National Library of Australia Authority Control Policy
1. Scope
This document describes the National Library of Australia's policy on authority control. It expands on the brief policy outlined in the National Library of Australia Cataloguing Policy, as well as placing authority control within its broader context.
This document describes our policy on the creation and maintenance of authority records for all types of heading: personal, corporate and meeting names; uniform and series titles; and subject and geographic headings. It also describes the standards used in the formulation of authority records, and the Library's contribution to the development of those standards.
The policy does not address in detail the procedures and workflows associated with creating and maintaining authority records. These procedures are described in the in-house ILMS cataloguing manual.
Although the policy has been formulated with an awareness of the Australian National Bibliographic Database and its role in relation to authority records, the focus of the policy is the Library's internal cataloguing operations.
2. Purpose of authority control
Authority control is the process of establishing a single preferred form of a heading, which can then be used consistently, uniquely and unambiguously to refer to a single entity or concept. Authority records may also provide references from non-preferred headings and equivalent headings in non-Latin scripts, as well as references to related headings (former and later names; broader, narrower and related subjects), and can record a variety of notes such as scope notes and references to the sources consulted.
Authority control is of major importance to catalogue users as it supports consistent access to library catalogues; to cataloguers as it improves the efficiency of the cataloguing process; and to libraries as it enables the sharing of bibliographic records.
2.1 Catalogue users
This Authority Control Policy recognises that the primary purpose of authority control is to assist the catalogue user in locating items of interest. The reference structure of the authority record guides catalogue users to the form of heading under which all relevant works are collocated. In addition, the authority record itself has reference value. Examples of this value are: the life dates on personal name authority records; former and later names and scope notes on corporate name authority records; and the broader, narrower and related terms given on subject authority records.
To achieve this objective a reference structure and scope notes are provided as needed, and selected elements of the authority record and its reference structure are made visible and useable in the online catalogue.
2.2 Cataloguers
Authority control is also of value to cataloguers in improving the efficiency of their work, and to the Library as a whole as authority work allows us to maximise our resources. The reference structure and notes provided in the authority record are of value to the cataloguer when selecting the appropriate heading to apply to an item being catalogued. The creation of authority records allows cataloguers to record information gathered, and decisions made about the choice of a heading, in the course of cataloguing. It also avoids the need to repeat this work when another item by the same author, or concerning the same topic, is catalogued.
2.3 Sharing bibliographic data
The National Library of Australia has a commitment to contributing bibliographic data to the Australian National Bibliographic Database (ANBD). The use of authorised forms of headings improves the efficiency with which bibliographic records can be exchanged between our integrated library management system and the ANBD.
2.4 Sharing authority data
Authority data created by the National Library as part of our internal cataloguing operations is a major source of data for the national authority file on the ANBD, and we will continue to contribute new and changed authority records to the ANBD.
This national authority file may be re-used in a range of ways, such as in indexes and for rights management. It can also be shared with other communities through services such as MusicAustralia and the proposed People Australia project, as well as through contribution of Australian authority data to international authority programs and projects such as NACO or the proposed Virtual International Authority File.
The National Library is mindful of the range of potential uses for our authority data.
3. Standards and guidance
The use of standards in the creation of authority data assists the contribution of National Library authority records to national and international authority files.
3.1 Compliance with International standards
All authority records are formulated using the latest available edition of the following documentation:
- The Anglo-American Cataloging Rules 2nd ed. Rev. (AACR2R)
- The Library of Congress Rule Interpretations (LCRIs)
- The Library of Congress Subject Cataloging Manual
We are also guided by the Library of Congress’ Descriptive Cataloging Manual : Z1 : Name and series authority records.
The library codes its authority records according to the latest available edition of:
- The MARC 21 Format for Authority Data
Authority records contain all of the MARC 21 authority data elements recommended for a National Level Record---Authority Full Level.
3.2 Compliance with National Bibliographic Database standards
As a participant in the ANBD, the Library complies with their standards for name, title and series headings as described in Descriptive cataloguing standards, Guidelines for establishing name headings in Libraries Australia and Guidelines for establishing Library of Congress subject headings on Libraries Australia. We also comply with the ANBD's Standard for Australian subject headings, and use the Australian extension to LCSH.
Standards relating to the establishment of headings or authority records that are noted in the ANBD Descriptive Cataloguing Policy are also followed.
3.3 Standards development
The National Library is active in the development of existing standards in relation to authority control.
- The Library participates in the Australian Committee on Cataloguing, which contributes to the development of AACR2R and Resource Description & Access .
- The Library contributes to the development of the Library of Congress Subject Headings through participation in the Subject Headings Review Panel (SHRP). The Library is also a major contributor of new and changed subject headings for Australian terminology.
