Authority control after WLN processing

From summer 1994 when NYU migrated cataloging from RLIN to Advance until the onset of WLN processing, full authority records were generally not created for headings on bibliographic records. Headings on LC and member copy were assumed to be in agreement with NAF/SAF and/or AACR2R. Only those headings which were obviously aberrant were checked against the authority files. Headings on original records were checked against NAF/SAF, and NACO records were created for many names which did not have authority records. Some full authority records, including for series, were created in Advance.

Following WLN processing, most of the continuing authority work will be accomplished after cataloging via the new headings list. Catalogers will search series headings and certain other headings while cataloging.

New headings list

• new headings for which an authority record should be downloaded from NAF (LCSH records are being loaded into Advance on a regular basis) (records can be PUT from an RLIN telnet session; the route for XPOrted records from OCLC is less direct; it is therefore recommended that authority searching be done in RLIN rather than OCLC)
• typos in headings that should be corrected
• new subdivisions, most of which will not need new authority work (main headings will be checked as appropriate, as well as valid subdivision practice)
• incorrect subdivision in subject headings, etc. that created an improper new heading

The new headings report will be reviewed as described in a separate procedure.

Headings on new cataloging

Headings on member copy will not be routinely searched (except series; see below). If however a heading on copy is significantly different from the usage in the item being cataloged, the Advance and/or NAF authority record should be examined for potential revision.

1. Do a hot key search on the heading into the Advance authority file. If the Advance authority record includes the variant form on your item, you may stop authority searching on that heading.

2. If the Advance authority record does not include the variant, search the heading in NAF. If the NAF authority record includes the variant(s), PUT the record from RLIN and make a printout for the "new/problem authority record box" (put your initials and the date on the printout).

3. If the NAF authority record does not include the variant(s) on your item, or the item has additional information (e.g. death date, institutional affiliation, name change), printout the full authority record and bring it to the attention of the NACO liaison (currently Larry Heiman).

4. If you do not find an authority record in NAF, give the book to the NACO liaison (currently Larry Heiman) or Head of Original Cataloging (currently Sherman Clarke) so that a NAF authority record can be made.

Headings on original cataloging should be searched and authority records created or updated in NAF as appropriate. New or revised NAF records should be printed out and the printout put in the "new/problem authority record box" for PUTting after the record is produced (date and initial the printout).

Personal name example: your cataloging copy has main entry: Alexander, Ted; your book says: by Charles Theodore Alexander; you look at the authority record and find a reference from Alexander, Charles Theodore to Alexander, Ted

Corporate name example: your cataloging copy has added entry: Nykytaiteen museo (Helsinki, Finland); your book says: Museum of Contemporary Art, Helsinki; you look at the authority record and find a reference from the English to the Finnish form of the name

Database maintenance

In anticipation of WLN processing, authority errors identified in Advance were not corrected. After the loading of the second round of WLN-processed records (following their manual review), catalogers should identify and/or correct authority problems encountered during cataloging, particularly pairs, etc. of headings where one matches a NAF record. The incorrect heading(s) should be merged into the right cluster through changing the bib record(s) or updating the Advance authority record. If there are many records to be corrected, or the situation is complex, printout the heading browse screen(s), highlight the problem if not readily apparent, initial and date, and put in the "new/problem authority record box."

Series: new cataloging

On member copy which includes a series heading, the cataloger should do a hot key on the series from the bib record to the Advance authority file. If a full authority record is found, the 64X fields should be checked for treatment, as follows:

644 (analysis): f for full, p for partial, n for non-analyzed

645 (tracing): t for traced, n for not traced

646 (classification): s for classed separately, c for classed as a collection (classed together)

The $5 subfield gives an NUC code for the library that assigned the treatment. Assume NYU treatment is the same as LC's (or any other library) unless there are also NYU treatment fields. If there are NYU treatment fields, follow them. NYU's NUC code is "NNU". A "garden variety" class sep monographic series will be coded:

644 $a f $5 DLC

645 $a t $5 DLC

646 $a s $5 DLC

If series treatment varies among the NYU/consortium libraries, additional 64Xs should appear with the variances. Use parenthesis for sub-locations when necessary, e.g.

646 $a c $5 DLC

646 $a c $5 NNU

646 $a s $5 NNU (IFA; Cooper)

There may also be other fields which will affect the series treatment, e.g. 667 saying "Give phrase as a quoted note if not already recorded in body of entry."

Series: no Advance record & other maintenance

If the NAF series authority record shows treatment which is in conflict with pre-existing bib records in Advance, 64X fields should be added to the authority record in Advance to reflect NYU treatment. If the conflict between NAF and Advance seems accidental or inappropriate, the treatment should be brought into agreement. Check with your supervisor or the Serials Cataloger (presently Everett Allgood) or Head of Original Cataloging (presently Sherman Clarke).

If there is no series authority record, put the item on the series treatment shelf for a decision on treatment.

If none of the series situations in this memo match your item, bring the item to the attention of your supervisor or the Serials Cataloger or the Head of Original Cataloging.

[In the interim between the last FTP file to WLN and the return of the full authority records, series should be searched and, if there is a previous occurrence of the series in the database, assume it is ok. If the series does not occur in Advance, search NAF and PUT the record. If there is no NAF record, update the Advance record with 64X treatment fields for NYU.]