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System Specifications for
Authority Control Processing


From: Authority Control Planning Committee
Date: January 1997

OCLC's AC service automatically matches and replaces both LC and non-LC headings in bibliographic records. To make heading corrections, the service utilizes:

Processed headings include:

Uniform title (except 830's - series added entry-uniform title and uniform titles represented by subject authority records), conference names and name/uniform title headings are not processed. Genre headings (655's) are also not processed. Headings tagged incorrectly across subsystems, e.g., series tagged as subject, cannot be fixed because OCLC's AC processing is divided into subsystems (personal/corporate NAMES, SUBJECTS and SERIES) and the only time subsystems talk to each other is during the processing of names used as subjects. OCLC also provides some database clean-up options including: the deletion of unwanted tags, the conversion of local subject headings (650_4) to LC headings (650 _0), and the conversion of obsolete tags.

For each unique, valid heading found in the bibliographic database, OCLC provides a matching LC authority record including, provisional records and reference records (leader 008/9=b).

After initial database correction, OCLC's notification service provides ongoing updates if any LC authority heading or OCLC preferred heading form becomes available or is changed for a heading in our database. This notification service takes the form of printed reports and the electronic transmission of the new or changed authority record.

A suite of error reports, both from initial database processing and ongoing recon/cataloging record submissions, rounds out this service.

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YALE'S AUTHORITY CONTROL PROCESSING

A. BIBLIOGRAPHIC RECORD PROCESSING

1. All bibliographic records will be sent for OCLC AC processing except:

DESCRIPTION OF EXCLUDED RECORDS IDENTIFIED BY

COUNTS (approx)

Deleted STAT field = D or d 21,500
Suppressed DISPLAY = S 80,000
Provisional E/L = 9 529,000
Error Records Orbis key range starts "EB,EZ" <100
Selected in-process, minimal and CIP level records E/L = 5, 7 or 8 and cataloging status code = a, b, c, d, e, f, x. (Records are included if cat.stat = g or h). 302,241
Law records (extracted separately at a later date) 035 begins (CstRLIN)CYL and all copy holdings locations = law. 80,000
TOTAL EXCLUDED: 1,012,841
DATABASE TOTAL: 3,300,000

2. Processed headings include and are treated as follows:

HEADING

CORRECTIONS

NOTES
Personal names

(100, 700)

  1. Incorrect/omitted subfields
  2. Incorrect 1st indicators.
  3. Direct order.
  4. Variant forename.
  5. Compound and rotated surnames
  6. Typos, punc. and style (spaces, caps.)
  7. Numeration correction.
  8. Title difference.
  9. Date difference.
  10. Derived and x-references.
  11. Variant statement of responsibility.
Subfields a,q,b,c,d. Correction programs use attributes to match variant name forms. Attributes include: date when author began publishing, language(s) in which author published, subjects of author's works, relationship of the author to the publication and other titles by the author.
Corporate names

(110, 410, 710, 810)

  1. Inverted headings.
  2. Abbreviation of Department (Dept)
  3. Terms of incorporation.
  4. Common geo. qualifiers (Conn=CT)
  5. Typos and style (capitalization, spacing, punctuation, indicators).
  6. Links x-references
Subfields a, b.

Corrects $a portion of headings that have at least one $b, and corrects $a and $b in headings with more than 1 $b.

Topical subjects

(650 _0)

  1. Typos, style
  2. Tagging/subfield errors (ex:650-651)
  3. Abbreviation errors (Ca. - Calif.)
  4. Inversion w/in subfield.
  5. Re-order subfields (a,z,x-a,x,z)
  6. Compound errors (missing $x)
  7. Obsolete and split headings.
Subfields a, x, y.
Geographic Subjects

(651 $a, 650 $z)

  1. Typos and style.
  2. Obsolete terms.
  3. Qualifiers - order of divisions and nonrequired qualifiers.
  4. Abbreviations.
  5. Free floating terms (River valley, Delta, etc.)
Uses OCLC's enhanced authority records for selected geographic headings (e.g., cities in the former Czechoslovakia).
Names as subjects (600, 610) see Personal Names Subfields x,y,z. Tags 600, $a,q,b,c,d and 610 $a,b, are matched against OCLC's personal names subsystem.
Series

(4xx, 8xx)

  1. 400/410; 800/810 - processed through the appropriate personal/corporate name procedures (see above).
  2. 490 0_ - changed to traced series for LC record includes decision to trace.
  3. Routinely change 840's to 830's.
4xx - If change is made to the form of the heading in a 4xx, the tag and 1st ind.are changed to 490 1_ (series traced differently) and an 8xx is added to the record for the correct form.

