Introduction toAuthority Control

at Yale

July 16, 2007

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Outline

1. Overview

2. NACO

3. SACO

4. MARS/ExportQ

5. Voyager

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1. Overview

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Authority control terminology

authority control: ideal state for the headings in a library catalog

authority work: activities that help to achieve goal of authority control

authority record: place to record info about a heading (name, subject, series, etc.)

authority file: collection of authority records

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Authority control

each name, subject, series, etc., in the catalog has a unique form of heading

unique heading recorded in an authority record (1xx)

cross references for forms not used (4xx)

cross references for related headings (5xx)

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Authority record

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Why authority control important?

improved searching for patrons and staffonly one search needed to retrieve all items by a particular author, etc.

cross references guide users to correct headings and show related headings

similar headings (representing different persons, etc.) are differentiated rather than lumped together

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Why not use keyword searching?

many keywords needed for comprehensive search:

words in different languages

variant spellings (English vs. American)

synonyms

grammatical variations (singular vs. plural)

typically, no obvious order to search results

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Authority control problems (1)

authority work is time-consuming (and thus expensive)

not enough resources to control all headings in the catalog

must prioritize

which kinds of authority work to pursue

which headings will receive most attention

helpful to automate some processes

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Authority control problems (2)authority files are dynamicnew authority records are continually added old authority records are frequently revisedlibraries need ways to:

get new and changed authority recordsdo retrospective bib heading cleanup

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Many kinds of authority work ...Cataloging staff:

validation of headings in bib records in Orbisauthority record creation through NACO/SACO

Authority Control Librarian:oversee automated processing of bib record headings using authorities service (MARS)authority record deletionsretrospective bib heading cleanup in Orbis

IS&P (Systems) staff:oversee MARS authority/bib record loads in Orbis

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Subject thesauri used at Yale

LCSH (subjects)

MESH (subjects; accept on copy but don’t assign)

AAT (form/genre)

GSAFD (form/genre)

GMGTC (form/genre)

LCTGM (form/genre)

RBMS thesauri (form/genre)

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Local Yale subject headings

aka “Special Collections Subjects” in OPAC

assigned in 69X fields, mostly by special collections units

often use a combination of authorized name + local subdivision

ask before using new ones!

http://www.library.yale.edu/cataloging/authorities/69X.html

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Where is Yale documentation?

“Authority Control at Yale” website:

http://www.library.yale.edu/cataloging/authorities/

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2. NACO

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What is NACO?

Name Authority Cooperative Program

overseen by Library of Congress

part of larger Program for Cooperative Cataloging

allows catalogers to contribute authority records to the national authority file

authority records are shared by catalogers throughout the world

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Before NACO...

only Library of Congress could create authority records for national authority file

Yale created authority records only in Orbis

other libraries created authority records in their local catalogs

no way of sharing authority records and everyone used different forms of headings

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Yale’s NACO process

create our NACO records in OCLC “save file”

OCLC sends them to the Library of Congress

LC distributes them widely (OCLC, RLIN, BL, CDS, etc.)

receive authority records for Orbis through the MARS service and for LCDB through the vendor Peter Ward

IS&P loads new authority records weekly

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Yale’s NACO history

limited NACO participation before 1996

names training by LC: 1996

series training by LC: 1999, 2003

all training now done locally by Authority Control Librarian

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Reasons for expanding our NACO participation

keep Orbis authority file synchronized with national file

improve catalogers’ skills

cooperate with other libraries in shared catalog environment

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NACO administration at Yale

NACO Coordinating Committee (NCC)reports to Cataloging Coordinating Council

oversees NACO record review, documentation, policy recommendations, communication

monthly meetings

minutes posted on web site

http://www.library.yale.edu/cataloging/authorities/ncc.html

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NACO communication at Yale

YUL-NACO discussion list

http://mailman.yale.edu/pipermail/yul-naco/

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NACO training: LC vs. Yale

LC = 5 full days of name training

LC = 3 full days of series training

LC = large class size

Yale = spread out over multiple weeks

Yale = greater customization possible

Yale = smaller class size

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Upcoming NACO Training

Last names training done in June 2007

Next training session coming soon!

