Authority Records/Instruction Level Instructions for Creating an Authority Record

Table of Contents | Reference Level | Example Level

Instructions for Creating an Authority Record

Creating an authority record for a name, title, or subject heading is similar to creating a bibliographic record for an item to be cataloged. Before creating an authority record, determine that there is no authority record for that heading already in the database. Search for an authority record by typing a command and search parameter on the request line after LTCU. Example of searches

There are several ways of creating an authority record.

Inputting a new record

To create a new authority record, type the command new a after LTCU on the request line. Press ENTER. An authority workform will appear on the screen with the command done after LTCU on the request line and some system-supplied values.

Type same after LTCU on the request line. When the command same is entered, the system will reformat the record, check some fields and indicators, and allow final proofreading before the record is entered.

Some fixed fields are system-supplied and cannot be changed. Other values are supplied as prompts and may need to be changed. Complete the fixed fields accurately using the appropriate values.

Enter appropriate variable fields from LC copy, CUL authority card files, or original cataloging. Variable fields are input in paragraph form in authority records using the same methods as bibliographic records.

After all data have been input, press ENTER with same on the request line. After a final proofreading of all screens of the record, press ENTER with done on the request line. The computer will display the newly assigned authority record ID, for example:

LTCU AUTH CAM5323
RECORD CAM5323 CREATED

Deriving a new authority record from a related heading

To derive a new authority record from an existing one:

  1. Search for an authority record by typing a command and search parameter on the request line after LTCU. Search example
  2. Type the command deri after LTCU on the request line, press ENTER. A new record containing information from the resource record will be displayed.
  3. Type same after LTCU on the request line. Edit the record as necessary.
  4. Press ENTER with the command same after LTCU on the request line.
  5. Proofread record.
  6. Press ENTER with the command done after LTCU on the request line. The computer will display the newly assigned authority record ID.

Example of derived record

Editing an existing authority record

  1. Search for an authority record. Search example
  2. Type the command same after LTCU on the request line. Edit or add information. Fields are edited and added as they are in bibliographic records.
  3. Add your initials and date to the end of the 690 field only if you have made changes to the variable portion of the record which would require the addition of the 040 field |d NIC. 690 example
  4. Press ENTER with the command same after LTCU on the request line.
  5. Proofread changes.
  6. Press ENTER with the command done after LTCU on the request line.

Requesting global changes

Global changes will be processed by the Technical Services Support Unit upon receipt of a request to change. Sent requests to Carrol Stevens, 107E Olin Library, ces2@cornell.edu.

Deleting an authority record

Authority records are deleted by a similar process that bibliographic records are deleted. Each processing unit will delete its own authority records.

Principles for Creating Authority Records During New Cataloging

The general "rule" to apply when determining when to create an authority record for a heading used in an online bibliographic record:

  1. Create an authority record for any heading which needs cross-reference(s) and/or note(s). For corporate hierarchies, create an authority record for all levels of a corporate hierarchy even if not needed for cross-reference or note.
  2. Create series authority record with appropriate 690's for titles that LC treats as monographic series, but that Cornell has decided to treat as a serial. This will ensure that unnecessary analytics are not created.
  3. In general, do not create an authority record for a subject heading unless you cannot get adequate subject coverage for your material by using an existing LC subject heading or constellation of headings. This will most often be the case for specific one-of-a-kind topics, e.g. product names (technology), geographical features, ethnic groups, language groups, names of musical instruments, and so forth.

The Linked Systems Project (LSP) links RLIN and OCLC with LC so that headings can be contributed to LC's Name Authority File electronically. LSP normalization is required for records contributed to NACO via LSP. The normalization strips out diacritics and other special characters, and most punctuation, to allow character strings to be compared so as to make sure that the new record being submitted is not a duplicate of an existing one. New headings must differ from existing headings in more than punctuation or diacritical marks; otherwise they will appear to be duplicates after LSP normalization. LSP/NACO guidelines for normalizing data.

Create an authority record for all headings used on records submitted to CONSER.

