Chapter 11: Managing Access Terms

Chapter 11: Managing Access Terms
Chapter 11
Managing access terms
The Archivists' Toolkit provides two different record types for managing controlled
access points: subject records and name records.
You may access subject and name records directly, by selecting Subjects or Names in the
main menu. You may also access subject and name records within the context of an
accession record or a description record, during the process of adding subject terms,
source names, creator names, or subject names. This chapter describes procedures for
working directly in the subject and name modules, which is useful for creating new
subject terms and names, and for managing authorities. Information on procedures for
adding subjects and names to accession and description records is available in Chapter
12.
Managing subject (non-name) headings
Overview
The Archivists' Toolkit allows you to create and manage six different types of subject
access points: uniform titles, topical terms, geographical names, genre/form terms,
occupations, and functions. Names as subjects should be entered as a name record, even
if they have topical divisions. See Chapter 12 for information on adding names as
subjects to accession and description records.
The Toolkit does not support thesaurus management through designations of broader
term, related term, narrower term, etc., but it does provide a scope note for recording
local application guidelines.
If your repository does not wish to add controlled access terms to descriptive outputs
such as catalog records and finding aids, then it is not necessary to create and use subject
records.
Basic steps for creating a subject record
1. From the Main Screen, select Subjects and press New Record.
2. Enter the subject term.
3. Select the type of subject term: topical, geographical, or form/genre.
4. Enter the source of the term.
5. Save the subject record by pressing the OK command button at the bottom right
corner of the window.
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Caution: Subject records must be unique. If the subject term, subject type,
and subject source of the new record match those fields in an existing
record, the Toolkit will indicate that the record cannot be saved because
the record is not unique.
If the record does not include the required elements listed above, the
Toolkit will indicate that the record cannot be saved because one or more
of the required fields is not completed. The uncompleted fields will be
indicated in the error message. The required field(s) must be completed in
order to save the record.
Subject data elements
Elements required by the Archivists’ Toolkit
1. Subject term. A descriptor that indicates the content or type of resource. Subject
terms may describe topics, titles, places, events, geographical areas, occupations,
or functions documented in the materials, or genres or forms that the records take.
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This field allows for simple terms and phrases, as well as modified terms and
phrases entered with or without separation devices. The Toolkit does not,
however, enforce consistency in the use of separation devices. Because the entire
subject string is entered in as a single data element, it may be necessary to edit
some outputs where individual subfields are important (for example, MARC
XML).
Examples:
Hiking
Playing cards
Correspondence
Hydroelectric power plants -- Snake River
Owens Valley (Calif.) -- Fiction
2. Subject term type. Indicates the type or category of a subject term: uniform title,
topical term, geographic name, genre/form, occupation, or function. The content
of this field is populated with a controlled list, so you may not add values to the
field other than those listed below. In addition to the name type, the list provides
the MARC equivalent for that type. For example, a geographic name corresponds
to the 651 field in MARC.
In the Toolkit, names that are subjects are managed with name records, therefore
a name type is not available here.
Note: These terms are the default values entered into the subject source
lookup list as installed. Items may be added to this list in the process of
importing legacy data, but it should be cleaned up using the Merge Items
option in the Lookup Lists record. See Chapter 16.
Options:
Uniform Title (630)
Topical Term (650)
Geographic Name (651)
Genre / Form (655)
Occupation (656)
Function (657)
3. Subject source. Provides the thesaurus in which the term is listed, giving the
authority for the term. The field is populated using a controlled list derived from
the Library of Congress list of codes for term, name, and title sources. The option
Local Other is available for cases when the term has not been built upon one
of the thesauri provided in the list, or is based on local guidelines.
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Contents of the controlled list for Subject source contain only the abbreviation
for the thesaurus, but the complete name is also given in the list below.
Note: These terms are the default values entered into the subject source
lookup list as installed. If you add terms to this list, you must follow the
same format (title followed by code in parentheses) in order for the code
to exported into standardized outputs such as MARCXML and EAD.
Items may be added to this list in the process of importing legacy data, but
the lists should be cleaned up using the Merge Items option in the Lookup
Lists record. See Chapter 16.
