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AUTHORITY CONTROL What You Need to Know to do it Yourself

AUTHORITY CONTROL What You Need to Know to do it Yourself. Dana Kemp (Mercer University) Beth Taylor (Univ. of Mich.-Dearborn) Barbara Kriigel (Univ. of Mich.-Dearborn).

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AUTHORITY CONTROL What You Need to Know to do it Yourself

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  1. AUTHORITY CONTROLWhat You Need to Know to do it Yourself Dana Kemp (Mercer University) Beth Taylor (Univ. of Mich.-Dearborn) Barbara Kriigel (Univ. of Mich.-Dearborn)

  2. AgendaIII headings reports including Automated Authority Control Processing[break]Maintaining subject headings with LC Weekly listsEnhancing database using III reports

  3. Mercer University • 300,000 bibliographic records • 150,000 authority records • Do authority work for 20,000 titles a year • Use Marcive for Government Documents • 1 professional cataloger, 2 cataloging assistants

  4. University of Michigan--Dearborn • 215,000 bibliographic records • 98,000 authority records • 4,500 titles cataloged annually • 2.25 FTE professional catalogers

  5. Using III Authority Reports Decisions • How often to print (or view online) • Mercer prints daily, UMD prints weekly • Whether or not to exclude records without a Cat Date in the bib record • If full record is downloaded at time of order, do not exclude Cat Date • Whether to limit any reports • What fields to include in duplicate field report • Call number, ISBN/ISSN, OCLC #, barcode

  6. Headings are Checked When: • Record is downloaded • Title is changed • Heading is added, deleted or modified • Record is suppressed or unsuppressed by using BCODE3 field in bib record • Bib record is deleted • Cat date is added to bib record

  7. Generating the Headings Reports From main menu, select D then H REPORTS ON HEADINGS F> Headings used for FIRST time I> INVALID headings used . . (other reports) . A> ALL reports C> CLEAR report file Q> QUIT

  8. Excluding Based on Cat Date • Select a report (or ALL) • System provides information and warning Exclude records without a CAT DATE? (y/n) • System can be set so this question is not asked; reports will automatically exclude bib records without cat date • workflow considerations

  9. Limiting by Other Criteria Limit report to specific F> Function done by user U> User T> Terminal number used by user L> Location in bib rec P> Prepare report Q> QUIT Choose one (F,U,T,L,P,Q)

  10. Headings Used for the First Time • Authors • Subjects (including subdivisions) • NOT series or uniform titles • perform authority work at time of cataloging • create list of new bibs with UTs and series, then check • UMD downloads authority record only if cross references (4xx or 5xx) are present

  11. Sample Authority Record A10818753 Last upd:03-28-00 Created:09-15-97 Rev:2 01 ACODE1: 02 ACODE2: 03 ASUPPRESS: 04 001 oca02099795 05 008 860211i anannbab a ana cz n 06 010 sh 85038796 07 053 QL737.C22|cZoology 08 053 SF421|bSF440.2|cDomestic animals 09 150 Dogs 10 450 Dog 11 550 Domestic animals|wg 12 681 |iExample under|aPets

  12. Expanded 008 Field 01 REC STAT (c) 12 Desc Cat (n) 23 Undefine ( ) 02 REC TYPE (z) 13 Sub Head (a) 24 Rec Updt (a ) 03 UNDEFINE ( ) 14 Type Ser (n) 25 Und PNam (n) 04 ENC LEVL (n) 15 Num Sers (n) 26 Levl Est (a) 05 UNDEFINE ( ) 16 Hdg-Main (b) 27 Undefine ( ) 06 UNDEFINE ( ) 17 Hdg-Subj (a) 28 Mod Recd ( ) 07 Date ent (860211) 18 Hdg-Sers (b) 29 Cat Srce ( ) 08 Geo subd (i) 19 Type Sub ( ) 09 Romanizn ( ) 20 Undefine ( ) 10 Lang Cat ( ) 21 Type Gov ( ) 11 Kind Rec (a) 22 Ref Eval (a) Key a number (1-29, Delete, Quit)

  13. Sample First Time Use (FTU) Author FIELD: 100 1 |aCole, Bernard Conrad INDEXED AS AUTHOR: cole bernard conrad MESSAGE: ----------FIRST TIME USE--------- PRECEDED BY: cole babette FOLLOWED BY: cole brock FROM: b1231545x Cole, Bernard Conrad The emergence of net-centric computing / Bernard C. Cole CATALOG DATE: 01-19-2000 FUNCTION: oc AT TERM: 0 INITIALS: bjt ON Tue Jan 18 2000 15:35:30