The National Library also monitors the development of new standards in the area of authority control.
4. Authority files
4.1 Standard authority files
The Library of Congress Authorities is the primary source of authority records for overseas name, title and series headings.
The Australian National Bibliographic Database Authorities and headings files are used as the primary reference files when determining the form of Australian name, title and series headings, and the references to be provided. This facilitates the contribution of National Library authority records to the ANBD.
The Library of Congress Subject Headings (LCSH) is used as the standard thesaurus for subject headings. We also use the Australian extension to LCSH which comprises additional subject headings and references adopted for use in the ANBD, and the headings listed in Australian Subject Access Project which are subject headings awaiting approval from the Library of Congress.
4.2 Specialist local thesauri
Bibliographic records may also use the following thesauri to supplement LCSH for the resources specified:
- Headings drawn from the Occupations thesaurus are used in catalogue records for manuscripts, oral history recordings and pictures.
In the future we intend to incorporate the reference structure of this thesaurus into the catalogue's authority file.
- A selection of headings drawn from the APAIS Thesaurus is used in catalogue records for some indexes and databases.
A limited range of institution-specific subject headings are also used in catalogue records:
- Music with an Australian association (eg. by Australian composers, on Australian subjects, or published in Australia to 1899) may have institution-specific subject headings applied. These headings are broad subject headings, modeled on LCSH, but qualified by 'Australian' and are applied in addition to the more specific LCSH. They may be subdivided by dates that reflect runs in the music stacks. They also may be subdivided by '--Juvenile'. The headings are controlled by an in-house listing, and are searchable in the library's online catalogue. Consideration will be given to incorporating this relatively static listing into the catalogue's authority file.
- All maps are given institution-specific geographic headings in addition to the corresponding approved geographic heading. They allow both geographical access by the larger region, and by situation date, which although present elsewhere in the catalogue record, are not easily searchable. No thesaurus of terms is available, and the headings are assigned in accordance with instructions in the in-house Map cataloguing manual. The headings are searchable in the library's online catalogue via the Map place index. Consideration will be given to the most appropriate method of controlling these terms.
- Objects are are given institution-specific headings for the type of object in addition to a LCSH. Consideration will be given to incorporating this relatively static listing into the catalogue's authority file.
5. Authority control priorities
Although it might be desirable to create authority records routinely for all headings used in bibliographic records, this ideal is moderated by resource constraints. This section of the policy describes the rationale for the priorities given to different types of headings depending on whether they are Australian or overseas, new or existing, and whether the decision to create an authority arises during copy or original cataloguing.
5.1 Australian headings
Our highest priority is the creation and maintenance of authority records for Australian name, title and geographic headings, and to the proposal of Australian subject headings and references when needed.
For Australian headings, no distinction is made between original and copy cataloguing. Authority records for new names and uniform titles are always imported if available from the ANBD. In addition, authority records for new names and uniform titles are created whenever the conditions in Section 6 apply.
In placing the creation of Australian authority records as our highest priority, we recognise three factors:
- As the national bibliographic agency for Australia, the National Library of Australia recognises its responsibility to establish the authoritative form of name for Australian authors1. This responsibility is shared between the Library's internal cataloguing operations and the ANBD. 2
- The Library is uniquely placed to establish Australian headings earlier,
and more accurately, than many other Australian libraries, due to:
- the contact we have with publishers and authors through our Cataloguing in Publication program, and our roles as the Australian International Standard Serial Number agency and the Australian International Standard Music Number agency,
- the contact we have with publishers, authors and prominent Australians through our collecting role in relation to materials such as archives and manuscripts, pictures, maps, music and oral histories, and
- our broad collecting role in relation to Australian print publications, which is supported by Legal Deposit, and by provisions for the supply of government materials and the collection of electronic publications (see the Collection Development Policy).
- As part of the Library's commitment to collecting and making accessible a comprehensive collection of Australian materials, most Australian materials are catalogued to a high level. The creation of authority records for Australian headings is recommended as part of the ANBD's High-level record standard.
5.2 Overseas headings
The creation or importation of authority records for overseas names and uniform titles is given a lower priority except for selected Asian vernacular publications which are catalogued to a high level.
For overseas publications in all other languages, a distinction is made between original and copy cataloguing.
- In copy cataloguing, name and uniform title headings are generally accepted as they are found and are not checked in the Library of Congress Authority File.
- In original cataloguing, name and uniform title headings are checked in the Library of Congress Authority File, and authorities are always imported if available. In addition, authority records for new names and uniform titles are created whenever the conditions in Section 6 apply.