Usually use SCML classroom at Mudd Library

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How to prepare for training (1)

save examples of headings that lack authority records

for each heading, save:bib record print-out or ID#

photocopy of page(s) in item where the name appears (including variant forms)

photocopy of page(s) in reference source containing biographical information

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How to prepare for training (2)

review in Cataloger’s Desktop:AACR2 chapters 21-26 & LCRIsMARC21 for Authority DataNACO Participants’ Manual

review on Yale website:Authority Control Workflow for Catalog Librarians

http://www.library.yale.edu/cataloging/authorities/acworkflow.htm

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For more information

NACO section of the “Authority Control at Yale” website

http://www.library.yale.edu/cataloging/authorities/names.html

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NACO questions?

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Part 3: SACO

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What is SACO?

Subject Authority Cooperative Program

part of Program for Cooperative Cataloging

overseen by Library of Congress

allows catalogers to propose new subject headings for LCSH (and changes to existing subject authority records)

all proposals must be approved by LC

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Yale’s SACO history

informal and infrequent participation

local documentation first issued 2002

started conducting local LCSH training for catalogers in 2004; repeated in 2005, 2006

SACO Coordinating Committee formed 2005

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SACO administration at Yale

SACO Coordinating Committee (SCC)reports to Cataloging Coordinating Council

oversees SACO record review, documentation, policy recommendations, communication

infrequent meetings on “as needed” basis

minutes posted on web sitehttp://www.library.yale.edu/cataloging/authorities/scc.html

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Before proposing a heading…

review in Cataloger’s Desktop:Subject Cataloging ManualMARC21 for Authority DataSACO Participants’ Manual

review on Yale website:“SACO + Subjects” links

http://www.library.yale.edu/cataloging/authorities/subjects.html

SACO Workflowhttp://www.library.yale.edu/cataloging/authorities/sacoworkflow.htm

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List of Yale SACO headings

Examples:East Rock Park (New Haven, Conn.)

ENIAC (Computer)

Male language (Ethiopia) 

Papal States--History--Paul V, 1605-1621.

Waterphone (Musical instrument) http://www.library.yale.edu/cataloging/authorities/saco.htm

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SACO questions?

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4. MARS/ExportQ

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What is MARS?

MARC Record Service

automated authority control service

corrects headings in bib records

sends matching authority records

sends authority record updates

sends reports (many!)

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Why do we use MARS?

to “clean up” incorrect and obsolete headings in bib records

to eliminate need for staff to import authority records manually

to keep Yale authority file current

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MARS history

developed by the Washington Library Network (WLN)

owned by OCLC 2000-2004

owned by Backstage Library Works since late 2004

Yale used another authority control service (OCLC ACS) from 1997-2000

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MARS administration at Yale

Authority Control Advisory Committee (ACAC)reports to CCC

oversees testing, documentation, policy recommendations

monthly meetings

minutes posted on web site

http://www.library.yale.edu/cataloging/authorities/acac.htm

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How does MARS work?

staff use ExportQ program to flag finished bib records for export to MARS

IS&P extracts flagged bib records on weekly basis and sends to MARS

MARS processes and returns records

IS&P loads returned records back into Orbis (overlaying original records)

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How long does it take?

usually less than one week

bib records sent to MARS each Sunday night

bib records loaded back into Orbis by Friday

matching authority records also loaded weekly

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While records are at MARS...

ExportQ window displays red warning

ExportQ icon flashes in system tray

must not edit, suppress, or delete any bib record that is out for MARS processing

okay to edit holdings and item records

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Who needs to use ExportQ?

anyone who “finishes” the cataloging for bibliographic records

anyone who edits, suppresses, or deletes “finished” bibliographic records

staff who only work with in-process records, order records, or records for items going to a backlog do not need ExportQ

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When you “finish” a bib record...

use ExportQ to flag your record for export to the appropriate utilities and to MARS

most units = send to RLIN, OCLC, and MARS

nonroman units = send to OCLC and MARS

select your export destinations and click “send”

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Keep in mind...

red warning won’t appear immediately after you “send” the record for export

warning only appears when IS&P does the real export (usually the following week)

okay to make further changes to the bib record before real export happens

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If you edit “finished” records...

check the ExportQ window or icon before you start to edit, suppress, or delete a “finished” bib record

if you see a red warning message or the icon is flashing, stop!

come back to the record in a few days after the warning has disappeared

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If you ignore ExportQ warning…

any changes you make will get overlaid when the record returns from MARS and is loaded back into Orbis

if you suppress the record, it will revert back to unsuppressed

if you delete the record, a new one will load

don’t do it!!!