  14. First Time Authors • On III report, check preceding and following entries for new heading • Remember that preceding and following entries may be from 4xx or 5xx field in another authority record • Search OPAC only if a potential problem exists Groft, Tammis Kane Preceded by: grofman bernard Followed by: grogan denis joseph DECISION: no potential problem, skip OPAC search

  15. First Time Authors (con’t) • Search name in authority file (OCLC) • Download authority record if needed • Correct heading in OPAC if necessary

  16. First Time Authors (con’t) Alternate method • Search OPAC for name • Look for cross references • Look for other forms of name Groarke, Leo Groarke, Leo, 1953- • Remember that preceding and following entries may be from 4xx or 5xx field in another authority record • Look at other headings on screen and identify other potential problems in index

  17. First Time Authors (con’t) • Search name in authority file (OCLC) • Download authority record if needed (UMD and Mercer download only if 4xx or 5xx is present) • Correct heading in OPAC if necessary

  18. Example from Author FTU List FIELD: 100 1 |aDoyle, Arthur Conan,|d1859-1930 INDEXED AS AUTHOR: doyle arthur conan 1859 1930 PRECEDED BY: doyle anna beth FOLLOWED BY: doyle arthur conan sir 1859 1930 **Decision: verify form of name and correct wrong heading

  19. Example from Author FTU List FIELD: 100 1 |aDavis, Kenneth C INDEXED AS AUTHOR: davis kenneth c PRECEDED BY: davis kenneth FOLLOWED BY: davis kenneth culp **Decision: verify all three names

  20. Example from Author FTU List FIELD: 710 2 |aGood Thinking, Inc INDEXED AS AUTHOR: good thinking inc PRECEDED BY: good ronald g FOLLOWED BY: good thomas 1943 **Decision: no potential problem, verify heading

  21. Sample FTU Subject Entry FIELD: 650 0|aMirrors in art INDEXED AS SUBJECT: mirrors in art MESSAGE: -------FIRST TIME USE-------- PRECEDED BY: mirrors history FOLLOWED BY: mirrors in literature FROM: b12311785 Miller, Jonathan, 1934- On reflection / Jonathan Miller CATALOG DATE: 01-27-2000 FUNCTION: oc AT TERM: 0 INITIALS bjt ON: Thu Jan 27 2000 08:18:48

  22. First Time Subjects • Check preceding and following entries on list • Preceding or following entry may be from a 4xx or 5xx field on another authority record • Check for “root” heading in OPAC FIELD: 650 0|aDinosaur paraphernalia|zUnited States PRECEDED BY: dinophyta FOLLOWED BY: dinosaur provincial park **Decision: need authority record for Dinosaur paraphernalia since it has a 4xx

  23. First Time Subjects (con’t) • Search OCLC and download authority record if needed • Root heading or full subject heading or both

  24. First Time Subjects (con’t) • Can the free-floating subdivision be used for this type of heading? United States|xHistory|yCivil War, 1861- 1865|xPhotography **Decision: |xPhotography is authorized for Wars so heading is okay; verified that no authority record with xrefs existed for full subject heading

  25. First Time Subjects (con’t) • Is geographical subdivision in correct position? Aged|xAbuse of|zUnited States Learning disabled|zUnited States|xIdentification **Decision: |xAbuse of may be subdivided geographically; |xIdentification may not be subdivided geographically. Both headings are okay.

  26. Example from Subject FTU List FIELD: 650 0 |aFire|xComputer simulation INDEXED AS SUBJECT: fire computer simulation PRECEDED BY: fire companies FOLLOWED BY: fire departments **Decision: search OPAC to see if authority record for “Fire” exists. If not, search OCLC and download if needed (has xrefs) Check to see that |xComputer simulation is okay free-floater and search OCLC to see if authority record exists and is needed (has xrefs)

  27. Example from Subject FTU List FIELD: 650 0 |aIndustry and state|zUnited States INDEXED AS SUBJECT: industry and state united states PRECEDED BY: industry and state FOLLOWED BY: industry and state united states videocassettes **Decision: Searched OPAC and found xref: Industry and state SEE Industrial policy. Searched OCLC and verified that Industrial policy was correct; corrected heading on bib record. Heading did NOT appear on Invalid Headings report since it did not match 4xx EXACTLY (Industry and state). Also corrected the “followed by” heading which was on same bib record.

