DEALING WITH DUPLICATE 1XX/4XX
PROBLEMS LISTED ON THE 1XX/4XX REPORT
(PERSONAL NAMES)
November 26, 2012 (lel)
Periodically a report is run which lists the occurrence of personal names that are
found as both main entry names (100) and See-from names (400) in the SIRSI
authority database--or vice versa.
Example:
 Bazell, C. E.|q(Charles Ernest) may have an authority record in the SIRSI
database (100). In that record there is a See-from (400) form of his name as
Bazell, Charles Ernest. But there is also another authority record for his
name as Bazell, Charles Ernest (100). This latter form of his name is in
several or all of the bibliographic records for his works in SIRSI. After due
research it must be determined which of these names should be kept in the
SIRSI authority database and used in records. The incorrect name would be
removed from the database and the bibliographic records would be edited to
include the name as established by LC.
Objective:
 To eliminate the incidence of duplicate 1XX and 4XX headings in records in
the SIRSI authority database.
 GOAL: To render, as much as possible, the accuracy and consistency
(according to the standard of LC authorities) of personal names in both the
authority records and the bibliographic records in SIRSI
Procedure in dealing with the 1XX/4XX problem list
generated by BSLW:
 Check in author and subject browse to view 1XX & 4XX headings; i.e. the
subjects authors wrote on, to determine whether they are the same author or
not, etc.
Procedure: LCR Collections Metadata Development: metamono@ucalgary.ca
Effective date: November 26, 2012
Page 1
 Check the authority database to see description of these authors.
 Change the form of name in the records as appropriate (in both authors and
subjects), agreeing with the name as established by LC
 In the case of an authority record that says: FOR VALIDATION PURPOSES
ONLY|5CaACU make sure that it is the same person (from viewing records
in author and subject browse) as the person for the LC established name.
Tag to delete this record.
 TAGGING TO DELETE (procedure for): In the AUTHTYPE in the fixed
fields of the authority record, change the existing coding to d. In the control
window of the authority record change the Date authorized to TODAY.
 If the LAC (Libraries and Archives Canada—previously known as NLC) and
DLC headings are for the same person (usually the LAC heading has a 4XX
identical to the 1XX DLC heading) treat LAC authority record as an untraced
reference.Changing an LAC record to an “Untraced reference”: Change to b
the AUTHTYPE in fixed fields of the Canadian authority; put in a 667 field
saying: FOR REFERENCE PURPOSES ONLY|5CaACU.
 Add appropriate x-refs (especially the heading as it is found in the LAC 100)
to DLC authority, with the suffix |5 CaACU. Where there is a 4xx heading in
the LAC form of the authority that is identical to the 1XX in the DLC record be
sure to delete it from the LAC record.
 N.B. In the course of checking names on the 1XX/4XX list watch for
occurences of authors in the browse list who have an identical name as
another author but who is obviously not the same person, according to the
authorities and the subjects of the bibliographic records . In these cases
check our SIRSI authority database first to see if the correct heading might
already be there. If not, research must be made into LC authorities (online),
OCLC records, even GOOGLE sometimes, etc. to determine the correct
established heading. If the correct name for the author is found, correct the
bibliographic record. If the name is not yet in our authorities, put the name
into the bibliographic record as established in LC (or LAC, if it is only found
there). In the Control window of the bib record change the Date catalogued
to TODAY. This will ensure that the name is loaded into our authorities in
the next month’s load by BSLW.
Procedure: LCR Collections Metadata Development: metamono@ucalgary.ca
Effective date: November 26, 2012
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