Introduction to
Authority Control
at Yale
July 16, 2007
Outline
1.
2.
3.
4.
5.
Overview
NACO
SACO
MARS/ExportQ
Voyager
2
1. Overview
3
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
4
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)
5
Authority record
6
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
11
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
16
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
23
Upcoming NACO Training
Last names training done in June 2007
Next training session coming soon!
Usually use SCML classroom at Mudd Library
24
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
25
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
26
For more information
NACO section of the “Authority Control at
Yale” website
http://www.library.yale.edu/cataloging/authorities/names.html
27
NACO questions?
28
Part 3: SACO
29
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
30
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
31
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
32
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
33
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
34
SACO questions?
35
4. MARS/ExportQ
36
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
38
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
39
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)
41
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
42
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
44
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
46
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
47
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!!!
48
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
49
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?
51
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.
2.
3.
4.
5.
6.
global change of bib headings
manual change of bib headings
heading validation at point of cataloging
manual updates of authority records (limited)
authority record loads (new and changed)
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
57
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
67
Voyager questions?
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Contact Information
Manon Théroux, 432-8376
Authority Control Librarian
Catalog Department, SML
manon.theroux@yale.edu
69