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WorldCat support Documentation OCLC Authorities User Guide Comments? Abstract & revision notesAbout this Guide 1 Introduction 2 Accessing the OCLC Authority File 3 Authority Record Displays 4 Phrase Searching 5 Numeric Searching 6 Keyword and Command Line Searching in OCLC Connexion 7 Derived Search Key Searching 8 Viewing Search Results 9 Editing Authority Records 10 Using Save Files 11 Creating and Using Constant Data 12 Exporting Authority Records

13 Creating and Updating OCLC Authority File Records (NACO Only)

13.1 Introduction 13.2 Getting a Workform 13.3 Submitting to Library of Congress 13.4 Retrieving and Responding to Submitted Records           (LC Staff Only, Passport only) 13.5 Retrieving Records to Which LC Has Responded 13.6 Adding New Records 13.7 Modifying Existing Records A Passport Commands B Types of Records and Displays C OCLC Authority Record Format D Indexed Fields and Subfields E Change Requests Authorities Glossary

13 Creating and Updating OCLC Authority File Records (NACO Only)

Chapter overview

This chapter describes the processes by which libraries participating in the Name Authority Cooperative Program (NACO) can add new records to the OCLC® Authority File or update existing OCLC Authority File records. Records can be added or updated using the OCLC interfaces as shown below:

Interface	Yes	No
OCLC ConnexionTM browser
OCLC ConnexionTM client
OCLC Cataloging Micro Enhancer® (CatME)
OCLC Passport software (Passport)

Important

This chapter is NOT included in the printed edition of the Authorities User Guide. To download and/or print a copy of this chapter (.html or .pdf) from the OCLC Web site, go to <  http://www.oclc.org/support/documentation/worldcat/authorities/userguide/ >.

13.1 Introduction

The ability to add new records to the OCLC® Authority File or to change existing records in the OCLC Authority file is limited to those libraries participating in the Name Authority Cooperative Program (NACO). NACO participants can access workforms, submit new or changed records to the Library of Congress for review, retrieve records when LC has completed its review, and add (new) or replace (modify) records to the OCLC Authority File.

NACO participants are assigned a MARC Organization Code and one of these authorization modes when they enter the program:

• NACO Regular (NAR)

• NACO National (NAN)

See section 2.1, "Authorization," for a complete list of authorization modes.

Unauthorized users

If your library is not a NACO participant, you cannot perform NACO-level functions and you may not see the full range of NACO menu choices on your screen. In addition, you may see system warnings.

If you believe your library has a valid authorization and you do not see all list choices described in this chapter or you do see error messages, contact your system administrator, your OCLC regional service provider, or OCLC Customer Services Division (CSD) immediately.

Create process

Creating and adding new records involves multiple steps, some of which are described elsewhere in this document. The following diagram shows the steps in record creation performed by both NACO libraries and the Library of Congress, and the location of the supporting information for each step if the information is not in this chapter.

NACO library staff who have an authorization mode of Limited (LTD) or above can begin the record creation process on authority workforms. However, only those having the following authorizations:

• NACO National (NAN)

• NACO Regular (NAR)

• CONSER National (CON)

• Enhance National (ENN)

can complete the process.

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13.2 Getting a Workform

You have three ways to begin creating a new authority file record. You can create:

• From a default workform: you access a default workform and enter all additional values.
• From an existing authority record: you display an existing authority record, identify it as a record to be added, modify its contents, then save it.
• From an existing bibliographic record: you display an existing bibliographic record and use a system function to extract data and rearrange fields as appropriate.

From default workform

To retrieve a workform:

Connexion™ browser.

	Action
1	Click the Authorities tab or press < Alt >< A >.
2	In the Create Options list click Authorities or press < Alt >< 3 >.
3	In the Create Record screen, choose MARC Text Area or MARC Template in the Create a new record... list.
4	Click the radio button for the enter of authority record you want to create.
5	Do you want to apply the default constant data to the new record? If Yes: Go to the next step. If No: Go to step 7.
6	Click the Include default constant data check box.
7	Click Create.

CatME™.

	Action
1	On the Edit menu click Workform.
2	On the submenu click Name Authority.

Passport.