Options:
Art & Architecture Thesaurus (aat)
Dictionary of Occupational Titles (dot)
Form terms for archival and manuscripts control
(ftamc)
Genre Terms: A Thesaurus for Use in Rare Book
and Special Collections Cataloging (rbgenr)
GeoRef Thesaurus (georeft)
Library of Congress Subject Headings (lcsh)
Local
Medical Subject Headings (mesh)
Thesaurus for Graphic Materials (gmgpc)
Additional elements
1. Subject scope note. The subject record can be extended by recording a subject
scope note. Use this field to indicate how a subject term is to be applied within
your institution. It is particularly useful to state the scope of local terms.
Examples:
Use the more specific term "Landscape
architecture drawings" rather than
"Architectural drawings" for landscape design
materials.
Relationships with other records
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Subject records exist to help the archivist and the researcher discover relevant archival
materials. Toward this purpose, you can add subject terms to accession records and to
description records at any level (see Chapter 12 for instructions).
Subject reports
You can generate descriptive reports that draw upon data found in the subject records and
administrative reports useful in authorities management. See Chapter 14 for specific
instructions for generating reports.
Examples of the following reports are available in the Appendices:
1. Print Screen Print a list of subject records as they are displayed in the list screen.
2. Resources to Subject Term Display/Repository Subject Guide Select any
subject or any group of subjects to show subject records and resources and
accessions to which they are linked. Report contains sort subject term, type,
source and any resource records and accession records linked to that subject.
3. Subject Record Select any subject or any group of subjects to show all data
contained in the records.
Managing name headings
Overview
Management and description of archival collections involves tracking relationships
between the materials and various persons, families, and corporations that may have been
sources or creators of the collection, or subjects within the materials. This section
describes procedures for creating name authority records, recording non-preferred forms
of the name, and establishing related names.
Name records may consist of three distinct sections: name details, name description, and
contact information. In addition, non-preferred forms and linked accessions and resources
can also be viewed from the name record. Only the name identity section is required.
Name description is available for entering administrative histories or biographical notes
of creators or donors. Contact information is primarily available for use with source
names, but could be added to creator and subject names if deemed useful. You may also
record non-preferred forms of a name, which will support see references, and related
names that become see also references.
Name records in the Archivists' Toolkit are designed to conform with the International
Council on Archives' ISAAR(CPF): International Standard Archival Authority Record
for Corporate Bodies, Persons, and Families, 2nd ed. and to support the proposed
standard Encoded Archival Context (EAC). Name records also accommodate creation of
names according to rules established in standards such as AACR2 and DACS. It is
beyond the scope of this user manual, however, to provide guidelines for creating
headings according to these standards. Examples are given to illustrate use of Archivists'
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Toolkit fields, but should not be seen as a replacement for rules for establishing forms of
names.
It is recommended that the names module be used to record creators of materials, at a
minimum. It is not necessary to record source or subject names in the Toolkit if you do
not wish to manage those names in the application.
Basic steps for creating a name record
1. From the Main Screen, select Names and press New Record.
2. Select the type of name.
3. Enter the source of the name or indicate the rules used to construct the name.
4. Enter the primary corporate name (for a corporate name type) or the primary
name (for personal or family name types).
5. Save the name record by pressing the OK command button at the bottom right
corner of the window.
Caution: The Toolkit will not save the record if the name is not unique. If
the elements in the name identity section match those in another record for
the same type of name, the Toolkit will indicate that the name record is
not unique and prompt you to modify the record or cancel the process.
If the record does not include the required elements listed above, the
Toolkit will indicate that the record cannot be saved because one or more
of the required fields is not completed. The uncompleted fields will be
indicated in the error message. The required field(s) must be completed in
order to save the record.
The sort name field is also required, the default record setting is to
automatically generate the content of field.
Name data elements
The Toolkit requires data elements only in the identity section of the name record.
Additional identity elements not required by the Toolkit, and description and contact data
elements are listed below. Within the sections listing name identity elements, the data
elements are grouped according to type of name.