  28. Example from Subject FTU List FIELD: 650 0 |aScience fiction|xSocieties, etc INDEXED AS SUBJECT: science fiction societies etc PRECEDED BY: science fiction russian translations into english FOLLOWED BY: science fiction technique **Decision: |xSocieties, etc. is okay free-floater. Searched OCLC and found authority record with xrefs so it was downloaded

  29. Example from Subject FTU List FIELD: 650 0 |aSlave insurrrections|zUnited States|xSources INDEXED AS SUBJECT: slave insurrrections united states sources PRECEDED BY: slave insurrections virginia FOLLOWED BY: slave keeping **Decision: wondered why …Virginia preceded …United States since V doesn’t come before U and saw typo in new heading (3 r’s). Corrected bib record

  30. Example from Subject FTU List FIELD: 650 0 |aTravel|zGreat Britain|xHistory INDEXED AS SUBJECT: travel great britain history PRECEDED BY: travel french united states FOLLOWED BY: travel guidebooks **Decision: authority record for “Travel” shows it can’t be subdivided geographically. Corrected heading to Great Britain|xDescription and travel. Did not add |xHistory because |xDescription and travel cannot be subdivided by |xHistory SCM 1647:9

  31. OCLC Searching Tips • Many subject headings with free-floating subdivisions have been established by LC with cross references • May need to search multiple OCLC indexes • Example: Shakespeare is in both name and subject indexes • Corporate author, uniform title, personal name, subject, conference

  32. OCLC Downloading Tips • Interactive downloading • Authority records for 100, 110, 111 or 130 headings automatically index as author or title • when authority record is needed for the subject index, specify load table choice before exporting • Watch authority records with mixed tags (150 with 400 and 500 xrefs)

  33. OCLC Downloading Tips (con’t) • Batch downloading • Choose correct downloading table in III • No need to copy authority records • No problem with mixed tags

  34. Mixed Tags 150 0 Holy Cross 400 00 Jesus Christ|xCross 450 0 Cross 500 00 Jesus Christ|xCrucifixion 500 00 Jesus Christ|xRelics 550 0 Feast of the Cross Jesus Christ will be indexed as an author rather than a subject because it is a x00 field

  35. View with Innopac Tags • In database maintenance, type an asterisk (*) to see Innopac tags SUBJ AUTH Holy Cross NAME S FRM Jesus Christ Cross NAME SA FRM Jesus Christ Crucifixion NAME SA FRM Jesus Christ Relics SUBJ S FRM Cross SUBJ SA FRM Feast of the Cross

  36. To Avoid problems with Mixed Tags • Check tags before exporting from OCLC • Insert a command line (949) at the end of the authority record with mixed tags • Specify which “authority record load table” you wish to use • *atab=asub (for subjects) • *atab=anam (for names) • Can also be used when you want to use a name as a subject

  37. OTHER HEADINGS REPORTS

  38. Reports on Headings F > Headings used for FIRST Time I > INVALID headings used D > DUPLICATE call numbers & other errors B > BLIND References R > Duplicate authority RECORDS U > Bibliographic UPDATES ** N > NEAR matches ** L > BUSY matches ** X > Non-Unique 4XXs ** Y > Cross-Thesaurus matches ** A > ALL reports C > CLEAR report file Q > QUIT Choose one (F,I,D,B,R,U,N,L,X,Y,A,C,Q)

  39. INVALID headings used • Checks incoming 1xx, 6xx & 7xx against 4xx headings in Authority file • Must be a direct match, headings with subdivisions are not reported • You must make the correction • Search OPAC, verify heading • Search OCLC, verify that the correct heading is still valid, is so, correct the heading

  40. INVALID headings used 03-23-99 1 > FIELD: 650 0|aHealth care INDEXED AS SUBJECT: health care MESSAGE: --------------- INVALID HEADING --------------- CORRECT HEADING IS: medical care FROM: b11489339 Health care in big cities / edited by Leslie H. W. Paine CATALOG DATE: 03-07-2000 FUNCTION: ee AT TERM: 701 INITIALS: bjt ON: Tue Mar 7 2000 07:17:27

