Cataloging Standards

Authors: Elisabeth Aurelle, Michael Conkin, and Tonette Mendoza

Note: This is the third of four documents which constitute the Cataloging source document. Move between documents using the links located at the end of the present document.

D. Authority/Headings Work

1. Authority records
   Authority records contribute to the overall cataloging goal of providing informed access by ensuring consistency of name (personal, corporate, conference and geographic), series and uniform title headings used in bibliographic records.

   This is accomplished by establishing an authoritative single form and explicitly referencing variant forms (series authority records also establish analysis, tracing and classification treatment). The behind-the-scenes control over headings and cross-references exerted by authority records is essential to provide adequate access to the Library's collections and records.

2. Headings
   The GLADIS headings file includes:
   
   • name/series/subject/uniform title authority records
   • headings directly controlled by authority records
   • other so-called "short" headings resulting from their original appearance as main/added entries or subjects in GLADIS bibliographic records and not otherwise controlled by GLADIS authority records
3. Scope of Function
   
   • In authority/headings work, catalogers adhere to recognized national standards as established by the Library of Congress and interpreted in the Cataloging Directives Manual (see Cataloging Directives Manual A.00) and other local directives to:
     • make authority records for GLADIS (via utility, via LC for the Name Authority Cooperative Program (NACO) contributions, or created online), verifying headings and references per policy
     • edit, upgrade, merge, delete authority records in GLADIS
     • correct non-standard headings
   • These functions are performed in all cataloging units by experienced catalogers at the time of cataloging (see III.B and C., above). Note: authorities/headings work is not routinely performed in Copy Cataloging Division.

     The work can range from a simple merge of two identical headings to the creation of an extremely complex authority record affecting multiple screens of headings in the database.

     In addition, authority-record and headings-file management operations (split-file resolutions, headings/tracings corrections, other problem-solving) are performed on a project basis in all cataloging units; problems relating to LC subject-file loads ar e handled centrally.

   • Authorities export/uploading
     LC maintains two separate authority files, one for names (which includes series), and one for subjects. The LC subjects authority file updates are regularly loaded into GLADIS; the names authority file which was loaded some years ago, however, has never b een updated, so LC (and other institution) authority records available in the OCLC authority file must be loaded into GLADIS via this procedure:

     After establishing that no name/series authority records matching the headings used in the bibliographic records are available in GLADIS, and are available in OCLC, catalogers initiate exporting of the OCLC authority records to diskette. The diskettes from all cataloging units are physically transported to the Systems Office, which manages the uploads to GLADIS of the OCLC authority records.

     Post-load error-log printouts are produced which are picked up from the Systems Office and reviewed by authorities specialists in each unit.

   • Original authority records
     If no authority records are available in OCLC, catalogers follow library policy (see Cataloging Directives Manual A.00) and local guidelines to create or not create an original authority record in the GLADIS headings file. Generally, original authority re cords will be created to distinguish identical names, to collect under one uniform title various forms of a title, or to provide cross-references.

     RECOMMENDATION: The process of headings verification and export is so cumbersome that Copy Cataloging Division does not routinely perform this work, and some other units may do so as time allows. These lapses compromise the integrity of the ca talog and cause much confusion among Library staff and users. The panel recommends that the Library allocate the resources necessary to load the present LC names authority file and its subsequent updates in GLADIS. Following the initial load, reevaluate Copy Cataloging Division workloads in order to either reinte grate authority work or establish an authorities maintenance unit responsible for correcting conflicts. A web form allowing communication with our priority clientele is also recommended; see Appendix: Penn Library Web Forms

     NOTE: The Library also participates in the Name Authority Cooperative Program (NACO). This project allows for a number of our original authority records to be added centrally into the Anglo-American Authority File (AAAF) via the Library of Congress aut hority file (these records also need to go through the downlaoding process from OCLC to GLADIS.)

4. Performance context
   Staff performing this function need:
   • Access to a networked PC with the current versions of OCLC Passport for Windows -- with the appropriate file-export functions in place -- (and/or RLIN Terminal for Windows) and TTE software installed
   • Written documentation and standards (includes current revisions and periodic updates):
     • UC Berkeley Cataloging Directives Manual and its referenced sources
     • 1988 Revision and Library of Congress Rule Interpretations
     • Library of Congress Cataloging Service Bulletins
     • USMARC Format for Bibliographic Data
     • USMARC Format for Authority Data (including the Z1 addition issued by
     • the Library of Congress (known as the yellow pages))
     • Library of Congress Subject Cataloging Manual (all sections)
     • Online Monographic Brief Cataloging Manual
     • GLADIS Maintenance System: A Reference Manual
     • PRISM Cataloging User Guide
     • PRISM Authorities User Guide
     • OCLC Bibliographic Formats and Standards
     • Cataloging in RLIN
     • RLIN Supplement to USMARC Bibliographic Format (optional)
     • CONSER Editing Guide (Serials)
     • CONSER Cataloging Manual (Serials)
     • Standards for Formatting Summary Holdings for Serials with its Serials Cataloging Supplement
     • Guides to searching in GLADIS/OCLC/RLIN
     • Atlases, geographic dictionaries and gazetteers
     • ALA Romanization tables
     • Language references (dictionaries, manuals, etc.)
     • Dictionaries, encyclopedias and other reference resources (including specialized subject tools as needed)
     • Other format-specific documentation for cataloging as well as local unit guidelines for authorities/heading file management
   • Preparation:
     Catalogers having appointments within the Librarian series are prepared to perform authority/headings work by way of education, professional background and acclimatization to the local cataloging environment. Catalogers classified in the Library Assistant series are prepared to perform authority /headings work by training and experience gained through service. However acquired, the fundamental requirements for authorities/headings work are equivalent and include:
     • Thorough understanding of authority work and its purpose
     • Advanced bibliographic knowledge, including close familiarity with the key resources noted above
     • Advanced knowledge of MARC bibliographic and authority format(s) as used especially in OCLC and GLADIS
     • Language skills sufficient to establish headings in a variety of languages
     • Subject knowledge as applicable to specialization
     • Advanced searching skills in authorities files (GLADIS, OCLC/RLIN)
     • Standard keying and editing skills to enable authority record-creation, authority/headings merges, and headings management in GLADIS (requires full bib and authority edit authorizations)
   • Workflow and organization
     