Elements required by the Archivists’ Toolkit
For all name types
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1. Name type. An indicator of the type of name being described, whether personal,
family, or corporate. The content of this field is populated with a controlled list,
so you may not add values to the field other than those listed below. In
compliance with the EAD standard, conferences are considered to be corporate
names.
DACS Reference: 11.6
Options:
Corporate body
Person
Family
2. Name source. (Required if a value is not entered in Name rules.) A code for the
authority file in which the name has been established.
DACS Reference: 11.26
Note: These terms are the default values entered into the name source
lookup list as installed. Items may be added to this list by the repository,
or in the process of importing legacy data. If variants of these sources are
added during legacy data import, the list should be cleaned up using the
Merge Items option in the Lookup Lists record. See Chapter 16.
Options:
Dictionary of Art
Library of Congress Name Authority File
Local Sources
NAD/ARKII Authority Database
Oxford Classical Dictionary
Union List of Artist Names
3. Name rules. (Required if a value is not entered in Name source.) The rules used
to formulate the name entry.
DACS Reference: 11.20
Note: These terms are the default values entered into the name rules
lookup list as installed. Items may be added to this list by the repository,
or in the process of importing legacy data. If variants of these rules are
added during legacy data import, the list should be cleaned up using the
Merge Items option in the Lookup Lists record. See Chapter 16.
Options:
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Anglo-American Cataloging Rules, 2nd ed.
Describing Archives: A Content Standard
Local
3. Sort name. The complete, concatenated version of the name containing all
individual elements. This is the form as it will be shown within Archivists'
Toolkit displays, and is exported in reports and standardized outputs such as
MARC and EAD.
By default, the Sort name is automatically generated as content is entered into the
record. This feature can be activated or turned off through the Create Sort Name
Automatically check box. If the box is selected, the Sort name will be
automatically generated as the record is created or edited. If the Sort name is not
automatically created as you wish, you can shut off the feature and edit the Sort
name manually. If you select the Create Sort Name Automatically check box
once again the Toolkit will overwite the manually edited Sort name once again.
Examples:
Richardson, H.H., 1838-1886,
(Henry Hobson)
New York University. Graduate School of Arts and
Science.
For corporate names
1. Name corporate primary. The principal name for a corporate body, including
organizations, government agencies, educational institutions, and conferences.
DACS Reference: 9.8, 11.5, 14ff
Examples:
Bollingen Foundation
Irvine Company
National Organization for Women
United States (for United States. Bureau of Insular Affairs.)
University of California, San Diego (for University of
California, San Diego. Academic Computing Services.)
United States (for United States. Congress. Joint Committee on the
Library.)
For personal names
1. Name personal primary. The family name, surname, or primary name of the
individual.
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DACS Reference: 9.8, 11.5, 12.1-12.11
Examples:
Churchill (for Churchill, Winston, Sir, 1874-1965)
Ward (for Ward, Humphrey, Mrs., 1851-1920)
Johnson (for Johnson, Carl F., fl. 1893-1896)
Black Foot (for Black Foot, Chief, d. 1877)
H. D. (for H. D., Hilda Doolittle, 1886-1961)
John (for John II Comnenus, Emperor of the East, 1088-1143)
Taj Mahal (for Taj Mahal (Musician))
For family names
1. Name family primary. The last or surname for a family.
DACS Reference: 9.8, 11.5, 12.29
Examples:
Hudson family (for Hudson family)
Farquhar family
(for Farquhar family (New York, NY))
Giroux family (for Giroux family (French))
Charron-Lecorre family (for Charron-Lecorre family
(Winemakers))
Additional identity elements
The identity section of the minimum identity record can be extended by recording data
for any of the following elements.
For corporate names
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1. Name corporate subordinate 1. The name of an organizational unit within the
entity named in the Corporate primary name field.
DACS Reference: 9.8, 11.5, 14ff
Examples:
Bureau of Insular Affairs (for United States. Bureau of
Insular Affairs.)
Academic Computing Services (for University of California,
San Diego. Academic Computing Services.)
Congress (for United States. Congress. Joint Committee on the
Library.)
2. Name corporate subordinate 2. The name of an organizational unit within the
entity named in the Name corporate subordinate 1 field.