8xx - if an 8xx headings is changed, the existing 8xx is replaced with the correct form .

Vol/number designations are added.

MeSH

(650_2)

  1. Typos and style.
  2. Obsolete headings and subheadings.
  3. Unverified headings.
  4. Order of subdivisions and terms (e.g., a, z, x - a, x z).
  5. Pre-coordinated headings.
Subfields a, x, y, z.

3. Special processing instructions:

HEADING INSTRUCTIONS
950
Use of 950 during Personal Names processing.
Yale University Library's call numbers appear in a 950 field. If the 950 field contains $a and $b, the call number is LC and should be used to determine subjects of author's works during Personal Names processing. If the 950 field contains only $b, it should not be used to determine subjects.
6xx_4 (not 600 _4) Local subject headings will not be processed with the exception of 600_4.
600 _4 Contiguous subfield a,q,b,c,d will be processed. Subfields following the name portion of 600 _4 headings will not be processed. Headings returned as 600_4's.
630_4 Area tracings will not be processed.
650 and not equal to _0, _2, _4 or [blank] Delete headings that are NOT LC, MeSH or local.
6XX_2 MeSH headings will be processed, but authority records will not be supplied for these headings. Delete MeSH headings that fail to validate.
690, 691 During basefile processing, these headings will be processed. If they match an LC heading they will be re- tagged as 650, 651_0's. If they fail to match an LC heading they will be re-tagged as 650, 651_4 and reported separately for manual review by Yale library staff.
699 Will not be processed. (699's are used by Preservation to record project information).
NAME headings in vernacular records

Personal (100,700); Names as subj (600)

Will not be processed against OCLC "preferred" headings. Vernacular records are identified as those loaded from the following RLIN LI's: CTYH, CTYN, CTYO.

These records will be identified by 035 beginning: (CStRLIN)CTYH, (CStRLIN)CTYN, (CStRLIN)CTYO.

Record counts: CTYH=23,418; CTYN=11,252; CTYO=130,851

TOTAL=165521

600, 610, 611, 630, 650, 651 _[blank], i.e., with blank second indicator. Process headings. If they match an LC heading they will be re-tagged with second indicators = 0. If they fail to match an LC headings they will be re-tagged with second indicator =4 and reported separately for manual review.

TOTAL = 3548.

Yale's contributions to the NAF through NACO Upon receipt of NAF records from LC, OCLC will identify Yale's contributions. OCLC will maintain a record of Yale's use of these records and will forward the authority records to Yale weekly. Yale's contributions will be identified by NUC symbol in the 040 ($c or the last $d). Yale's symbol = CtY and CtY-*,(where * may equal many different suffixes, e.g., BA, BR, J, D, L, M, Mus).
For ongoing processing (i.e., not base file processing), monthly heading updates and authority records will be sent to Yale as soon as they are identified. Heading updates and their corresponding authority records will be returned to Yale ASAP. OCLC will send to Yale transaction heading updates and their corresponding authority records as soon as they are identified by the heading correction programs and before the months' processing is finished through manual review. More specifically, OCLC will send a month's processing in two parts: Part 1 will be updates and authority records identified by correction programs, Part 2 will be heading corrections and authority records identified after manual review. Yale anticipates this schedule will result in the delivery of corrections and authority records two weeks earlier than would happen if we waited until all manual review was completed.
Yale's Orbis Key will be returned in all transaction records. For records sent from Yale, a tag 035 is created from the Orbis record key. Both indicators are blank, and the $a includes the NUC code surrounded by parentheses, the word "notis," and the Orbis record key (e.g., DAU9074). Example: 035 $a(CtY)notisDAU9074. Any pre-existing tag 035's remain in the tape record. OCLC will identify the Orbis key portion of the 035, (e.g., DAU9074) and return it in each transaction record.