Action	Result
At the Home position, enter wfan and press < F11 >.	The system displays a workform containing default values in some fields.

From existing authority record

When you display an existing authority record and identify it as a record to be added, the system automatically transfers selected fields from that record to a workform and displays the workform.

These default fields are automatically transferred to or changed on the workform:

Fields	Transfer/Change
ARN	Replaced with the word New
Entered	Changes to the current date
Fixed field elements	Replaces certain elements with default data, or fill characters ( ) to highlight commonly used and/or required data
Variable fields	Transfers existing variable fields 1xx-6xx Deletes variable fields and data in fields with tags less than 100, except for field 040
Field 040	Supplies your MARC Organization Code in subfields ‡a and ‡c.

You can revise (if required) any transferred information and add new information by using the basic editing techniques for your interface. You can also apply constant data to the record. See these chapters for more information:

• Chapter 9, Editing Authority Records
• Chapter 11, Creating and Using Constant Data

Connexion browser.  To create a new authority record from an existing authority record:

	Action
1	Display the record you want to use as the base record for the new authority record, in either display or edit view.
2	In the Edit list, click Derive New Record. Or Press < Tab > until the Edit list is highlighted, then press < > until Derive New Record appears in the box. Result: An information window appears stating that you are about to derive a new authority record and asking you if you want to continue.
3	Click OK. Or Press < Tab > until the OK button is highlighted, then press < Enter >. Result: The system displays a workform containing data values transferred from the base record, and the Edit box now shows Editing Authority Record

CatME.  To create a new authority record from an existing authority record:

	Action
1	Display the authority record you want to use.
2	On the Edit menu click New. Or Press < Alt >< E > then press < N >. Result: A window opens asking if you want to transfer fixed field elements from the base record to the new record.
3	CatME asks whether to transfer fixed field element values from the base record to the new record Click Yes to transfer fixed field element values from the base record to the new record. Click No to use the default values provided for the correct type of heading. Result: If you have not already specified a MARC Organization Code using the Local File Manager (Tools menu), a message requests you to enter it. You must specify a code to use a name authority workform. CatME opens a name authority workform and transfers the test of selected fields, if present, from the existing record to the new record (see Tools/Options/New Record Fields tab to view or change the selected fields). The workform replaces the existing record in the active window.

CatME provides a limited ability to change which variable fields are transferred to the new authority record. If you want to transfer fields other than the defaults, you must change the default settings. For instructions on changing the default settings, see CatME Help.

Passport.   Passport provides a limited ability to change which variable fields are transferred to the new authority record. If you want to transfer different fields, you can use the Mark for Transfer (mft) command (see step 5 below).

To create a new authority record from an existing authority record:

	Action
1	Display the record you want to use as the base record for the new authority record.
2	Do you want to accept the default values for new record? If Yes: Go to the next step. If No: Go to step 5.
3	At the Home position, enter new and press < F11 >. Result: The system displays a workform containing default values from the base record
4	Stop. You have completed getting a workform.
5	At the Home position, enter mft and press < F11 >. Result: The fields that transfer appear in reverse video.
6	Do you want to transfer the fixed field elements from this record? If Yes: enter ff at the Home position and press < F11 >. If No: go to step 8.
7	At the Home position, enter rds and press < F11 >. Result: The record is redrawn and the fixed field elements appear in reverse video.
8	Do you want to remove any of variable fields shown as being transferred? If Yes: go to the next step. If No: go to step 11.
9	At the Home position, if you want to: remove one field, enter: [line number] remove two or more adjacent fields, enter: [line number - line number] remove two or more non-adjacent fields, enter: [line number, line number] and press < F11 >. Result: The message line displays: Text marked.
10	At the Home position, enter rds and press < F11 >. Result: The record is redisplayed and the line numbers you just entered no longer appear in reverse video. Note: If you want to restore a field to the fields being transferred, enter its line number and press < F11 >. For fixed field elements, enter ff and press < F11 >.
11	At the Home position, enter new and press < F11 >. Result: The system displays a workform containing the data values you selected for transfer.

