Introduction to Authority Control at Yale

							 Introduction to
Authority Control
     at Yale



     July 16, 2007
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 staff
   only 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




                                                     7
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




                                          8
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


                                              9
Authority control problems (2)
 authority files are dynamic
 new authority records are continually added
 old authority records are frequently revised
 libraries need ways to:
    get new and changed authority records
    do retrospective bib heading cleanup




                                                10
Many kinds of authority work ...
 Cataloging staff:
   validation of headings in bib records in Orbis
   authority record creation through NACO/SACO
 Authority Control Librarian:
   oversee automated processing of bib record headings
   using authorities service (MARS)
   authority record deletions
   retrospective 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)



                                           12
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




                                                              13
Where is Yale documentation?

  “Authority Control at Yale” website:

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




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2. NACO




          15
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




                                              17
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


                                           18
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




                                             19
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




                                              20
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


                                                      21
NACO communication at Yale
  YUL-NACO discussion list

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




                                              22
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 & LCRIs
       MARC21 for Authority Data
       NACO 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 site
http://www.library.yale.edu/cataloging/authorities/scc.html




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 Before proposing a heading…
   review in Cataloger’s Desktop:
       Subject Cataloging Manual
       MARC21 for Authority Data
       SACO Participants’ Manual
   review on Yale website:
       “SACO + Subjects” links
http://www.library.yale.edu/cataloging/authorities/subjects.html
       SACO Workflow
http://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!)




                                       37
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




                                                      40
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




                                              43
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”




                                              45
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 information
   MARS 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




                                                                  50
MARS/ExportQ questions?




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5. Voyager




             52
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)



                                        53
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”


                                        54
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




                                               55
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




                                               56
2. Manual change of bib headings
  when processing MARS reports
  when receive request from technical services staff
  (if more than 20 headings)
  when receive request from public services staff
  and patrons
  best 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




                                             58
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




                                                            59
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/authvalidation
   messages.html


   reduces need for authority record searching but
   does not completely eliminate



                                                               60
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):
      LCDB
      LC Authorities on the web
      OCLC online authority file



                                                           61
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




                                                             62
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




                                              63
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


                                             64
Authority record merge problem
   merge 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
   record
   problem: 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



                                                            65
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




                                            66
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




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