  41. ____ A10733383 Last updated: 03-10-93 Created: 03-10-93 Revision:1 01 ACODE1: 02 ACODE2: 03 ASUPPRESS: 04 001 sh 85082871 05 008 860211i anannbab b ana nz n 06 150 0 Medical care 07 450 0 Delivery of health care 08 450 0 Delivery of medical care 09 450 0 Health care 10 450 0 Health care delivery 11 450 0 Health services 12 450 0 Medical and health care industry 13 450 0 Medical services 14 450 0 Personal health services 15 550 0 Insurance, Health 16 550 0 Public health|wg

  42. Headings used for FIRST Time 03-07-2000 2 > FIELD: 650 0|aHealth care|xUtilization INDEXED AS SUBJECT: health care utilization MESSAGE: --------------- FIRST TIME USE --------------- PRECEDED BY: health care technology FOLLOWED BY: health catchment areas FROM: b10323570 World Health Organization. International Collaborative Study of Medical Care Utilization Health care : an international study : report of the World Health Organization/International Collaborative Study of Medical Care Utilization / edited by Robert Kohn and Kerr L. White ; with a foreword by Robert F. Bridgman CATALOG DATE: 03-07-2000 FUNCTION: ee AT TERM: 701 INITIALS: bjt ON: Tue Mar 7 2000 07:17:58 Health care|xUtilization is reported on “Headings Used for First Time” rather than on “Invalid Headings” because it does not match 4xx exactly

  43. DUPLICATE call numbers & other errors • Alerts you of duplicate errors • Duplicate call numbers • Duplicate OCLC # or ISBN /ISSN • Duplicate barcodes (patron and item) • Or can be set to “none” (catching nothing) • You make corrections

  44. DUPLICATE call numbers & other errors 03-27-2000 1 > FIELD: 39076001931166 INDEXED AS BARCODE: 39076001931166 MESSAGE: --------------- DUPLICATE USE --------------- FROM: i13091372 Cunningham, Michael R Buddhist treasures from Nara / Michael R. Cunningham ; with essays by John M. Rosenfield and Mimi Hall Yiengpruksawan FUNCTION: oc AT TERM: 0 INITIALS: xyz ON: Wed Mar 22 2000 11:10:46 2 > FIELD: 001 39216356 INDEXED AS OCLC NO: 39216356 MESSAGE: --------------- DUPLICATE USE --------------- FROM: b12327025 Cunningham, Michael R Buddhist treasures from Nara / Michael R. Cunningham ; with essays by John M. Rosenfield and Mimi Hall Yiengpruksawan CATALOG DATE: 03-24-99 FUNCTION: oc AT TERM: 0 INITIALS: xyz ON: Wed Mar 22 2000 11:08:04

  45. You searched for the BARCODE: 39076001931166 2 entries found, entries 1-2 are: CALL # 39076001931166 1 Buddhist treasures from Nara / Michael R. Cunning N7357.N3 C86 1998 2 Buddhist treasures from Nara / Michael R. Cunning N7357.N3 C86 1998 **Two item records with same barcode to one bib record ________________________________________________________ You searched for the OCLC NO: 39216356 2 entries found, entries 1-2 are: CALL # 39216356 1 Buddhist treasures from Nara / Michael R. 2 Buddhist treasures from Nara N7357.N3 C86 1998 **Overlay did not occur, bib record without call number is short bib record with order record

  46. BLIND references • Reported once • Author -- title -- subject • Manually delete if all headings are out of the database • We retain blind reference when we have the heading with subdivisions so we can have use of the cross references

  47. BLIND References 03-27-2000 2 > FROM: a11036825 SUBJECT 150 0|aDrivers' licenses FUNCTION: oc AT TERM: 0 INITIALS: ON: Thu Mar 23 2000 15:07:26 MESSAGE: ----------- IS A BLIND REFERENCE -----------

  48. You searched for the SUBJECT: drivers lic 3 SUBJECTS found, with 3 entries; SUBJECTS 1-3 are: 1 Drivers Licenses --> Authority Record ............ 1 entry 2 Drivers Licenses United States ........................ 1 entry 3 Drivers Licenses United States States ...............1 entry

  49. Duplicate authority RECORDS • Alerts you of duplicate authority records • Will alert you of “duplicate” author records when there is an added |t, |l, |k [Not really a duplicate] • You make correction

  50. Duplicate authority RECORDS 03-27-2000 1 > FIELD: 150 0|aMicrofinance INDEXED AS SUBJECT: microfinance MESSAGE: --------------- DUPLICATE AUTHORITY --------------- FROM: a11036904 FUNCTION: oc AT TERM: 0 INITIALS: ON: Thu Mar 23 2000 15:11:42

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