Note: You cannot mark or unmark the following fields:

• 005 Date and time replaced
• 010 LC Control Number
• 014 Link to Bibliographic Record
• 020 International Standard Book Number (ISBN)
• 021 International Standard Serial Number (ISSN)
• 035 System control number
• 040 Cataloging Source

From existing bibliographic record

To use an existing bibliographic record, you must display it and use a system function to transfer and reformat fields from that record to an authority workform. The transferred fields are mapped to the authority workform as shown here:

Bibliographic record field	Authority record field
100, 600, 700, 800	100
110, 610, 710, 810 (except if the first indicator is 1 and only subfield ‡a is present)1	110
111, 611, 711, 811	111
130, 440, 630, 730, 8302	130
110, 610, 710 (only if the first indicator is 1 and only subfield ‡a is present)	151
651	151
240 (with a corresponding 1xx field)	1xx
1 In this case, the field is mapped to field 151 and the first indicator is set to blank. 2 Indicators are ignored for fields 130, 630, 730, and 830 since uniform titles should not contain nonfiling characters other than 0.

You can revise (if required) any transferred information and add new information, using the basic editing techniques for your interface. You can also apply constant data to the record. Once you have completed the record, you may save it in your local save file or submit it to the Library of Congress for review. See these chapters for more information:

• Chapter 9, Editing Authority Records
• Chapter 10, Using Save Files
• Chapter 11, Creating and Using Constant Data

Connexion browser.

	Action
1	In WorldCat® or the Resource Catalog, locate the bibliographic record you want to use as the base for the new authority record and display its edit view.
2	Click on the name heading field you want to use to generate the new authority record. You may click on any of these fields: 100, 110, 111, 130, 240, 440 600, 610, 611, 630, 651 700, 710, 711, 730 800, 810, 811, 830
3	In the Functions list, click Generate Authority Record. Result: The system displays an authority workform containing data values transferred from the bibliographic record, and the Edit box now shows Editing Authority Record.

CatME.

	Action
1	In WorldCat, locate and display the bibliographic record you want to use as the base record for the new authority record.
2	Display the bibliographic record you want to use, and place the cursor in the heading field you want to use. Heading fields you can use are: 100, 110, 111, 130, 240, 440 600, 610, 611, 630, 651 700, 710, 711, 730 800, 810, 811, 830
3	On the Tools menu click Macro. Or Press < Alt >< T > then press < M >.
4	In the Macro dialog box click the plus sign (+) next to NACO Macro to expand it. Single-click to select AuthWFM, and then click Run. If you have not already specified a MARC Organization Code, a message requests that you enter it. You must specify a code to use a name authority workform. CatME opens a name authority workform, transfers the appropriate heading text and other data from the bibliographic record to the new record, and rearranges the data. The workform replaces the existing record in the active window. Note: You can assign the AuthWFM macro to a shortcut key (Tools/Customize/Toolbar tab). Or Assign the macro to a User Tool toolbar button (Tools/Customize/Toolbar tab), and then add the User Tool button to the toolbar (Tools/Toolbar Editor).

Passport.  These fields are automatically transferred from the bibliographic record to the new authority record workform:

• Field 245 (to field 670)
• Field 260 (to field 670)

Note: Fixed field elements do not transfer.

OCLC macro.  OCLC provides a macro that automatically fills out an authority workform based on the information on your base bibliographic record. You can review, edit, save, and/or delete the information just as if you had started with a blank workform. To download this macro, access the OCLC Web site at: < http://www.oclc.org/oclc/passport/download.htm > and download the file authwfm.mbk.

To run this macro:

	Action
1	In WorldCat, locate and display the bibliographic record you want to use as the base record for the new authority record.
2	Position the cursor within the field of the bibliographic record heading for which you need an authority record.
3	On the Tools menu, click Macro or press < Alt >< T > then press < M >.
4	Does AuthWFM appear in the Macro Names box? If Yes: Go to the next step. If No: click the plus sign (+) next to NACO Macro list. Result: AuthWFM appears in the Macro Names box.
5	Click AuthWFM, then click Run. Result: An authority workform containing the fields transferred from the base bibliographic record appears on your screen. Note: You may need to edit this workform.

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13.3 Submitting to Library of Congress

If a NACO institution is under review, before authority records are added to the OCLC Authority File, they must be reviewed by Library of Congress staff or other NACO trainers.