DACS Reference: 9.8, 11.5, 14ff
Examples:
Joint Committee on the Library (for United States.
Congress. Joint Committee on the Library.)
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3. Name corporate number. Number of a meeting.
Examples:
2nd (for National Conference on Physical Measurement of the Disabled,
2nd.)
3. Name corporate qualifier. A term or phrase that distinguishes the corporate
name from another with the same content. The qualifier may be a place term,
date, or a generic descriptor.
Examples:
Osaka, Japan (for Expo '70 (Osaka, Japan))
1966 (for Belgian-Netherlands Antarctic Expedition (1966))
1857 : Republican (for Minnesota. Constitutional Convention
(1857 : Republican))
For personal names
1. Name personal rest. The given name of the individual along with middle name
or initials if necessary to differentiate the name from other similar names.
DACS Reference: 9.8, 11.5, 12.1-12.11
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Examples:
Winston (for Churchill, Winston, Sir, 1874-1965)
Humphrey (for Ward, Humphrey, Mrs., 1851-1920)
Carl F. (for Johnson, Carl F., fl. 1893-1896)
2. Name in direct order. A checkbox used to indicate that an automatically
generated Sort name should be expressed with the Name personal rest field
followed by the Name personal primary field (as opposed to Name personal
primary, Name personal rest).
For example, because the name in direct order box is checked, the Sort name for
the following record is Isaac ben Aaron as opposed to Aaron, Isaac ben. See
DACS rules 12.8-12.9 for examples of names expressed in direct order. [Screen
shot]
3. Name personal prefix. Any word associated with a name that in regular use
would come before the name, such as Mr., Miss, etc.
Examples:
Mrs. (for Ward, Humphrey, Mrs., 1851-1920)
4. Name personal suffix. Any word associated with a name that in regular use
would come after the name.
Examples:
Jr. (for King, Martin Luther, Jr., 1929-1968)
5. Name personal number. A number used to distinguish like names. Can include a
roman numeral alone or a roman numeral and subsequent part of a forename, as in
the example below.
DACS Reference: 9.8, 11.5, 12.1-12.11
Examples:
II Comnenus (for John II Comnenus, Emperor of the East, 1088-1143)
6. Name personal title. Titles and other words associated with a name. Can include
titles designating rank, office, or nobility, terms of address, and other words or
phrases associated with the name. Examples include Sir, Saint, or terms used to
identify the name and differentiate it from other similar names.
DACS Reference: 9.8, 11.5, 12.1-12.11
Examples:
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Sir (for Churchill, Winston, Sir, 1874-1965)
Chief (for Black Foot, Chief, d. 1877)
Emperor of the East (for John II Comnenus, Emperor of the East,
1088-1143)
Musician (for Taj Mahal (Musician))
7. Name personal dates. Birth, death, or flourishing dates used to distinguish the
name from other like forms. May include a qualifier, such as b. for a birth date, d.
for a death date, or fl. for flourishing dates.
DACS Reference: 9.8, 11.5, 12.1-12.11
Examples:
1874-1965 (for Churchill, Winston, Sir, 1874-1965)
d. 1877 (for Black Foot, Chief, d. 1877)
1886-1961 (for H. D., Hilda Doolittle, 1886-1961)
1088-1143 (for John II Comnenus, Emperor of the East, 1088-1143)
fl. 1893-1896 (for Johnson, Carl F., fl. 1893-1896)
8. Name personal fuller form. A more complete form of the name than that found
in the Personal name rest field. Generally used to resolve conflicts with other,
similar names.
DACS Reference: 9.8, 11.5, 12.1-12.11
Examples:
Hilda Doolittle (for H. D., Hilda Doolittle, 1886-1961)
9. Name personal qualifier. A word or phrase that distinguishes between two
headings identical in all other respects. The qualifier may include a term of honor
or address, a title of position or offices, initials indicating an academic degree or
membership in an organization, or a geographical location. Generally used only
when other information such as dates or fuller form of the name are not available
or do not serve to differentiate the names.
DACS Reference: 12.19
Examples:
Notary (for Johannes (Notary))
F.I.P.S. (for Brown, George, F.I.P.S.)
