2.0 Authority Records

2.4 Authority Record Maintenance

2.4.1 Displaying and Modifying Authority Records

Maintained by Elizabeth Tobiasson

In WorkFlows, the authority file and the bibliographic file are separate. The authority file itself has also been divided into several indexes. Those used most often are the NAME, SUBJECT and GENRE indexes.

The NAME index contains all authority records with the following tags:

• 100 – Persons and Families, Works and Expressions with authorized access points in the form Name. Title (including some series)
• 110 – Corporate Bodies
• 111 – Meetings
• 130 – Works and Expressions with authorized access points not including a creator (including some series)
• 151 – Places

The SUBJECT index contains authority records with the following tags:

• 150 – Topical term
• 180 – General subdivision
• 181 – Geographic subdivision
• 182 – Chronological subdivision
• 185 – Form subdivision

The GENRE index contains authority records with the following tag:

• 155 – Genre/Form term

4XX (see) references will post to the authority indexes. 5XX (see also) references do not post in the authority indexes. They only post in bibliographic/public searches.

Displaying an Authority Record

You can use the Display Authority wizard in WorkFlows to display an authority record. You cannot make any edits to an existing authority record when using this option.

1. Within the Authorities group of wizards, click the Display Authority button .
2. If necessary, use the drop down list to select the index you want to search.
3. Type your search term in the Search for box and click Search. A browse list displays in the hit list area. The selected heading will display in the lower portion of the window with the Control Tab, Description Tab, and Extended Information Tab.
4. Select the authority term you want to view.

When performing an authority browse search, established authority headings in 1xx fields are preceded by an authority icon indicating that an authority record is associated with that heading. References in 4xx fields are preceded by a cross-reference icon . In the Subject index, subdivision records (18X tags) have no icon in the display list.

Modifying an Authority Record

Use the Modify Authority wizard in WorkFlows to edit or view authority records that are already in the authority file. If you want to copy an access point (1XX field) to use in a bibliographic record, use this option.

1. Within the Authorities group of wizards, click the Modify Authority button.
2. If necessary, use the drop down list to select the index you want to search.
3. Type your search term in the Search for box and click Search. A browse list displays in the hit list area. The selected heading will display in the lower portion of the window with the Control Tab, Description Tab, and Extended Information Tab.
4. Select the authority record you want to edit or view, then click Modify.
5. To modify the authority record, click the Control or Authority tab.
6. After an authority record has been modified, click Save to save your changes.

When performing an authority browse search, established authority headings in 1xx fields are preceded by an authority icon indicating that an authority record is associated with that heading. References in 4xx fields are preceded by a cross-reference icon . In the Subject index, subdivision records (18X tags) have no icon in the display list.

2.4.2 Creating a Subject Heading + Subdivision Record

Maintained by Elizabeth Tobiasson

As of about 2015 the system was changed to cascade subdivisions off authorized headings in all 6XX fields except 655. The result is these access point strings only display |?UNAUTHORIZED if the first part of the string is unauthorized or there is some other problem with the access point. Previous to this date the following procedure was followed to create local authority records for these strings.This procedure still works for 655 fields. If a cataloger wants to create a local authority record for a string in another 6XX field, please consult the Authorities Specialist.

Former procedure:

Catalogers can create a Subject or Name Heading + Subdivision record for unauthorized access points on records you catalog or update in WorkFlows. These records are sometimes called provisional or validation records, and their purpose is to authorize access points (remove the |?UNAUTHORIZED message in the field).

1. Check the authority file for a record:

   • If you find a record, use the access point found on the authority record.
   • If you don’t find a record, use the Validate headings button in the bibliographic record to create a heading.
2. On the Bibliographic tab, click the Validate Headings button ().
3. When the access point you want to authorize appears in the Heading dialog box with an |?UNAUTHORIZED message, click Propose. This creates a new record with reasonable values in the fixed field and 001, 005, 040, 1XX, and 670 entries (plus the 022 and 642-646 entries for a series heading) based on the information in the bibliographic record being validated, and displays the Description tab for review. The newly proposed authority can then be edited as necessary before being added to the authority index.
4. On the Control tab, type “UPB” in the Source field.
5. Click OK, then click Next.
6. Repeat steps 3-5 for any other unauthorized access points on the record.
7. When the Validation Complete dialog box appears, click OK.
8. Check the access point in the bibliographic record to make sure it includes the proper ending punctuation, which may have been deleted in the validation process.
   