Transferring an authority record to be reviewed to the LC National Review file is called submitting.

When you submit a record, the system:

• Locks the record (if not already locked)
• Validates the record
• Transfers the record to the LC National Review File
• Deletes the record from your local save file (if the record had been saved)
• Redisplays the submitted record in display mode (OCLC Connexion only)
• Displays a confirmation message

Field 952

Enter questions and comments in field 952 of the submitted record. The system deletes field 952 when you add or replace the record.

Connexion browser

To submit a record:

	Action
1	Display the edit view of the record you want to submit.
2	In the Action list, click Submit Record to Natl Review File. Or Press < Tab > until the Actions list is highlighted, then press < > until Submit Record to Natl Review File appears in the box. Result: A confirmation box appears.
3	Click OK. Or Press < Tab > until the OK button is highlighted, then press < Enter >. Result: The record is redisplayed in the display view and the Action box is replaced by this message: The record has been submitted to the National Review File.

CatME

To submit a record:

	Action
1	Display the authority record you want to submit to the Library of Congress for review from a local file or an online file.
2	Optional. Lock the record.
3	Add notes to field 952.
4	On the Action menu click Submit To LC. Or Press < Alt >< A > then press < B >. Result: CatME submits the record to LC. The record's submit status [SUB on the record (top) status bar] changes to: c (completed - successful submission). * (failed - unsuccessful submission).

CatME keeps your local copy of the record as follows:

• If you have created and submitted a new record but not yet saved it, you are asked whether or not you want to save the record when you want to close the record's window.

• Records remain in the authority local file until you explicitly delete them..

Passport

To submit a record:

	Action
1	Display the record you want to submit.
2	At the Home position, enter sub and press < F11 >. Result: The screen becomes blank except for the message line: Authority record submitted. Note: The record is no longer in the Save file.

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13.4 Retrieving and Responding to Submitted Records (LC Staff Only, Passport only)

This section describes the procedures followed by the Library of Congress staff to retrieve and respond to records that NACO libraries have submitted. Only LC authorized staff can perform the procedures described in this section.

Retrieve National Review File list

You use the Save File Information (si) command and the submitted record abbreviation (sb) to view the list of records submitted by NACO libraries.

To view the Submitted Save File list, at the Home position enter si sb< F11 >. The system displays the list with the most recently submitted records listed last.

If there are more than 1,500 records in the Submitted Save File, the list contains only the first 1,500. For information on navigating within this list, see the Passport information in section 10.3, "Viewing Save File Contents."

Automatic expiration.  Passport deletes records not modified or resaved after 90 days.

Retrieve individual record

To retrieve an individual record from the Save File Information list:

Action	Result
At the Home position, enter the submitted Save file number and press < F11 >. Example: 53 < F11 >	The record is displayed.

Respond to submitted record

After you have edited and/or added notes to the record, you use the Respond (res) command to return the record to its submitting institution. You must return the record while viewing it; you cannot return a record from the Submitted Save File list.

To return a record to its submitting institution:

Action	Result
At the Home position, enter res and press < F11 >.	The record is returned to the Responded Save File of the submitting institution.

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13.5 Retrieving Records to Which LC Has Responded

This section describes how to access submitted records to which the Library of Congress has responded.

Connexion browser

To display the Authority Responded File list:

Action	Result
In the Show Options list, click Responded File.	The Responded File Search Results list appears. The list contains all responded records, whether you originally used OCLC Connexion or another OCLC interface to submit the record to LC.

Retrieve individual record.  To view an individual record, click the record's entry.

Note: You cannot work directly with a Responded File record. You must flag and transfer records to the authority save file, then retrieve the record from the save file in order to add the record to the OCLC Authority File.

CatME

To display the Responded Save File Info list:

	Action
1	On the Search menu, click Search OCLC Online, or in the toolbar click , or press < F2 >.
2	In the Search OCLC Online dialog box, click the arrow next to the Default Database box. Click Responded Save File. Or In the Query box enter rs: (overrides any selection in the Default Database box).
3	Click List All. Or In the Query box, enter ri, and then click Find. Result: CatME retrieves a Responded Save File Info list. The list contains all responded records, whether you originally used CatME or another OCLC interface to submit the record to LC.