Captain (for Brown, George, Captain)
of Falls Church, Va. (for Baker, Miss, of Falls Church, Va.)
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For family names
1. Name family prefix. Terms used to distinguish two similar family names. May
include a statement of occupation, nationality, or geographic location. Use only if
necessary to differentiate the heading from other like forms.
Examples:
Placeholder
2. Name family qualifier. Terms used to distinguish two similar family names. May
include a statement of occupation, nationality, or geographic location. Use only if
necessary to differentiate the heading from other like forms.
Examples:
New York, NY (for Farquhar family (New York, NY))
French (for Giroux family (French))
Winemakers (for Charron-Lecorre family (Winemakers))
Name description elements
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Using the following fields, you may add descriptive information to any name record,
regardless of the type of record or relationship of the person, family, or corporation to the
archival materials being described. Description information is particularly useful for
providing contextual information about records creators and this context is output into
MARC records and finding aids. Although the Toolkit does not require any of these
fields, there are requirements associated with some of the data elements if they are
utilized.
1. Name description type. (Required if a Name description note is provided.) An
indication of the type of description being entered into the Name description
note field. The content of this field is populated with a controlled list, so you may
not add values to the field other than those listed below.
Options:
Administrative History
Biographical Statement
2. Name description note. A note providing biographical information in the case of
personal or family names, or an organizational/administrative history in the case
of a corporate body. Enter in paragraph, list, or paragraph and list formats.
DACS Reference: 10.13ff, 11.12
3. Name citation. A bibliographic reference citing any sources for establishing the
name record.
DACS Reference: 11.26
Examples:
Eichenwald, Kurt. Conspiracy of fools: a
true story. New York: Broadway Books, 2005.
Name contact information elements
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Use the following fields to record contact information for the person in question. Contact
information can be added to any name record regardless of the type of name or the
relationship of the person, family, or corporation to the archival materials being
described. This section of the name record was, however, primarily designed to assist in
managing contacts with records sources, such as donors, dealers, and institutional offices
transferring records to the repository.
1. Salutation. Form of name used for greeting in writing or in person. Unlike the
Contact name (see below), the Salutation may refer to the same entity identified
in the name record, though in a different form. For example, a record for Wiget,
Pamela may have the Salutation Ms Wiget, Pam Wiget, or Pam.
2. Name contact address 1. Street or postal address for the person, family, or
corporate body named in the identity section of the record.
Examples:
112 Main St.
P.O. Box 27
2. Name contact address 2. Additional address information needed to record the
address of the person, family, or corporate body named in the identity section of
the record.
Examples:
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Unit 2
3. Name contact city. City or town in which the person, family, or corporate body is
located.
Examples:
New York
Ottawa
4. Name contact region. State, province, etc. in which the city is located. The
choice of whether to use a mailing code (NY) or full name (New York) is up to
the repository. As of version 1.0, this information is not output in mailing lists.
Examples:
NY
Ontario
5. Name contact country. Name of the country in which the person, family, or
corporate body is located.
Examples:
U.S.A.
Canada
6. Name contact mail code. Zip code or other postal code used in the address.
Examples:
10118
K1R 7A8
7. Name contact telephone. Primary telephone for contacting the entity named in
the identity section of the record.
Examples:
312-555-1212
8. Name contact fax. Primary fax number for the entity.
Examples:
312-555-1213
9. Name contact e-mail. Primary email for contacting the entity.
Examples:
[email protected]
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9. Name contact name. Name, in natural order, of a person who serves as the
primary contact for the entity recorded in the name record. For example, this may
be an individual in a corporate office, a family member or assistant for a personal
name, or an individual member of the family for a family name.
Examples:
Tom Jordan
Contact notes
The following fields relate to contact notes. You may add any number of contact notes to
a single name record, for example, to record and track multiple interactions with the
entity over time, to record times the individual is available for picking up materials, or to
indicate the relationship between a contact name and the entity.
1. Name contact note label. Any term or phrase that will help to identify the type of
information found in the contact note.