2.4.3 Marking Records to Not Be Updated or Overlaid

Maintained by Elizabeth Tobiasson

Sometimes we want to preserve local information in authority records and prevent it from disappearing if the record is overlaid. For example, our local series treatment is locally added; sometimes we have added local call numbers for authors; sometimes the genre/form project requires that certain subject headings no longer be used; sometimes special instructions have been added to records, e.g., to route something to a certain cataloger, how to use a subdivision, or not to use a subdivision. The following procedure prevents authority records from being overlaid. Note: this means that if a new version of the record is imported into the catalog it will create a duplicate which will need to be addressed manually by the Authorities Specialist.

To mark an authority record so that it will not be updated or overlaid by an updated authority record during batch processing

1. Open the authority record you want to edit using the Modify Authority option in WorkFlows.
2. In the 040 field of the authority record, add |dUPB.
3. On the Control tab, add an X before the LCCN in the Authority ID field. For example:
   XSH85043777
4. On the Authority tab, add a 690 field with your initials, explain why the record should not be overlaid, and list the changes made.|For example:
   690  rlm added 667, 680, changed to ref record DO NOT OVERLAY
5. Add any notes needed to inform catalogers about the use of this record.For example:
   667  CATALOGERS: do not use this heading as a subject heading. For works about English literature, use English literature–History and criticism. For collections or individual works use the genre/form term (655 field)|5UPB
6. Add |5UPB at the end of any added or modified field (see the example in step 5 above).
7. Click Save to save your changes.
   

2.4.4 Duplicating Authority Records

Maintained by Elizabeth Tobiasson

Sometimes new authority records need to be added that are similar to established terms already in the authority file, such as a heading with subdivisions. For example, we have an authority record for United States |x History and we need a record for United States |x History |v Juvenile literature. You can use the Duplicate Authority Record wizard in WorkFlows to create a new authority record in the authority file by copying the authority information from an existing record.

To duplicate an authority record

1. Within the Authorities group of wizards, click the Duplicate Authority button . The Authority Search window appears.
2. If necessary, use the drop down list to select the index you want to search.
3. Search for the authority record you want to duplicate. If your search finds results, a browse list displays in the hit list area.
4. Select the authority record you want to copy, then click Duplicate.
5. On the Control tab, enter “UPB” in the Source field, select “Today” from the Date authorized drop down list, make any other changes (e.g. change LCSH to GENRE_FORM) and leave the Authorization level as “Provisional.” You will also need to copy the Authority ID:
6. On the Authority tab, a copy of the authority record you selected in step 4 displays with DUPLICATE AUTHORITY preceding the leading term. Modify the entry to the new heading (which might involve changing the tag) and enter any additional authority information or make other modifications as needed. Make sure you delete “DUPLICATE AUTHORITY” from the 1XX field and delete any extra fields you don’t need in the new record. Paste the Authority ID from the Control tab into the 001 field.
7. Click Save to save your changes.

2.4.5 Conversion Chart for Authority Record Fixed Field Codes

Maintained by Elizabeth Tobiasson

Conversion Chart for Authority Record Fixed Field Codes

2.4.6 Subject Thesauri Used in the BYU Catalog

Maintained by Elizabeth Tobiasson

The BYU library catalog uses LCSH for its subject thesaurus. Terms from this thesaurus are identified by second indicator “0” in 6XX fields. All items except some literature and fiction should have at lease one LCSH subject heading.

Headings with other indicators derive from other subject thesauri and should be deleted. For your information, these are:

Second indicator “1”= LC subject headings for children’s literature
Second indicator “2” = Medical Subject Headings (MESH)
Second indicator “3” = National Agricultural Library (NLM) subject authority file
Second indicator “4” = Source not specified
Second indicator “5” = Canadian Subject Headings
Second indicator “6” = Répertoire de vedettes-matière (French-Canadian Subject Headings)
Second indicator “7” – Source specified in subfield $2

There are dozens of possible thesauri that might have second indicator “7.” Some of the more common include FAST headings, and other language headings such as Spanish or German.

Any 690 field (local subject heading) should be deleted unless it deals with Mormon material, in which case, the item should be sent to one of the Mormon catalogers or the Authorities Specialist. The eventual goal is to eliminate all 690 fields.

655 Fields

Unlike other 6XX fields, 655 fields (genre/form terms) do draw on a number of different thesauri. Most will be coded with second indicator “7”, with the code for the thesaurus in subfield |2. Genre/form terms derived from LCSH have been coded both with second indicator “0” or second indicator “4.” Either is acceptable.

If the 655 field shows “UNAUTHORIZED”, first check to see if the 655 heading is established (see the GENRE-FROM authority file in WorkFlows). If the heading has not been established, talk to Bob Maxwell.

2.4.7 SmartPorting Authority Records

Maintained by Elizabeth Tobiasson

You can use the SmartPort wizard to search or browse Z39.50 authority resources and import records from these resources into WorkFlows. Before you SmartPort any authority records, please consult with the Authorities Specialist, and make sure that your SmartPort settings are correctly configured.