Retrieve individual record.  To view an individual record:

Action	Result
Double-click the record's entry. Or Click the entry and press < Enter >.	The record appears.

Save record(s).  To transfer one or more records from the Responded Save File to the authority local file:

	Action
1	If you are viewing: A brief or a truncated list: Go to step 2. An authority record: Go to step 3.
2	Highlight the entries you want to transfer to the authority local file. Adjacent entries: Click to highlight the first entry. Press and hold < Shift > and click the last entry. Or Press < > or < > to highlight the first entry. Press < Shift >< > or < Shift >< > to highlight other entries. Non-adjacent entries: Click to highlight the first entry. Press < Ctrl > and click to highlight each additional entry.
3	On the Action menu click Save in Local file, or click on the toolbar, or press < F4 >. Result: CatME adds the record(s) to the default authority local file and automatically deletes them from the Responded Save File.

Passport

You use the Save File Information (si) command and the responded record abbreviation (rs) to view the list of records returned by the Library of Congress.

To display the Responded Save File list:

Action	Result
At the Home position, enter si rs and press < F11 >.	The system displays the list with the most recently returned records listed last (shown below).

Retrieve individual record.  To view an individual record:

Action	Result
At the Home position, enter the responded Save file number and press < F11 >. Example: 11 < F11 >	The record is displayed.

Save record(s).  In Passport you must save records individually while viewing them. To transfer a record from the Responded Save File to the local Save file:

	Action
1	At the home position, enter s and press < F11 >. Result: The screen clears and the message line displays: Authority record saved under nnnn. Note: nnnn is the Save file number. The system assigns numbers sequentially from 1 to 9,999 and begins renumbering at 1 when it reaches the limit.
2	Write down the Save file number to use when retrieving the record.
3	(Optional) At the Home position enter si and press < F11 >. Result: The Save File Information list, containing the transferred records, appears.

If you save a record to the local Save file, the system automatically deletes the record from the Responded Save File.

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13.6 Adding New Records

Before a new record is added to the OCLC Authority File, the system automatically performs these steps:

1. Checks the main entry of the record against existing Authority File entries to verify that the record is not a duplicate (OCLC Connexion only).
2. Attempts to validate the record.

If a record passes these tests, the system:

• Assigns an OCLC ARN and an LCCN to the record.
• Adds the record to the OCLC Authority File.
• Locks the new record.
• Places a copy of the record in a contribution file that is sent to the Library of Congress. LC assigns an 005 field (date and time of last transaction). Note: Once LC returns the record, the record is unlocked.
• Displays the new record (OCLC Connexion only) and a confirming message. Note: OCLC Connexion automatically searches the OCLC Authority File for the main entry in the record. If a matching heading is found, you cannot add the record.

If a record does not validate, you must correct the errors and try to add it again.

Connexion browser

An add may be done from an edited workform, a locked and edited authority record or from the authority save file.

To add a new record:

	Action
1	Retrieve the record you want to add from either: The Responded file The Authority Save file Make sure the record's edit view is displayed.
2	In the Action list, click Add Record.
3	In the confirmation window click OK. Result: Successful addition: The system displays a confirmation message. Failed duplicate detection: The system displays an error message; you cannot add the record. Failed validation: The system displays one or more error messages. You must correct the error(s) before you can add the record.

If you retrieved the record from the authority save file, OCLC Connexion deletes the copy of the record in the authority save file after adding it to the Authority File.

CatME

Since CatME cannot automatically detect duplicate records, you should search the OCLC Authority File immediately before adding the new record to make sure your new record is not a duplicate.

	Action
1	Display the record you want to add in the active window (from an authority local file or from the online Responded Save File).
2	On the Action menu click Add to Online Authority File. Or Press < Alt >< A > then press < H >. Result: CatME sends the record to the OCLC system. Status update: Successful addition: The record's add status [ADD on the Record (top) status bar] changes to c (completed - successful submission). Failed addition: The record's add status [ADD on the Record (top) status bar] changes to * (failed - unsuccessful submission). If the failure was due to validation errors, you must correct the error(s) before you can add the record.

If your record contains field 952, this field is deleted from the copy that is sent to LC but kept in the copy that remains in your local authority file.

