Many libraries view authority control to be as integral to the collection as the catalog itself, which it interacts with very closely. Select one of the following FAQs about authority control for more information.
For information about system configuration and policies that affect authority control on your system, refer to the topic FAQs: Administration of Authority Control.
| • | What is authority control? |
| • | How does authority control work in SirsiDynix Symphony? |
| • | What is the structure of the authority record? (Authority Records — MARC21 |
| • | What are the differences between MARC and other SirsiDynix Symphony authority record formats? |
| • | How does the authority record interact with the bibliographic record to validate headings? |
| • | Where do authority records come from? |
| • | How do I load a file of authority records? (Loading Authority Records Using Reports |
| • | How do I use SmartPort to capture Z39.50 authority records on the fly? (SmartPort Wizard) |
| • | How do I type special characters and/or diacritics in authority records? (Special Characters and Diacritics |
| • | When are the authors’ names, titles, and subject headings checked against the authority database? |
| • | What is the best way to update authority records when headings change? (FAQs: Updating Authority Records When Headings Change) |
| • | How do I get SirsiDynix Symphony to authorize parent headings, no matter what the subdivisions are? |
| • | What are machine-proposed authority records? |
| • | How can I retain changes to an entry in an authority record made by our library or consortium when overlaying the record? |
Authority Control is the consistent use and maintenance of the forms of names, subjects, and uniform titles used as headings in a catalog. Since this process creates a link between bibliographic records and the authority file, authority control provides the underlying structure of the catalog.
Authority controlled subject and name terms specifically define the way entries in bibliographic records can be typed. Consistent use of authority controlled terms enables anyone to find similar items in the library by searching all or any part of a single controlled term.
The purpose of an authority record is to establish one version of a name to standardize its use in the bibliographic record headings. Each Authority record contains one established (1XX) heading.
For more information about the structure of authority records, refer to the Authority Records — MARC21 topic.
Authority records may also generate cross–references. If the heading searched is not an established form of the heading, “See From” (4XX) references will guide the user to the appropriate heading. Headings of this type will appear in the catalog with a “Search Under” cross reference. If it is one of a family of established related terms, a “See Also From” (5XX* reference will offer supplementary terms which the user may find of interest. These headings will appear in the catalog with a “Search Also Under the [Broader, Narrower, or Related] Term” cross reference.
The e–Library’s Try These Too feature is a cross reference list that appears on the hit list and item view pages.
How does authority control work in SirsiDynix Symphony?
Authority control is implemented in SirsiDynix Symphony by validating bibliographic terms against authority data in the appropriate authority indexes, and by the creation of thesauri which provide additional cross referencing information to anyone accessing the library catalog.
Validation of Bibliographic Terms
Bibliographic terms are “headings” that are under authority control. Rules of entry ensure the consistency of form, arrangement, and the word combinations used in heading terms. Terms in authority records are also used to generate cross–references which aid users in searching the online catalog.
The authority database consists of authority records. Terms in the authority database may or may not be used in bibliographic records in the catalog. The authority records contain cross–references to improper forms or related terms, scope notes, and other information about the heading. When an authority record is modified, any changes made to an authority record heading will also be made to any corresponding bibliographic record heading when the Add, Delete, Update Databases report is run.
All terms occurring in an authority record are indexed. SirsiDynix Symphony has separate authority indexes for Library of Congress name terms and subject headings. Additional authority indexes can be added, such as Medical Subject Headings (MeSH). The system can also be configured to have a single authority index. Authority indexes are used by SirsiDynix Symphony to check headings in bibliographic records and by library staff to browse the authority database.
Authority Thesauri
A thesaurus is a separate file of all established and unestablished terms in the authority record database. It establishes the full relationships between terms and creates the catalog cross–references from the authority file records.
A thesaurus entry for a term is a complete hierarchical structure that displays that term’s relationship to broader terms, narrower terms, related terms, and proper or improper forms. The thesaurus entry even displays relationships for terms spread between different authority records.
Multiple thesauri keep terms of a particular type or source together. SirsiDynix Symphony has author, title, and subject thesauri. Additional thesauri, such as a thesaurus for Medical Subject Headings (MeSH), may be created as needed.
What are the differences between MARC and other SirsiDynix Symphony authority record formats?
Links between authority records and bibliographic records are created when entries in a bibliographic record are validated against an authority index. Exactly which bibliographic entries are to be checked is specified in the Format policy used by the bibliographic record. Any entry in a bibliographic record using authorized entries may be controlled by authority data.
The selection of bibliographic entries under authority control is determined by the library at installation.
