1. Introduction to Authority Control at Yale July 16, 2007

2. 2 Outline 1.Overview 2.NACO 3.SACO 4.MARS/ExportQ 5.Voyager

3. 3 1. Overview

4. 4 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

5. 5 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)

6. 6 Authority record

7. 7 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

8. 8 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

9. 9 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

10. 10 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

11. 11 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

12. 12 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)

13. 13 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

14. 14 Where is Yale documentation? “Authority Control at Yale” website: http://www.library.yale.edu/cataloging/authorities/

15. 15 2. NACO

16. 16 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

17. 17 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

18. 18 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

19. 19 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

20. 20 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

21. 21 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

22. 22 NACO communication at Yale YUL-NACO discussion list http://mailman.yale.edu/pipermail/yul-naco/

23. 23 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

24. 24 Upcoming NACO Training Last names training done in June 2007 Next training session coming soon! Usually use SCML classroom at Mudd Library

25. 25 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

26. 26 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

27. 27 For more information NACO section of the “Authority Control at Yale” website http://www.library.yale.edu/cataloging/authorities/names.html

28. 28 NACO questions?

29. 29 Part 3: SACO

30. 30 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

31. 31 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

32. 32 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

33. 33 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

34. 34 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

35. 35 SACO questions?

36. 36 4. MARS/ExportQ

37. 37 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!)

38. 38 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

39. 39 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

40. 40 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

41. 41 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)

42. 42 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

43. 43 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

44. 44 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

45. 45 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”

46. 46 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

47. 47 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

48. 48 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!!!

49. 49 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

50. 50 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

51. 51 MARS/ExportQ questions?

52. 52 5. Voyager

53. 53 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)

54. 54 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”

55. 55 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

56. 56 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

57. 57 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

58. 58 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

59. 59 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

60. 60 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

61. 61 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

62. 62 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

63. 63 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

64. 64 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

65. 65 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

66. 66 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

67. 67 For more information Voyager section of the “Authority Control at Yale” website: http://www.library.yale.edu/cataloging/authorities/voyager.html

68. 68 Voyager questions?

69. 69 Contact Information Manon Théroux, 432-8376 Authority Control Librarian Catalog Department, SML manon.theroux@yale.edu