4. Special processing of separate bibliographic extracts:

SEPARATE EXTRACT SPECIAL PROCESSING COUNT
035=(CtY-D) Missions

(subset of Divinity records)

If local headings (6xx_4's) match a LC heading re- tag as 6xx_0. Headings that fail to match an LC headings should retain _4 and be reported separately for manual review. >5000

5. Pre-processing clean-up:

Some specific Yale headings needed to be corrected before database extract. This work was accomplished by Yale through a mix of manual and automated correction routines. The work includes:

HEADING DESCRIPTION CLEAN-UP PROCEDURES # of HEADINGS
651_4, $a[place] $xNewspapers Using global change, locate and change second indicator from 4 to 0. 1017 records, 1141 headings
691 [place] $x Missions

651 [place] $x Missions

Correct form is Missions [place]. Sometimes only heading in records is local inverted heading.

Manually correct from glch report.

902
650_4 $aBibliography $xtopic If 650_4 change to 650_0 so it will be corrected back to LC practice.

Check if coded local (_4) or LC (_0). If local, code as LC so it will be processed

1117
Music library 600/610_4 Mis-coded by RLA as local.

Print records for manual correction by Music.

6. Basefile extract program:

Yale will use its current Tape Output program (TOP) to extract bibliographic records in RLIN-MARC format for OCLC AC processing. The record selection program will exclude records described above in section A.1. Each extracted record will be flagged in the local Yale system in a 928 field. Although the database does not need to be frozen during AC processing, this flag will warn staff of the need to refrain from 1) re-using records, and 2) correcting headings that OCLC is processing.

If a heading is modified after the database is fully procesed by the ACS, this same 928 tag must be changed to force the re-extraction and re-submission of a bibliographic record.

Example:

928 $aACMMDDYY - meaning sent to OCLC
928 $aACtape - meaning extract for AC processing

Procedures for extracting records for monthly upload to RLIN and OCLC will remain as is during basefile processing. That is, catalogers will insert 927 $atape as always upon record completion even though headings in the record may change during authority control processing.

Yale will re-submit its database to the national utilities after the completion of base file processing. At that point, Yale will change its tape output (and tag 927) procedures.

7. Bibliographic record updates - Transaction records

OCLC supplies transaction records and not bibliographic record replacements. Transaction record are variable length field-level corrections that contain the before and after heading text for replacement, old text for deletion, or new text for addition to the bibliographic records.

Yale's transaction record/heading loader will find bibliographic records by the Orbis key. (Note: Orbis records will no longer be re-useable). The transaction record/heading loader will verify the record is not deleted and will double check the 9xx AC field to ensure the record has not been selected for resubmission.

Actual tag replacement is done by pulling out the fields that match the transaction tag number and then completing a character-by-character comparison to find the "before" tag. Once the "before" tag is located, it is replaced with the "after" tag.

Example:

DEF1234
del     700 1 a Dye, Thomas Roy, d 1935-
add     700 1 a Dye, Thomas R.
ABC3456
del     490 0 a Biomathematics ; v. 9
add     440 0 a Biomathematics ; v v. 9

As part of the transaction loader, if an incoming heading is an 810 or 410, we will not process the bibliographic record update. Instead, we will print the 810/410 tag and Orbis key on an exceptions report for manual tag and authority record correction.

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B. NEW AUTHORITY FILE LOAD

OCLC's initial processing of our bibliographic database will result in the complete re-creation of our authority file. OCLC will send us a LC authority record for each valid heading in our database. We should expect 2-3 million authority records. This figure is based on our test results. For the 48,318 bibliographic record sample processed by OCLC, we would have received 57,329 authority records (23,155 personal name, 7292 corporate names, 20,823 subjects and 6059 series). Note: we will receive name authority records even for single occurrence names.

1) We will re-create our authority file.

Once the bibliographic basefile is extracted and before the end of the fifth month of processing we will create our new authority file as follows:

During the creation of the new authority file:

Once the new authority file is in place:

2)"Local" authority records, i.e., authority records that must be preserved in the new authority file include:

Category Description Authority records identified by:
Records for headings not processed by OCLC -uniform titles

-name/titles

-meeting /conference

-Uniform titles - have 130 and no 64x tags.