Delivered Authority Formats
The following authority formats are delivered with SirsiDynix Symphony.
|
PERSONAL |
(MARC personal names) |
|
LCSH |
(Library of Congress Subjects) |
|
CORPORATE |
(MARC corporate names) |
|
NLMSH |
(National Library of Medicine Subjects) |
|
MEETING |
(MARC meeting names) |
|
CANSH |
(National Library of Canada Subjects) |
|
GEOGRAPH |
(MARC geographic names) |
|
RVMSH |
(Répertoire des Vedette-Matièrev) |
|
TITLE |
(MARC uniform titles and series names) |
|
AATSH |
(Art and Architecture Thesaurus Subjects) |
|
LCCHILDSH |
(LC Children’s Subjects) |
|
TOPICAL |
(local MARC subjects) |
|
NALSH |
(National Agriculture Library Subjects) |
|
OTHERSH |
(subject terms from another source) |
Records in MARC Authority Format
SirsiDynix Symphony authority records can contain all of the data necessary to conform to the MARC standard.
For detailed entry information, refer to the MARC 21 Concise Format for Authority Data (http://lcweb.loc.gov/marc/authority/ecadhome.html) documentation from the Library of Congress.
SirsiDynix Symphony can be configured to use format validation, which checks fields in records against a list of allowable values as defined in the appropriate Format policy. If your library is not using format validation, SirsiDynix Symphony supports, but does not enforce, the MARC standard describing the contents of each tag. SirsiDynix Symphony does not prevent the entry of a subfield not defined for a particular tag.
MARC authority records may only be used to authorize bibliographic terms if the authority records have not been marked for deletion in leader character position 5, and if the authority records are marked as established terms in character position 9 of the 008 fixed fields. Terms from deleted records or records not marked as containing an established heading are posted to authority indexes but not to thesauri.
Custom Authority Formats
Custom authority Format policies are designed by the library. A custom Format policy can contain any number of distinct, named fields. Each entry in a custom format authority record contains a 1–4 character entry name field and a data field. Valid names are established in SirsiDynix Symphony policies. In the data field, any combination of letters and numbers appropriate to the entry as defined by the library may be typed.
How does the authority record interact with the bibliographic record to validate headings?
Catalog formats are used by authority control to identify which bibliographic entries are under authority control and the authority index or indexes each term will be matched against. A Format policy contains information about each entry used in that format, and whether that particular entry is under authority control.
The following authority–specific information is included in catalog formats.
| • | The authority index used for heading validation |
| • | How the value of the second indicator should affect the authority index used for heading validation |
| • | Which terminal subfields should be cascaded as part of heading validation |
| • | How leading articles should be handled |
| • | Subfields to include or exclude when creating a proposed authority record or provisional authority record |
When a heading is checked, the system first accesses the appropriate authority index, then tries to match the entire contents of the bibliographic entry against the existing index. The match will be either case sensitive or case insensitive, depending on the configuration of the Authority Control module.
When an authority record is modified, any changes made to an authority record heading will also be made to any corresponding bibliographic record heading when the Add, Delete, Update Databases report is run. If your authority control is case sensitive and the case of the authority heading is modified, the case of the corresponding term in the bibliographic record will also be modified.
If an exact match is not found in the authority index, the last subfield in the entry will be examined. If this subfield is in the list of authority cascade subfields, the last subfield in the term will be dropped from the matching process. If a match is still not found, the next subfield in the term will be checked against the cascade list. The process of checking subfields and dropping them if they are on the cascade list will continue until the system encounters a subfield not on the cascade list or the term matches an authorized heading in the authority index.
For each bibliographic entry under authority control, SirsiDynix Symphony must be told how to recognize leading articles. In some fields, non–filing indicators are used to indicate leading articles. In fields that do not use indicators for this purpose, the system can be configured to check either a list of standard articles delivered with SirsiDynix Symphony or to check a language specific list of articles as defined in the Language policy. The system may also be configured not to check for leading articles.
Where do authority records come from?
A library can use one or more of the following methods to obtain authority records that match terms in its catalog database:
| • | An authority control vendor can take the bibliographic records, compare them to a large authority database, correct and update the bibliographic terms, and provide copies of authority records used in the database. These records can be loaded in batch by SirsiDynix or via reports if they meet the standard MARC format specifications. |
| • | Authority records may be downloaded as needed from a bibliographic utility, such as OCLC, or from CD–ROMs. |
| • | Individual authority records may be created by typing authority data from a local source like an authority card file. |
When are the authors’ names, titles, and subject headings checked against the authority database?