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How can I tell if record is back from MARS?

ExportQ warning message will no longer display

bib record “History” tab will say “MARSBIB” and show date of record overlay

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For more informationMARS section of the “Authority Control at Yale” website

http://www.library.yale.edu/cataloging/authorities/mars.html

ExportQ section of the “Authority Control at Yale” website

http://www.library.yale.edu/cataloging/authorities/exportq.html

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MARS/ExportQ questions?

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5. Voyager

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What is Voyager?

library management system (LMS) from company called Endeavor

allows us to create/update records in Orbis database (catalog)

allows us to access records in LCDB database (local resource file)

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LCDB vs. Orbis

LCDB contains all the authority records in the national file

Orbis contains only those authority records that match headings in our bib records

both lag behind the national file somewhat

Only LCDB has subdivision authority records and authority “reference records”

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Authority work in Voyager

1. global change of bib headings

2. manual change of bib headings

3. heading validation at point of cataloging

4. manual updates of authority records (limited)

5. authority record loads (new and changed)

6. authority record deletes

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1. Global change of bib headings

clunky and not used much

must have authority record for entire string

doesn’t take tags, indicators, or subfield codes into account

looking into Gary Strawn’s Correction Receiver program as a replacement

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2. Manual change of bib headingswhen processing MARS reportswhen receive request from technical services staff (if more than 20 headings)when receive request from public services staff and patronsbest to submit requests using request form:

http://www.library.yale.edu/cataloging/change_request.htm

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3. Heading validation

automatic authorities validation each time bib record saved to database

system trying to determine whether bib heading matches authority record

variety of possible validation messages for each heading

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Which headings to verify?

workflow for catalog librarians:http://www.library.yale.edu/cataloging/authorities/

acworkflow.htm#verifywhich

workflow for C&T staff:http://www.library.yale.edu/cataloging/authorities/

ctacworkflow.htm#which

no real policy for acquisitions staff yet

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What do messages mean?

web page created to explain authority validation messages and suggest appropriate action for each:

http://www.library.yale.edu/cataloging/authorities/tips/authvalidationmessages.html

reduces need for authority record searching but does not completely eliminate

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If authorities validation fails …sometimes have to manually search for authority records in Orbis:

http://www.library.yale.edu/cataloging/authorities/tips.html#search

if no luck, try one of the following (all are free): LCDBLC Authorities on the webOCLC online authority file

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Other validation options

can validate headings individually (ctrl + H)

can retrieve all authority records associated with a bib record (Record > Retrieve Authorities)

staff presentation from Voyager migration:

http://www.library.yale.edu/cataloging/authorities/authvalidation/img0.html

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4. Manual updates of authority records (limited)

done by catalogers only to record series decisions (e.g. whether classed together or separately) and call numbers

occasionally may need to import an authority record before you can update it

Other updates done through NACO in OCLC

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5. Authority record loads

MARS knows which authority records we have in Orbis and sends:

authority records we don’t yet have if they match bib headings sent through processing

authority records that we already have if they have been recently updated in the national file

loads are done by IS&P and ITS

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Authority record merge problemmerge profile defined to preserve local updates during authority record loads match point is 010 field (LCCN)system instructed to retain any 644 or 646 field with $5CtY (or other Yale code) that does not match incoming recordproblem: retains entire field (not just CtY decision) so end up with multiple fields containing much duplicate information

http://www.library.yale.edu/cataloging/authorities/mergeproblem.html

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6. Authority record deletes

MARS sends us reports of authority records that have been deleted in the national file

MARS also sends the actual deleted records

cannot load deleted records in Voyager

Authority Control Librarian uses Gary Strawn’s Authority Delete program to delete the records automatically

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For more information

Voyager section of the “Authority Control at Yale” website:

http://www.library.yale.edu/cataloging/authorities/voyager.html

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Voyager questions?

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Contact Information

Manon Théroux, 432-8376

Authority Control Librarian

Catalog Department, SML

manon.theroux@yale.edu