-Name/titles - have 1xx with $t's.

-Meet/Conf have 111 tag

Locally created records Any authority record (series, name, subject) unique to Yale Scanning the entire auth.file, extract records that lack 010 or 035.
Series LC series authority records When an incoming authority record from OCLC matches an authority record in the ORBIS file by 010 or by a character-by-character comparison of the 1XX tag, the loader will merge local tags into the new record. Local tags are defined as the 090, as well as any tag identified as Yale's through a $5 including:644 (series analyis practice) and 646 (series classification practice). Tracing practice as defined in the 645 will be replaced if it differs from LC's practice, that is, we will not merge local 645 decisions into the new series authority record. TOTAL

3. Yale authority file clean-up.

OCLC may process a heading in a bib record even though it matches a heading in one of our local authority records. We will let OCLC change all headings (except those per our Special Processing Requirements, A.3-4 above). Conflicts with headings in local authority records will be resolved during the subsequent clean-up of authority records.

Yale modifications to LC authority records will not be preserved in the new authority file (with the exception of the addition of a 090 and analysis (644) and classification decisions (646) for series). Machine readable listings of each team's and cataloging unit's modified authority records will be made available. Cataloging units may use these listings for manual clean-up.

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C. ONGOING AUTHORITY CONTROL PROCESSING

1) Creation and update of authority control records.

Authority records will be created and modified in RLIN or OCLC. Except for some specific cases, authority records will not be created or modified in ORBIS. The LC resource file will be used primarily to verify the existence or form of authority records.

2) Ongoing authority file loader:

As part of OCLC's notification service, Yale will be sent new and updated LC authority records. Additionally, ongoing recon and cataloging records will be processed for AC by OCLC. Finally, OCLC will routinely identify Yale's contributions to the NAF and will send these new authority records back to us weekly.Thus production authority control processing will generate a continuous stream of new and changed records to be loaded. The ongoing AC loader will:

3) Ongoing processing of bibliographic records.

3) Exception reports.

The following reports will replace the current new headings list.

REPORT DESCRIPTION Produced by Est. # Headings /50,000 records
Invalid heading report Headings recognized by OCLC's software as being invalid versions of valid LC headings, but because of the heading format, OCLC's software cannot correct the problems OCLC 100
Split Heading Report Listing of obsolete headings that have been split into two headings by LC. OCLC unknown
Production Statistics Monthly statistical report. OCLC n/a
Changed authority record report Printed report from notification service. Shows before/after images of changed authority records. Used by Yale staff to initiate global change. (See Yale's specification) OCLC unknown
Corrections report OCLC preferred headings that are changed to OCLC preferred headings. None of the headings are represented by LC authority records. OCLC will modify report to eliminate redundant reporting (i.e., "the wave") when the $a portion of a heading changes. Yale wants to know only that $a changed and not each individual heading using that $a. OCLC unknown
OCLC to LC heading report OCLC preferred headings that become linked to Library of Congress headings. OCLC will create this report to eliminate "the wave" as defined above. OCLC unknown
Headings changed to pre-AACR2 authority form. Reports Yale University Library's old and new headings when pre-AACR2 forms are used to correct a heading. Also includes the authority record number. OCLC unknown
New Adds Report of headings ($a) from subjects processing that did not validate or were not corrected and that are being treated by OCLC as NEW ADDS. Yale's analysis of these headings indicates that 50% are incorrect. OCLC unknown
Transaction load exceptions report Reports transaction record headings that are exceptions such as:
  • BAD LENGTH: The transaction record length points to data beyond the end of record.
  • DELETED BIB: The ORBIS record was flagged as DELETED.
  • ACTAPE: The ORBIS record was flagged for re-submission for authority control, i.e., tag 928$aACTAPE.
  • 410/810: The transaction record is for a tag 410 or 810.
  • NOMATCH: Tthe transaction record tag text does not match any tag in the ORBIS record.

ERROR report is sorted by 1) type of error, 2) ORBIS key.

Yale unknown
Quality Assurance Randomly selected records reviewed for QA. Yale

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