Headings in bibliographic records are checked against headings in the authority index in the following instances:
| • | If you are creating a bibliographic record at the workstation, entries that are under authority control are immediately checked against the authority index as you save the record. |
| • | If you are capturing records using SmartPort, as the record is saved, all bibliographic entries under authority control are checked real–time. |
| • | When bibliographic records are added to the database via report, entries under authority control are checked as they are loaded. |
| • | When a new authority record is loaded and the Add, Delete, Update Databases report runs, bibliographic records are authority checked and unauthorized entries are globally updated. |
What are machine-proposed authority records?
For systems that have authority checking configured, unauthorized headings will be marked UNAUTHORIZED. A cataloger has the option of using the Validate Headings helper to select a valid heading. If no match in the authority database is found, the cataloger can click Propose. Propose Authority provides a machine–proposed authority record for the selected heading. This new authority record contains fixed field, 001, 005, 040, 1XX, and 670 entries (plus the 022 and 642–646 entries for series headings) automatically generated to reasonable values based on the information in the bibliographic record being validated. The cataloger has the option of editing the proposed authority record or saving the record as proposed.
For more information about Propose Authority processing, refer to FAQs: Automatically Proposing Authority Records from Bibliographic Entries.
When Propose Authority processing generates title authority records from bibliographic entries, it skips over leading articles in title headings based on the bibliographic entry’s authority index variation, and uses the bibliographic subfields listed as provisional subfields in the authority index variations as text of the authority heading. When placing fields under authority control that are not under authority control in the default SirsiDynix Symphony delivery, the cataloger should be certain that the authority index variation is set up correctly, in order for the Propose Authority processing to work properly.
How do I get SirsiDynix Symphony to authorize parent headings, no matter what the subdivisions are?
You can do this, by setting the heading subfields to “cascade.” This needs to be done in every MARC bibliographic format, for each tag under authority control.
To set the subfields to cascade
| 1 | On the Configuration toolbar, click the Cataloging Configuration group wizard. |
| 2 | Click the Catalog Format Policy wizard. |
| 3 | Select a format policy to modify, such as MARC, and click Modify. |
| 4 | Click the Entries tab. |
| 5 | Select a heading tag (entry) such as the 650, and click Modify. |
| 6 | On the Authority tab for the entry, select the Authority Variation, and the values for this variation will appear. |
| 7 | Click the gadget for Cascade Subfields, and specify a list of subfields to be dropped for authority control matching purposes. Select the Exclude check box and list the subfields that should not be considered for authorization. It is necessary to include subfields = and ? in the list. |
If the entire entry does not match a heading in the authority index, the last subfield in the entry will be dropped if it is on the cascade list. This process continues until either the heading finds a match in the authority index or the last subfield in the record is not on the cascade list.
This change will only affect new headings. For headings already marked as UNAUTHORIZED, you will need to remove the |?UNAUTHORIZED for the heading to re–authorize under the changed policy.
For example, when matching a 650 (Subject Term) entry, certain subfields could be cascaded to increase the probability of a match. If the list of Authority Cascade Subfields includes |x, |y, and |z, authority matching would take place as follows.
| 1 | The bibliographic record contains the following entry: |
650 : 0 :Vernacular architecture|zTexas, West|xHistory|y19th century.
| 2 | When matching the bibliographic entry against the authority index, SirsiDynix Symphony will first attempt to match the entire string. Assuming this exact subject heading is not in the authority index, SirsiDynix Symphony will drop |y (19th century) from the matching process. |
| 3 | If there is not an entry in the authority index for Vernacular architecture|zTexas, West|xHistory, SirsiDynix Symphony will drop the |x (History) from the matching process. |
| 4 | If there is not an entry in the authority index for Vernacular architecture|zTexas, West, SirsiDynix Symphony will drop the |z (Texas, West) and attempt to match on Vernacular architecture. |
| 5 | If no match is found, SirsiDynix Symphony will not drop the |a since it is not on the cascade list. The entry will be marked as UNAUTHORIZED. |
How can I retain changes to an entry in an authority record made by our library or consortium when overlaying the record?
To retain institution–specific information that has been added to an authority record, it is necessary to add the subfield 5 and NUC (National Union Catalog) code of your institution to the 4XX, 5XX, or note fields. This is often done when modifying the master authority record at OCLC. When changes are added in SirsiDynix Symphony (and not on OCLC), it is important to precede the changes with |5 NUC in the same way as you would on OCLC.
The Authority Database Overlay report provides a Check for Subfield 5 on Overlay option where you specify the NUC code (or codes) the report should search for in the 4XX, 5XX, or note fields. If a match is found, the fields will not be overwritten when the authority record is updated.