     • Thorough knowledge of unit workflow
     • Understanding of unit organization and purpose
     • Complete understanding of cataloging and authority/headings policies, priorities and practices, etc., as related to unit and Library mission
     • A collegial work environment allowing for consultation and referral
   • Reliable and timely authority-record uploads and downloads managed by the Library Systems Office according to published schedules
5. Performance standards
   The basic Librarywide standards for this function might be expressed in this way:
6. Exported authority records should load successfully
   Discounting load delays/failures and other factors beyond the control of catalogers, authority records failing to appear in GLADIS are the result of errors made at the time of export. The acceptable error rate for this indicator is 5%, the rate being meas urable by reviews as described below.
7. Elements of the authority record added to GLADIS should have as few errors as possible affecting access and headings control; error rates should not exceed:
   • 2% in the headings area
   • 5-10% in each of the following areas:
     -- references, fixed-field elements, numbering examples and treatment fields (series authority records)
   • 15% in the note areas

   The most effective performance indicator to measure correctness/error rates in these categories is a regular post-authority/headings work quality review concentrating on the mechanical as well as intellectual aspects of authorities work, and taking ful ly into account subjective considerations and judgements made at the time of performing the work.

   In practice, such reviews may best be undertaken as part of the rigorous self-review characteristically exercised by catalogers performing these activities. Other indicators might include:

   1. Requests for corrections to GLADIS records from staff Librarywide (including those forwarded from end users)
   2. Rate of production: measured by comparing output figures with the time spent in doing work; usually derived from statistical reports. In practice difficult to measure without detailed contextual breakdowns, since work can range from the extremely sim ple to the extremely complex.

   NOTE: Additional standards for particular categories of authorities/headings work and more specific standards for evaluation of quantity and timeliness of this function may be developed locally.

E. TCP (Temporary Cataloging Pool) Processing
MAIN Library material (temporary cataloging may also be performed in the self-cataloging units -- consult local standards) is selectively added to the collection via TCP procedures when:

• no usable bibliographic copy is available, and:
• its current priority is too low (due to language/script of text, subject category, origin and nature of work, unit workload, etc.) to make it eligible for original cataloging and central shelving.

Instead, items in this category are minimally cataloged and sometimes routed for remote-storage shelving; the intent is that TCP material will be fully cataloged as time and resources allow.

Before TCP input, items received through gift, exchange, PL 480, blanket-order and depository arrangements (i.e., material which has not been ordered) are not represented in GLADIS; ordered items are represented in GLADIS by on-order or in-process rec ords.

The aim of TCP input is to upgrade the GLADIS record to the Library's "level-d" standards (or create in GLADIS a level-d record) by keying the minimal author, title, publishing, physical description and series (Copy Cataloging Division currently does n ot always add series) information, taken directly from the item in hand, and assigning as the call number an alphanumeric designator taken from a sequence of preprinted labels. When this process is completed, material is routed to NRLF.

TCP processing activities are normally performed by student Library employees.

1. Performance context
   Staff performing this function need:
   • Access to a networked PC with TTE/GLADIS capabilities for macro-assisted TCP record editing and creating, and the appropriate bib-edit authorization to accomplish same
   • TCP labels, barcode reader and barcode stock
   • Written documentation
     • All current TCP update and record create procedures
     • Basic understanding of cataloging principles, including access-point concept, importance of accuracy, etc.
     • GLADIS Maintenance System: A Reference Manual
     • BSD Online Cataloging Manual
     • Language dictionaries
     • Geographical dictionaries and atlases
     • Initial article tables
     • Romanization tables
     • Language and country code tables
   • Training and review
     
     • Basic understanding of TCP purpose
     • Basic understanding of MARC coding in the fields used in TCP
     • Basic PC skills
     • Basic GLADIS searching, keying and editing skills
     • Basic understanding of GLADIS holdings area and V/C-field conventions
     • Adequate language skills for special-language material
   • Workflow and organization
     Awareness of when and where to get help when needed
2. Performance standard
   The basic standards for this function might be expressed in this way:
3. It should normally take 2-5 minutes to complete a TCP upgrade and 5-10 minutes to create a TCP record in GLADIS
4. The TCP record added to GLADIS or created online should have a complete minimum-level record with error rates no higher than:
   • 2% each in the title and TCP call number areas
   • 5% in the author area
   • 10% each in the publisher, physical description, holdings, V/C fields and series areas

The single most effective indicator for measuring correctness/error rates in these categories is a regular post-TCP quality review check of the GLADIS record comparing total items cataloged with errors identified in each category. Such reviews are not being conducted in the central unit as of this writing.

Additional indicators might include:

1. Returned materials and/or requests for corrections to GLADIS records from NRLF
2. Assessments of database management staff work levels: See III.F., below
3. Rate of production: measured by comparing output figures with the time spent in doing work; usually derived from statistical reports.
   

   ---

   
   Move forward to document 4 of 4.
   Move back to document 2 of 4 or 1 of 4.

Copyright © 1996-2003 The Regents of the University of California. All Rights Reserved.
Last updated 08/04/05 Contact