Some results or extensions of the above general "rule":

For corporate hierarchies:

Authority records are being set up for complete corporate hierarchies as each new corporate heading is established, to save time and energy in the long run. The NOTIS system does not search corporate headings very efficiently, and in the Cornell database, with its large size and number of government documents, the searching and checking of corporate hierarchies may be the most time-consuming part of the cataloging process. Creating an authority record for each level of a corporate hierarchy saves the next cataloger from having to re-search the headings. Examples

For a corporate hierarchy that has a pre-AACR2 form of name you may add the 4xx field |w subfield: |w nna (pre-AACR2 form of name) although it is no longer LC practice to do so.

When creating authority records for the higher levels of the hierarchy, it is not necessary to systematically search for the pre-AACR2 form.

See also from tracing for heading not used online:

For earlier, later, or related forms of headings in a 5xx See Also From Tracing field, for which there is no bibliographic record containing the 5xx form of heading, and no corresponding authority record with the 5xx form of heading in a 1xx field, add the 5xx field with the |w subfield: |w a (earlier form of name), |w b (later form of name), or no |w (related heading), as appropriate. For example:

In the online display of the above example, because the 5xx field was coded "display", there would be a see also cross-reference pointing to the later form of name (130 field), even though there are no bibliographic records using the earlier form of name (530 field). This is not the same situation as a blind cross-reference that points to a heading that is not being used in a bibliographic record. The see also cross reference could provide assistance to someone searching under an earlier/later/related form of name.

The benefit from a see also cross-reference to a related form of heading outweighs the problem of explaining why it is a see also cross-reference and not a see cross-reference.

For series headings: (bibliographic 4xx and 8xx fields)

All series authority records will have Cornell series treatment information in note field(s), so there will be an authority record created for every series heading.

For series-like phrases:

When a phrase or a combination of letters that might be interpreted by some as a series statement is not considered a series, according to the guidelines in the LC rule interpretation for AACR2 rule 1.6, record this decision by preparing a series authority record when required by that rule interpretation.

Establish the heading in AACR2 form, as if it were a true series heading. Note that it is possible to "establish" phrases under personal or corporate name headings. Trace any see cross-references that would be appropriate if the heading were a true series. When connecting headings because the phrase has undergone a change in title, responsibility, etc., requiring successive entry, make simple see also cross-references instead of earlier/later cross-references (i.e., input as 5xx See Also From Tracing fields without a |w subfield).

Generally, in the 667 field, give instructions on how the phrase should be handled (e.g., "Give as a quoted note if not already included in the body of the entry.").

For name/title headings: (bibliographic 1xx/240 field combinations or bibliographic 4xx/6xx/7xx/8xx fields with |t subfield)

Generally, make an authority record for 1xx/240 field combinations if needed for cross-reference or note. In these cases, create (or add to the database) an authority record for the name part of an author/title authority record as well as the author/title record itself. Do not make an authority record for a 1xx/240 field combination when the only reference is the 1xx/245 field combination.

For subject headings: (bibliographic 6xx fields)

In general, do not create an authority record for a subject heading unless you cannot get adequate subject coverage for your material by using an existing LC subject heading or constellation of headings. This will most often be the case for specific one-of-a-kind topics, e.g. product names (technology), geographical features, ethnic groups, language groups, names of musical instruments, and so forth. Subject headings should be submitted to SACO (the Subject Authority Cooperative Project) by filling out the appropriate form.

For subject subdivisions: (bibliographic 6xx fields)

Do not create an authority record for a subject with a subject subdivision unless needed for cross-reference or note.

Duplicate subject and name authority records

When LC has written an authority record in both the name and the subjects files for a particular entity, generally retain the name authority record. Specific maintenance and retention procedures, however, depend upon a variety of circumstances. Procedures for merging subject records with name records in Cornell's files use |w codes that are not permissible under LSP/NACO. Do not contribute merged records to NACO.

Provisional records may be established when there is insufficient information or language expertise for a fully coded authority record. Such records are coded H/ESTAB "c" Example

Table of Contents | Reference Level | Example Level

Rev. 12/12/95 dih