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Mastering Authority Control: A DIY Guide for Librarians

This guide by Barbara Kriigel and Beth Taylor from the University of Michigan-Dearborn offers essential insights into automated authority control processing. It details how to maintain subject headings, utilize III reports for effective cataloging, and implement best practices for authority work. With case studies from the University of Michigan-Dearborn and Mercer University, the report outlines workflows, decision-making processes, and innovative strategies for enhancing bibliographic records. Ideal for library professionals looking to improve their cataloging efficiency.

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Mastering Authority Control: A DIY Guide for Librarians

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  1. AUTHORITY CONTROLWhat You Need to Know to do it Yourself Barbara Kriigel & Beth Taylor (bkriigel@umich.edu) (bjtaylor@umich.edu) University of Michigan--Dearborn

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

  3. University of Michigan--Dearborn • 210,000 bibliographic records • 95,000 authority records • 5,000 titles cataloged annually • 2.25 FTE professional catalogers

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

  5. USING III AUTHORITY REPORTS Decisions • How often to print (or view online) • UMD prints weekly, Mercer prints daily • 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

  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 • UMD downloads authority record only if cross references (4xx or 5xx) are present

  11. Sample Authority Record A10818753 Last upd:03-04-96 Created:02-15-93 Rev:2 01 ACODE1: 02 ACODE2: 03 ASUPPRESS: 04 001 sh 85038796 05 008 860211i anannbab a ana cz n 06 053 GR720|cFolklore 07 053 GT5890|cManners and customs 08 053 QL737.C2|cZoology 09 053 SF421|bSF440.2|cDomestic animals 10 150 0 Dogs 11 450 0 Dog 12 550 0 Domestic animals 13 681 |iExample under|aPets

  12. Expanded 008 Field 01 REC STAT (c) 11 Desc cat (n) 21 Ref eval (a) 02 REC TYPE (z) 12 Sub head (a) 22 Undefine ( ) 03 BIB LEVL ( ) 13 T of ser (n) 23 Rec updt (a) 04 ENC LEVL (n) 14 Num sers (n) 24 Und pnam (n) 05 CAT FORM ( ) 15 Hdg-main (b) 25 Levl est (a) 06 Date ent (860211) 16 Hdg-subj (a) 26 Undefine( ) 07 Geo subd (i) 17 Hdg-sers (b) 27 Mod recd( ) 08 Romanizn ( ) 18 T of sub ( ) 28 Cat srce ( ) 09 Undefine ( ) 19 Undefine ( ) 10 K of rec (a) 20 T of gov ( ) Key a number (1-28, 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: 01-19-99 FUNCTION: oc AT TERM: 0 INITIALS: jfw ON Tue Jan 19 1999 15:35:30

  14. First Time Authors • 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 an authority record • Look at other headings on screen and identify other potential problems

  15. First Time Authors (cont) • Search name in authority file (OCLC) • Download authority record if 4xx or 5xx are present • Correct heading in OPAC if necessary

  16. First Time Authors (cont) • Alternate method: • on III report, check preceding and following entries for new heading • 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 • search name in authority file and download authority record if needed • correct heading in OPAC if necessary

  17. 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 new heading

  18. 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: verified all three names

  19. 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

  20. 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: 01-28-99 FUNCTION: oc AT TERM: 0 INITIALS bjt ON: Thu Jan 28 1999 08:18:48

  21. First Time Subjects • Check preceding and following entries on list • preceding or following entry may be from a cross reference 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

  22. First Time Subjects (cont) • Search OCLC and download authority record if 4xx or 5xx fields are present • root heading or full subject heading or both

  23. First Time Subjects (cont) • Can the free-floating subdivision be used for this type of heading? United States--History--Civil War, 1861- 1865--Photography --Photography is authorized for Wars

  24. First Time Subjects (cont) • Is geographical subdivision in correct position? Aged--Abuse of--United States Learning disabled--United States-- Identification

  25. 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 it 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)

  26. Example from Subject FTU List FIELD: 650 0 |aMendicant orders|zEngland INDEXED AS SUBJECT: mendicant orders england PRECEDED BY: mendicant orders FOLLOWED BY: mendiete geronimo de d 1604 **Decision: Searched OPAC and found xref: Mendicant orders SEE Friars. Searched OCLC and verified that Friars was correct; Corrected heading on bib record. Heading did NOT appear on Invalid Headings report since it did not match 4xx EXACTLY (Mendicant orders)

  27. 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

  28. 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 …United States was following …Virginia and saw typo in new heading. Corrected bib record

  29. 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

  30. 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

  31. 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, copy authority record to subject index • Delete authority record in original index if not needed • Watch authority records with mixed tags (150 with 400 and 500 xrefs) • Batch downloading • Choose correct downloading table in III • No need to copy authority records • No problem with mixed tags

  32. 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

  33. 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

  34. To Correct Mixed Tag Record View record with MARC tags I> Insert a field (don’t use full screen edit) d> subj auth e> subj s frm (4xx) Jesus Christ|xCross f> subj sa frm (5xx) Jesus Christ|xCrucifixion a> name auth b> name s frm (4xx) c> name sa frm (5xx)

  35. To Correct Mixed Tag Record (con’t) • Select appropriate III tag • Re-key xref (use correct MARC tag, i.e. 400 not 450) • Delete original xref (it will display before the new field) • When saved, xref will be in proper index

  36. 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)

  37. 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

  38. 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: 02-23-93 FUNCTION: ee AT TERM: 701 INITIALS: bjt ON: Tue Mar 23 1999 07:17:27

  39. ____ 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

  40. Headings used for FIRST Time 03-23-99 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: 02-23-93 FUNCTION: ee AT TERM: 701 INITIALS: bjt ON: Tue Mar 23 1999 07:17:58

  41. DUPLICATE call numbers & other errors • Alerts 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

  42. DUPLICATE call numbers & other errors 03-25-99 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 24 1999 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 24 1999 11:08:04

  43. 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 ________________________________________________________ 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

  44. 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.

  45. BLIND References 03-19-99 2 > FROM: a11036825 SUBJECT 150 0|aDrivers' licenses FUNCTION: oc AT TERM: 0 INITIALS: ON: Thu Mar 18 1999 15:07:26 MESSAGE: --------------- IS A BLIND REFERENCE ---------------

  46. 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

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

  48. Duplicate authority RECORDS 03-19-99 1 > FIELD: 150 0|aMicrofinance INDEXED AS SUBJECT: microfinance MESSAGE: --------------- DUPLICATE AUTHORITY --------------- FROM: a11036904 FUNCTION: oc AT TERM: 0 INITIALS: ON: Thu Mar 18 1999 15:11:42

  49. Duplicate authority RECORDS 03-26-99 1 > FIELD: 100 10|aTwain, Mark,|d1835-1910.|tCorrespondence.|kSelections INDEXED AS TITLE: correspondence MESSAGE: --------------- DUPLICATE AUTHORITY --------------- FROM: a11037428 FUNCTION: oc AT TERM: 0 INITIALS: ON: Thu Mar 25 1999 11:02:34

  50. You searched for the AUTHOR: twain mark 13 entries found, entries 1-8 are: Twain Mark 1835 1910 1 --> Authority Record -- Adventures of Huckleberry Finn 2 --> Authority Record -- Autobiography 3 --> Authority Record -- Correspondence 4 --> Authority Record -- Correspondence. Selections 5 --> Authority Record -- Novels. Selections 6 --> Authority Record -- Selections. 1982 7 --> Authority Record -- Selections. 1983 8 --> Authority Record -- Selections. 1984

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