In placing the creation of overseas authority records as a lower priority, we recognise two factors:
- The responsibility for establishing the authoritative form for overseas name and title headings rests with the national bibliographic agency in their country of origin.3
- In accordance with the National Library of Australia Cataloguing Policy, the cataloguing of overseas material has a lower priority than the cataloguing of Australian material.
5.3 New and existing headings
All new headings added to the National Library's database are checked, either as part of the record creation process or later using system generated reports. Authority records are created when required according to the guidelines in Section 6 and 7. Pre-existing headings are not routinely checked.
6. Creating authority records for names and titles
Authority records may be created for any personal, family, meeting or corporate name heading, or uniform title, used as a main or added entry heading in bibliographic records. Authority records are created when any of the situations in 6.1-6.3 below apply. Changes to authority records are made using the ANBD policy guidelines in Changing authorised headings in Libraries Australia.
Authority records are not created or imported for titles of numbered serials, but may be created for unnumbered monographic series if any of the situations in 6.1-6.3 below apply. 4
When the creation of an authority record is not required, every reasonable effort is made to choose the right heading to use in a bibliographic record. Authority files (see Authority files above) are checked, and if the heading is not found, a new heading established according to appropriate standards (see Standards and guidance above).
6.1 References or notes required
Authority records are created for headings used in bibliographic records whenever references or explanatory notes are required according to AACR2 and the LCRI.
Examples of when references or explanatory notes may be required for names are:
- Different names, or different forms of a name, are found in other bibliographic records or reference sources (AACR2 rules: 26.2A1-2, 26.3A1)
- Different elements of a name could be chosen as the entry point for the heading (AACR2 rules: 26.2A3, 26.3A3, 26.3A7)
- The works of one person are entered under two headings (AACR2 rule: 26.2C1)
- More detail is required (AACR2 rule 26.3C1), e.g. there are earlier and later forms of a name
Examples of when references or explanatory notes may be required for titles are:
- Different titles, or variants of the title, are found in other bibliographic records or reference sources ( AACR rule: 26.4B1)
- For the title of a part of a work that has been catalogued separately (AACR rule 26.4D2).
- When the title requires qualification to distinguish it from an otherwise identical title in the file
An authority record does not need to be created if the alternative form of the title is already represented in the bibliographic record, either in the title proper or in an untraced series. An authority record is also not required for name-title headings if the reference would result in the same string as the name/title in the bibliographic record.
6.2 Conflicts in the file
Authority records are created for headings used in bibliographic records whenever there is a conflict in the headings or authority file which requires resolution.
A conflict exists if:
- The works of a single person or body have been entered under different name headings
- The works of more than one person or body have been entered under the same heading
- A uniform title is identical to another uniform title, or to a collective uniform title
Most conflicts will be resolved by the person responsible for authority work as part of the cataloguing process. Complex problems should be discussed with the ILMS Unit (see also Section 8 Authority File Maintenance).
6.3 Recording sources, research and decisions
Authority records are created for headings used in bibliographic records to record any information available at the time of cataloguing that is helpful in identification, but which does not appear in the heading (e.g. date of birth, occupation, affiliations with institutions, etc.). Any additional sources that have been consulted to formulate the heading are also recorded in authority records (i.e. sources other than the item in hand and the bibliographic or authority files). Any relevant decisions made about cataloguing treatment may also be recorded in the authority record.
7. Creating authority records for subjects and geographic names5
Authority records are not created or imported for existing Library of Congress Subject Headings, but are created for proposed new or changed subject headings. New geographic name headings are proposed only if there is a conflict with the LC name authority, or there is a specific issue associated with the name which requires resolution.
7.1 When to propose a new or changed subject heading
The Development policy for Australian subject headings gives guidance on when it is appropriate to make a proposal.
- If an item cannot be given adequate subject coverage by using an existing LCSH, a combination of LCSH, or the Australian extension to LCSH, then a new subject heading may be proposed to the Library of Congress. This occurs most frequently with Aboriginal languages and peoples, uniquely Australian concepts, Australian flora and fauna and some specific one-of-a-kind topics, e.g. product names (technology).
- If an existing LCSH does not reflect Australian terminology, a reference using the Australian term is proposed.
7.2 How to make proposals
All new or changed subject heading proposals should be discussed with the Manager, Bibliographic Standards & Training before being submitted to ensure they are appropriate.
The National Bibliographic Database Services section provides the following forms and guidance:
Subject Heading Proposal Form and Subject Heading Proposal Form Instructions
LCSH Change Proposal Form and LCSH Change Proposal Form Instructions
The NBD Services section will refer any issues related to the proposals to the Subject Heading Review Panel.