Passport

Since Passport cannot automatically detect duplicate records, you should search the OCLC Authority File immediately before adding the new record to make sure your new record is not a duplicate.

You use the Add (add) command to add a new record to the OCLC Authority File:

	Action
1	Retrieve the record you want to add from the Save file.
2	At the Home position, enter loc and press < F11 >. Result: The indicator LOC appears in the status line.
3	(Optional) Make any additional changes to the record.
4	At the Home position, enter add and press < F11 >. Result: Successful addition: The message line displays: Record added. Failed validation: the message line displays an error message including the line in which the error occurs and a brief description of the error. You must correct the error(s) before you can add the record.

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13.7 Modifying Existing Records

Only NACO participants can replace (modify) records to the OCLC Authority File. The following diagram shows the steps required to replace a record as performed by both NACO libraries and the Library of Congress, and the location of the supporting information for each step if the information is not in this chapter.

NACO library catalogers who have an authorization mode of Limited (LTD) or above can begin the update process by locking and editing master records. However, only users having the following authorizations:

• NACO National (NAN)

• NACO Regular (NAR)

• CONSER National (CON)

• Enhance National (ENN)

can complete the process. See section 2.1, "Authorization," for a complete list of authorization modes.

Before a modified record replaces an existing record in the OCLC Authority File, the system attempts to validate the modified record.

If a record validates, the system:

• Replaces the record in the OCLC Authority File.
• Locks the record.
• Places a copy of the record in a contribution file that is sent to the Library of Congress. LC updates the 005 field (date and time of last transaction). Note: Once LC returns the record, the record is unlocked.
• Displays the new record (OCLC Connexion only) and a confirming message.

If a record does not validate, you must correct the error(s) and try to replace it again.

Connexion browser

To replace a master record using OCLC Connexion:

	Action
1	Retrieve the record you want to update from the authority save file.
2	Is the record's edit view displayed? If Yes: Go to the next step. If No: In the Action list, click Lock Master Record. Result: A confirmation message appears.
3	Optional: Make any additional changes to the record.
4	In the Action list, click Replace Record. Result: A confirmation message appears.
5	Click OK. Or Press < Tab > until the OK button is highlighted, then press < Enter >.

If you retrieved the record from the authority save file, OCLC Connexion deletes the copy of the record in this file.

CatME

In CatME, you can replace master records individually or as a batch by selecting multiple records from a local file list.

Single record.  When you replace a single record, the update takes place immediately.

	Action
1	Display the authority record to replace from a local file or an online file.
2	On the Action menu click Replace. Result: The system locks the authority record, unless the authority record is already locked, or if your copy of the record is outdated. In these cases, you receive an error message. OCLC system validates the record. If the record is valid, the system: Replaces the record in the Authority File immediately Adds your MARC Organizaton Code for field 040 subfield ‡d (as modifying institution).

If you retrieved the record from the Responded Save file, CatME deletes the copy of the record in this file.

Multiple records.  When you replace records as a batch, you can choose whether the update takes place immediately or at a later time.

When doing a batch replace, CatME compares the field 005 date of your new record with that of the existing record in the OCLC Authority File. If the existing record has a more recent date, the update fails.

To replace a group of master records in CatME:

	Action
1	Retrieve a local file list that includes the authority records to replace.
2	Select the list entries for the record(s) you want to replace: Single entry: click the entry. Adjacent entries: Click to highlight the first entry. Press and hold < Shift > and click the last entry. Or Press < > or < > to highlight the first entry. Press < Shift >< > or < Shift >< > to highlight other entries. Non-adjacent entries: Click to highlight the first entry. Press < Ctrl > and click to highlight each additional entry. Result: The entries are highlighted.
3	On the Action menu click Replace. Result: The records' Replace (RPL) status (r column on the list) changes to r (ready for batch Replace).

Passport

You use the Replace (rep) command to update an existing record to the OCLC Authority File:

	Action
1	Retrieve the record you want to add from the Save file.
2	At the Home position, enter rep and press < F11 >. Result: Successful update: The message line displays: Record replaced. Failed validation: the message line displays an error message including the line(s) in which an error occurs and a brief description of the error. You must correct the error(s) before you can add the record.

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