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Guidelines for Local Coding of Authority Records

This document provides guidelines for coding local edits to authority records in Roger, both records downloaded from the Library of Congress Authority File (LCAF) and ones locally created. Keep the following points in mind when using these guidelines:

  • Any additions that are applicable to the national-level authority record should be made through NACO or SACO as appropriate. There are only limited situations where we want to make additions or new records locally, examples being:
    • Notes about classifying conferences together.
    • Series treatment decisions that are different from the national-level record.
    • Adding call numbers to records for analyzed sets/serials.
    • Requests from public services to add variant or related forms that cannot be justified or are not appropriate under RDA.
    • UCSD thesis/dissertation authors where an authority record with a variant form of name would be helpful to patrons (e.g. compound surnames). We do not create authority records for our dissertation authors in the LCAF since they could go on to publish under a different form of name.
  • If you are not authorized to modify national-level records, ask a NACO or SACO cataloger to do it for you.
  • Do not modify the authorized access points. If the authorized access point has an error, then we are obligated to update the LCAF record through NACO or SACO.
  • Do not routinely modify or create series authority records since UC San Diego policy is not to control series. Exceptions may be made for analyzed serials (see the Analytics Procedure for more information).
  • We have thousands of legacy records that are either locally created or have local data in them. Given the sheer number of them, we do not plan to go back and move what is relevant to the LCAF. 


Table for local coding of UC San Diego authority records:

Overlay Protection Coding Applicable Fields Comments
1st Indicator 9 430
Also add "|5CUS" to the end of these fields when adding fields to an existing LCAF record. Do not add the |5 if locally keying a record.
2nd Indicator 9 050
690 Field N/A Use this for local notes that would otherwise go in 66X-67X fields. Do not add "|5CUS" to the end of the of 690.
910 N/A

Catalogers' initials. A 910 should be added when you create a local record or make any edits to an existing record.

Examples of the Local Coding

Existing LCAF Conference Heading

010      no 96036427
111 2   IEEE Conference on Computational Complexity
411 2   Conference on Computational Complexity, IEEE
511 2   Structure in Complexity Theory Conference|wa
670      Its Proceedings, c1996:|bt.p. (IEEE Conference on Computational Complexity, formerly Structure in Complexity Theory Conference)
690      Conference classed together as: QA267.7|b.I333 <date of conference>


Existing LCAF Geographic Heading

010      n 79045238
151      Point Loma (San Diego, Calif.)
451      Point Loma, Calif.|wnnaa
551 _9 Loma, Point (Calif.)|5CUS
690     Related access point added per Public Services 
690     Use this heading for works on the community of Point Loma; works on the peninsula of Point Loma are entered under Loma, Point (Calif.)

670     Rand-McNally|b(Point Loma, San Diego [County]; part of San Diego)
670     Col. Lipp.|b(under Loma, Point: Point Loma residential dist. (part of San Diego))

Existing LCAF Series Heading

010      n 72005702
130 0   Cambridge studies in criminology
410 2   University of Cambridge.|bInstitute of Criminology.|tCambridge studies in criminology
430 90 Studies in criminology|5CUS
530 0   English studies in criminal science
641 _9 And unnumbered|5CUS
642      44|5DLC
643      Aldershot Hants, England|aBrookfield, Vt. , U.S.A.|bGower|d<54
643      London|bHeinemann|d<12, 15, 22-28, 30,35, 39, 40-46, 49, 51 >
643 _9 Cambridge , UK|aNew York|bCambridge University Press |5CUS
644      f|5DLC
645      t|5DLC
646      s|5DLC
670      Levi, Michael. The phantom capitalists. 1981
690      Continues: English studies in criminal science
**Do not normally make updates such as these to series records** 


Existing LCAF Series Heading

010      no 00050290
090 _9 HQ1060|b.C87 v.|dvols. for Geisel|5CUS
130 0   Advances in life course research
530 0   Current perspectives on aging and the life cycle|wa
642      v. 5|5DPCC|5InU
643      Stamford , Conn.|bJAI Press
644      f|5InU
645      t|5DPCC|5InU
646      s|5InU
646 _9 c|dvols. for Geisel|5CUS
646 _9 s|dvols. for BLB|5CUS 
670      Self and identity through the life ., c2000:|bser. t.p. (Advances in life course research; formerly Current perspectives[s] on aging and the life cycle)
690      Treat as analyzed serial for Geisel; classify separately for BLB

Local Name Record

100 1   Barrett, Richard A.|q(Richard Anthony)
400 19 Barrett, Richard Anthony
670      Democratic Education in the Works of Plato, 2014|btitle page of PDF file Richard A. Barrett, middle name provided via email January 6, 2015
**UCSD dissertation author record** 

Written by Ryan Finnerty, December 7, 2004
Updated by Marilú Vallejo, September 10, 2008
Updated by Ryan Finnerty, June 8, 2015 

Historical Appendix

Starting on January 1, 2005, the Catalog Dept. will be sending out all our newly cataloged bibliographic records to have authority control performed on them. All headings in the records will be compared to the LCAF and headings that match a cross-reference in an authority record will be flipped to the authorized heading. We will also receive files of all authority records that matched the headings in the records.

We have selected the MARS Authority Control from Backstage Library Works to perform this service. More information regarding this service can be found on their website, http://ac.bslw.com.

We have written a new policy and procedures that should be followed starting January 1, 2005. Some existing procedures (e.g. editing guidelines) might conflict with these new documents—in such cases, follow the instructions in the new procedures. Cataloging Committee will strive to update all existing documentation in early 2005. The main document is called, “UCSD Libraries Heading Verification Policy and Procedures,” and is located on TPOT's Authority Work page.

Most authority records are overlayed without review due to loading batch files of records from BackStage. As a result, we need to specially code all the local fields we wish to protect. The Innovative software is designed only to protect fields based on MARC tags or indicators, so we will need to do this type of coding in addition to the “|5CUS” which we currently add to local fields. We decided to use a 2nd indicator of 9 to protect the fields from overlay, with the exception of the 430 and 530 fields which will have a 1 st indicator of 9. In addition, all free-text notes fields will go in 690 fields. The following chart provides an easy visual reference:

Updating Existing Records

Database Management will identify and convert all existing local fields to meet these new specifications before the Jan. 1, 2005 start date. DBM will look for the following:

  • Any fields with “|5CUS”
  • 667 fields that begin with “Conference Heading” or have “Conference classed together”
  • 667 fields that have “UCSD” or any of our branch libraries' names
  • 668 fields
  • 678 fields will be converted to 690s with “Old 678 note:” added to the beginning of each field. 678 notes that only contain “discrep” will just be converted to 690s
  • 667 fields that have “LCNAF record #.” We used these fields where we used a different form of the heading than the LCAF. If desirable, DBM will update the authority and relevant bibliographic records so we are using the form in the LCAF. For heading where we want to keep the local form, DBM will convert these to 690s
  • 641 fields that have “and unnumbered” will be gathered into a file and evaluated as to whether we want to continue the local practice of combining numbered and unnumbered series under one heading. Once the evaluation is made, DBM will update the records as appropriate