7.3 Proposals in process
Authority records are created for all proposals, and notes on the progress of the proposal recorded in the authority record. If a proposal is approved, the authority record is updated with this information. If it is unsuccessful it may be considered for inclusion in the Australian extension to LCSH.
8. Authority file maintenance
The ILMS unit is responsible for an ongoing program of maintenance of the authority file. This maintenance has three elements: resolving problems related to the initial load of authority records; monitoring changes to authorised subject headings; and monitoring orphan, new and changed headings.
The ILMS unit is also responsible for monitoring developments which might make authority control more efficient, e.g. improved workflows offered by the ILMS software, processes involving global change to records, the automatic generation of authority records, and the services offered by external authority vendors.
More complex authority conflicts, or problems affecting large numbers of records, should be discussed with the ILMS Unit. They may recommend appropriate manual processes or arrange for the batch clean up or reload of records as needed.
8.1 The initial load of authority records
The current ILMS authority file was derived from the Australian National Bibliographic Database Authorities file. Any authority data attached to headings used in bibliographic records with National Library holdings was extracted and loaded to the ILMS. However, the following problems with this file are known to exist:
- Headings may be miscoded as Australian,
- Headings may not be coded as Australian, although they are (e.g. the subject headings which are part of the Australian extension to LCSH are not coded with ‘anuc’ in the 042.),
- Some bibliographic records are attached to pre-AACR2 forms of headings,
- Some bibliographic records are attached to references,
- Some bibliographic records are attached to old forms of subject headings,
- Headings may not be authorised, but may have large numbers of bibliographic records attached.
8.2 Changes to authorised subject headings
The authorised form of subject headings may change from time to time, either as a result of the work of the ANBD in updating the Australian extension to LCSH, or due to decisions made by the Library of Congress. Authority records may also be enhanced on the ANBD as part of projects such as Music Australia or the People Australia project.
Libraries Australia has undertaken to publicise such changes on Librariesaustralia-L, and the ILMS Unit will monitor these reports and decide whether to seek refreshed files from the ANBD, or to make changes directly on the ILMS.
8.3 System reports: orphan headings, new & changed headings
The New Headings report lists new headings added to the ILMS database during a specified period. This list is checked for three types of problems:
Simple errors
Headings which contain typos, misspellings, etc.
Headings for well established authors (and so which should not be new)
Headings clearly not in AACR2 form
Headings formulated according to earlier cataloguing rules (e.g. inverted corporate names, qualifiers using commas, etc.)
Headings which may require authority records
Personal names with multiple forenames, initials, hyphens, etc.
Corporate names with initialisms, abbreviations, etc.
Australian government headings (Commonwealth and State)
Headings with incorrect tags, indicators and subfield coding are not able to be picked up as part of this report.
9. Bibliography
Anderson, Dorothy. Universal bibliographic control : a long term policy, a plan for action Pullach/München : Verlag Dokumentation, 1974.
Authority control bibliography Last updated 2005. http://ublib.buffalo.edu/libraries/units/cts/ac/ac_bib.html
Cataloging Policy & Support Office, Library of Congress. Descriptive Cataloging Manual : Z1 : Name and series authority records
Clack, Doris H. Authority control: principles, applications, and instructions. Chicago: American Library Association, 1990.
IFLA UBCIM Working Group on Minimal Level Authority Records and ISADN. Mandatory Data Elements for Internationally Shared Resource Authority Records
IFLA Working Group on GARE Revision Guidelines for authority records and references 2nd ed. 2001.
Maxwell, Robert L. Maxwell's guide to authority work. Chicago : American Library Association, 2002.
National Library of Australia Cataloguing Policy
Tillett, Barbara B. "International Shared Resource Records for Controlled Access" in Authority Control in the 21st Century: An Invitational Conference.
Footnotes
1. This is an activity related to our Universal Bibliographic Control responsibilities. See Anderson, Dorothy. Universal bibliographic control : a long term policy, a plan for action Pullach/München : Verlag Dokumentation, 1974.
2. We also note that the SHRP is endeavouring to extend responsibility for the establishment of the authoritative form to Australian places, Aboriginal languages and peoples.
3. A high proportion of overseas publications have pre-publication or copy catalogue records, and the correct form of the name will have been established by the cataloguing agency.
4. Bibliographic records are created for the series title of numbered serials, and any changes of title are traced within the serial record(s). The title of the serial record is used as the series title in the records for monographs in that series. The correct form of the series title is established using the appropriate Authority file. If it becomes desirable in the future to create series authority records, this could be done using an automatic process, e.g. that used in Machine derived authority records http://www.loc.gov/catdir/mdar.html.
5. See section 4.1 for the standard authority files for subject and geographic headings.
Created 9 November 2004; last revised 2 February 2009