Examples:
Phone Conversation
Times of Availability
Relationship
2. Name contact note sequence. If you wish to establish a particular order of
contact notes, enter a number to indicate the sequential position of the note in
relation to other contact notes for the same name record. If a value is not entered,
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the notes will be listed in record number order, that is, the order in which they
were entered. If some notes have a sequence value and others do not, those with a
sequence will be listed in order according to sequence number and the rest will be
listed in the order in which they were entered.
3. Name contact note. Note for clarifying data recorded in the contact fields, for
maintaining a contact log, or any other information related to the entity and the
act of contacting them.
Examples:
March 21, 1992. Discussed contents of Chancellor
Scott's office files to be transferred to the
archives, and necessity of box list with
transfer.
Call 1-5 p.m.
Tom Jordan is Amy Stanford's nephew. All contacts
related to her papers should be directed to him.
Adding a non-preferred form of name
The Archivists' Toolkit also allows you to record non-preferred forms of names, which
can then be used to generate see references. The fields that form a non-preferred name
mimic those outlined in the previous section, but are prefaced with the word "other." So,
for example, for a corporate body a non-preferred form has fields for Other name
corporate primary, Other name corporate subordinate 1, etc.
You may add one or more non-preferred forms to any name record. Use the following
instructions to add a non-preferred name:
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1. From the name record, select the Non-Preferred Forms tab.
2. Press Add Non-Preferred Form and enter data into the non-preferred form
template. Only a primary name is required to save a non-preferred form.
In general, descriptions of name data elements given in the previous
section are also applicable to corresponding fields in the non-preferred
name template. The primary difference is that non-preferred forms do not
follow rules such as AACR2 or DACS.
3. Save the name record, including the new non-preferred form, by pressing the OK
command button at the bottom right corner of the window.
Relationships with other records
The Archivists' Toolkit uses name records to document sources and creators of
collections, as well as persons, families, and organizations found as subjects in the
materials. The AT allows you to add names as sources to accession records and top-level
description records. You can also add creator names and subject names to accession
records and to all description records. See Chapter 12 for more information on assigning
source, creator, and subject names.
Name reports
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You may generate descriptive reports that draw upon data found in the name records and
administrative reports useful in authorities management. See Chapter 14 for specific
instructions for generating reports.
Examples of the following reports are available in the Appendices:
1. Print Screen Print the list of name records as they are displayed in the list screen.
2. Names Select any name or any group of names. Report contains sort name, type
and source.
3. Accessions to Name List Select any name or any group of names to show name
records and accessions to which they are linked. Report contains sort name, type,
source and any accession records linked to that name.
4. Resources to Name List Select any name or any group of names to show name
records and resources to which they are linked. Report contains sort name, type,
source and any resources records linked to that name.
5. Resources and Accessions to Name List Select any name or any group of names
to show name records and resources and accession to which they are linked.
Report contains sort name, type, source and any resources records or accession
records linked to that name.
6. Name Record Select any name or any group of names to show all data contained
in the record.
7. Non-Preferred Names to Name List Select any name or any group of names to
show name records and their non-preferred forms. Report contains sort name,
type, source and any other non-preferred forms of that name.
Merging access terms
The Toolkit offers a Merge feature for subjects and names, which is useful for
management and clean up of your authority lists. Merging two terms together results in
the undesirable or redundant heading being deleted, and all of its linked accession and
description records being linked to the more desirable heading. You might use this
feature to perform clean up if importing data has resulted in redundant records or if you
find that related terms have been used inconsistently.
To merge two name or subject records:
1. Open the Names or Subjects list screen.
2. Select the two or more terms that you wish to merge.
3. Press Merge.
4. The Toolkit will prompt you to select the term you wish to merge into. Select a
term in the list.
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5. Press Select.
6. You will be asked to verify that you wish to merge the records into the record you
selected. Press Yes.
If a number of records are linked, the operation may take a few seconds, and the
Toolkit will display the progress meter. If there are few or no records linked, the
process will take place immediately.
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Caution: Merging subjects and names will create changes in any records
linked to the term that is to be merged. The Toolkit will not alert you to
those records that will be changed. If you wish to identify the records that
will be changed, complete a search for the term to be merged in the
Accessions and Resources functional areas to retrieve a list of the linked
records.
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