenever the heading would not require
an authority record according to current IO Cataloging Congress
policy, and when there are no references, note fields, or other
local informaiton in the authority record.
When any cataloging agency is processing a new headings list, it
is frequently necessary to correct the heading use codes in the
authority record associated with a new bibliographic heading. The
Cataloging Congress recommends that we should correct the heading
use code and not delete the authority record -- even an authority
record that is not required for the heading under current Congress
policy. This situation is particularly likely to occur with
author-title added entries, the authority records for which have
been declared optional.
"NO-CONFLICT" CONCEPT IN IO AUTHORITY WORK [minutes, 8/2/91]
A cataloging agency will not be required to establish a new
heading if
no references are needed AND
the new heading is not likely to be confused with similar or
related headings AND
the new heading does not match a reference ot another,
established heading.
This policy DOES NOT relieve the agencies of the responsibility to
use heading forms established in the IO authority file or the
national authority file. It DOES NOT relieve the agencies of the
responsibility to formulate new headings according to national
standards and Congress policy. It simply relieves the agencies of
the responsibility to create a "one-liner" authority record for
every simple, no-conflict heading they use.
GUIDELINES FOR AUTHORITY FILE MAINTENANCE AFTER
PERFORMING A BIBLIOGRAPHIC RECORD DELETION OR SUPPRESSION *
Revised 10/23/92
When a bibliographic record is deleted or coded for OPAC
suppression, the result may be to remove the last instance of a
particular heading from the bibliographic file. The cataloging
agency performing the deletion/suppression must adjust the
authority file accordingly. The following are specific
guidelines:
1. The cataloging agency will not usually delete LC authority
records, as it may be useful to retain them in the file for future
use. Instead, the relevant heading use code(s) on the authority
record will be changed from "c" to "a".
2. The cataloging agency will also not usually delete BNA or
locally-created authority records which include references, notes,
or local treatment information. Again, the relevant heading use
code(s) would be changed from "c" to "a".
3. The cataloging agency will usually delete BNA or locally-input
"one-liners"; often these authority records are simply copied from
a bibliographic record and should not be used as "authority" for
establishing names in the future.
(* Original guidelines for authority file maintenance following
withdrawals may be found in the document "Decisions and Tabled
Issues" for July 13, 1990.)
[Ed. note: This original source document does not provide any additional
information and will not be made accessible on-line.]