To set SmartPort properties for authority records in WorkFlows

1. Right-click the SmartPort icon on your toolbar.
2. Click Properties.
3. In the SmartPort: Properties dialog box, scroll down until you see the “Authority Record Load Options” section.
4. Make sure that “Match and load” is selected.
   
   • This option searches for an existing, matching record in WorkFlows and loads the record based on the result, and overlays the existing record. The matching and loading is based on the values in the Authority Control Number Source field.
   • When WorkFlows finds a matching record, a window displays indicating the type of match used, and the matched number. For example: Matching record found on control number from 001 — N85149504
   • Whether the record is matched or not, the incoming record will be loaded into a SmartPort capture record. This record can then be edited or the SmartPort can be completed or canceled.
5. Make sure that the “Authority control number source” textbox contains “nc” (no quotes).
   
   • This field lets you specify the entries in the MARC authority record that should be checked for a match in the catalog. The “nc” entry specifies the 010 and 001 control numbers. WorkFlows checks the catalog for an authority control number source match on the first authority control number source value. If no match is found, the second authority control number source will be checked. These values are also required for the Replace Current Record option to supply control number information.
   • Note: If the “Authority control number source” field is blank, any record you SmartPort comes into Symphony with an OCN number in the Authority  ID field (located on the Control tab) instead of an LCCN. This causes duplicate authority records when we get records from Backstage, or when other people with the correct settings SmartPort the same record. To prevent this from happening, please make sure that your “Authority control number source” field contains “nc”.
6. Click OK.

To SmartPort an authority record in WorkFlows

1. Click the SmartPort icon on your toolbar.
2. Select OCLC Authorities in the Connect to Databases list, then click Connect.
3. To search by LC control number, enter the number of the authority record you want to SmartPort in the LCCN field. If you want to search by name, title. subject, corporate author, conference author, genre/form, etc., enter text you want in the appropriate field.
4. Click Search.
5. Select the record you want in the Search Results list, then click Capture.
6. Make sure Match and Load is selected in the Smart Port: Capture dialog box and that the Authority control number source field contains nc, then click OK.
   
   • Selecting Match and Load uses the match points to determine whether any record in the catalog matches the one that is being captured. If any record does match, you will be notified before it is displayed that the record will be replaced. The warning will say: “Matching record found on control number from <control number>.” Click OK to continue. If there is not a match, a new record will display for you to accept or modify.
   • Selecting Replace current record overlays any authority record that is displayed, selected, or in memory in WorkFlows. Do not select this option.
7. In the displayed authority record, copy the LCCN from the 010 field into the 001 field, replacing the oca number.
8. On the Control tab, select Today from the Date authorized drop-down list, then click Save.
9. Click Close.
10. You can search for the record in WorkFlows if you want to make sure that the new/updated record was imported correctly.
    

2.4.8 Validating Authorized Access Points in Bibliographic Records

Maintained by Elizabeth Tobiasson

You can use the Validate Headings helper in WorkFlows to check bibliographic access points under authority control and validate indicators and subfields. This helper displays only in wizards that allow you to modify the bibliographic record in the Bibliographic tab.

With the Validate Headings helper, you may be prompted to verify tags under the following circumstances:

• Indicators do not meet the parameters defined.
• Access point in author (1xx, 7xx), series (4xx), or subject (6xx) tags are unauthorized.

To validate headings

1. When adding or modifying a bibliographic record,  click the Validate Headings button  on the Bibliographic tab.
2. The heading to be authorized appears in the Heading field and an ”Unauthorized heading” message displays below.
3. Review the displayed indicator or heading problem, then click one of the following options:
   
   • Next – Validates the heading, and then advances to the next heading. If the heading cannot be validated, it will continue to display as the current heading until it is either corrected or skipped. Invalid or skipped headings continue to display the next time the Validate Headings helper is used.
     The Next button is unavailable until a heading is corrected or retrieved from the hit list that displays when you click Get From List.
   • Browse – Returns you to the Browse Authority hit list.
   • Get From List – Retrieves the currently selected authority heading from the Browse hit list.
   • Skip – Skips the heading displayed without making changes or validating the change.
   • Skip Rest – Skips the remaining headings without making additional changes.
   • Propose – Creates a new authority record based on the unauthorized heading in the bibliographic record. The Propose Authority option creates a new record with reasonable values in the fixed field and 001, 005, 040, 1XX, and 670 entries (plus the 022 and 642-646 entries for a series heading) based on the information in the bibliographic record being validated, and displays the Description tab for review. The newly proposed authority can then be edited as necessary before being added to the authority database.
4. After validating a heading, a Validation Complete dialog box displays with information about the number of entries checked and the number of unauthorized headings found, authorized, and skipped. Click OK.