Guidelines for Local Coding of Authority Records

Guidelines for Local Coding of Authority Records
December 7, 2004
Written by Ryan Finnerty
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This document provides guidelines for coding local edits to LCAF authority records and locally created authority records. Locally added references need to be based on literary warrant, AACR2 and LCRIs, and Roger indexing quirks (rules?)

Do not include forms of headings, including UCSD forms and older forms, as cross references unless they are valid references under AACR2. When these older forms appear in the Roger database and are not valid as references, correct them or initiate a correction of the headings. There is no need to delete references that normalize to the same form as the heading since Roger automatically dedups these.

These procedures are for local UCSD authority work. NACO catalogers should follow regular NACO procedures and adapt the NACO authority record according to these guidelines after downloading to Roger.

The table below gives instructions for local coding of UCSD authority records

Overlay Protection Coding	Applicable Fields	Comments
1st Indicator 9	430 530	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	050 060 09X 400 41X 45X 500 51X 55X 64X
690 Field	66X-67X	Do not add "\|5CUS" to the end of these fields.
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 New Coding

Existing LCAF Conference Heading

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 Name Heading

100 1 Reeves, Albert Compton
400 1   Reeves, A. C.|q(Albert Compton)
400 19 Reeves, A. Compton|q(Albert Compton) |5CUS
670      Mudroch, V. The Wyclyf tradition, 1979 (a.e.)|bt.p. (Albert Compton Reeves)
670      His Lancastrian Englishmen, c1981:|bt.p. (A.C. Reeves)

Existing LCAF Geographic Heading

151      Point Loma (San Diego, Calif.)
451      Point Loma, Calif.|wnnaa
551 _9 Loma, Point (Calif.)|5CUS
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 Topical Heading

150      Zero (Fighter planes)
450      Zerosen
450 _9 Reisen|5CUS
550      Fighter planes|wg

Existing LCAF Series Heading

Existing LCAF Series Heading

We also need to apply this coding to our locally created authority records. As records get added to the LCAF by contributing libraries, some of our local records will be overlayed by these new LCAF records. If we put fields in our records that were not added to the LCAF record, we would lose these fields. We also could potentially end up with duplicate fields in authority records, but since Roger and Millennium automatically dedup duplicates in the search results, this won't adverse affect searching and record retrieval. Examples of local authority records:

Local Name Record

100 1 Lebrero Escudero, Juan
400 19 Escudero, Juan Lebrero

Local Series Record

130 0 Rural development series ( Papua New Guinea . Dept. of Agriculture, Stock and Fisheries)
410 19 Papua New Guinea.|b Dept. of Agriculture, Stock and Fisheries.|tRural development series
530 90 Rural development series ( Papua New Guinea . Dept. of Primary Industry)
642 _9 handbook no. 7
643 _9 Port Moresby|bPapua New Guinea , Dept. of Agriculture
644 _9 f
645 _9 t
646 _9 s

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://www.bslw.com/authority_control.html .

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