Authority Control Advisory Committee

Authority Control Advisory Committee Minutes

Date: 2002-03-25

Present: Ellen Ellickson, Xinkai Kong, Cécile Mandour, Earl Roy, Rick Sarcia, Dajin Sun, Manon Théroux (chair and recorder).

Absent: Beatrice Luh, Audrey Novak.

1. MARS Implementation Update

The Systems Office has finished loading the Basefile 2 transactions (yay!). Next on the agenda is the "1xx flip" which will allow the 1xx transactions that were inadvertantly loaded after the 2xx fields to be restored to their proper place in the MARC record. After the "1xx flip" is complete, the "gap" records will be extracted and sent for MARS processing. The "gap" records are all the bib records marked "928 actape" that have accumulated since the last Basefile extract in May. OCLC should be able to process these records in a couple of weeks. The transactions from the "gap" records will be the last transactions loaded before the migration to Voyager.

2. New Format for MARS Changed and Deleted Headings Reports

MARS has significantly improved the format of the changed headings report and the deleted headings reports. Reports are now being distributed as HTML files rather than as text files. Diacritics now display properly. Most importantly, both the new and the old authority records are displayed, allowing easy side-by-side comparison, and significant changes are bolded; previously only the new record was provided and Manon had to search by LCCN in RLIN to find the old record and make the comparisons.

3. Change in Series Tracing Policy

Since 1997, Yale's official policy on tracing series has been to follow LC tracing decisions, as recorded in the 645 field of series authority records (SARs). This policy was adopted because the ACS service used LC tracing decisions when processing series headings. LC practice also tended to serve as the default national standard at that time.

The proposed new policy on series tracing is to follow PCC tracing decisions (if present) and to follow LC tracing decisions only if a PCC decision is not present.

This new policy recognizes that the Program for Cooperative Cataloging has increasingly emerged as the new national standard. Whenever NACO libraries establish or update a SAR they are now required to add a PCC tracing decision to the record. Most of the time, the PCC tracing decision will be the same as the LC tracing decision ("t" for "trace"). However, PCC guidelines do allow participants to update SARs that have an LC tracing decision of "n" (do not trace) with a PCC decision of "t" (trace) in certain cases. These cases are explained in greater detail in the web document  PCC "Frequently Asked Questions About Series", especially in the answers to questions #11 and #12. In a nutshell, PCC participants may now analyze/trace any series that LC has chosen to not analyze/not trace but they are not allowed to analyze/trace a series that LC has chosen to analyze/not trace. In practice, this means that SARs will occasionally have two 645 fields, one with a PCC decision to trace and one with an LC decision not to trace. In these cases, if we have analyzed the series we want to follow the PCC decision to trace that series.

Fortunately, the MARS service processes series headings differently than the ACS service. MARS traces a series whenever a decision to trace is present in the national-level SAR. If the SAR contains conflicting tracing decisions, it will automatically follow the PCC decision to trace rather than the LC decision not to trace.

Cécile, as NACO coordinator, will confer with Joan on the proposed new series tracing policy.

4. Revised Authority Control Workflow Documents

Final drafts of both authority control workflow documents were discussed. The drafts primarily incorporate changes associated with the switch from ACS to MARS processing, including the new series tracing policy. Manon will post the revised workflows to the web and make an announcement on YULCAT once they receive final approval. After we move to Voyager, the workflows will need to be revised again to remove NOTIS-specific language, but the Voyager-related changes should not be extensive.

5. Series Workshop

The series workshop that the committee intends to offer to all cataloging staff has been put on hold until after the Voyager system is up and running smoothly. Manon suggested that the group ask the NACO Series Review Group if they would like to co-sponsor the workshop.

6. Preview of Changes in Voyager

Manon outlined some of the changes relating to authority control that cataloging staff will be encountering in the Voyager system:

--authority records will be visually distinct from bibliographic records because they will have a star in the upper left corner and they will have a different background color; staff will be able to choose their own colors

--authority records will be searchable using three different control numbers: Voyager record number, former Orbis key, and LCCN; authority records will also be retrieved during staff heading searches but there will be no heading searches limited solely to authority records (i.e. there will be no equivalent to the Orbis "fx" search)

--the LC resource file will still be available but it will be a separate Voyager file called LCDB (i.e. LC Database) not LTLC

--staff will be able to import records from LCDB and the utilities but we will no longer be using CLARR; a duplicate detection program will be in place to help prevent staff from inadvertantly importing duplicate records

--we will stop using the 927 and 928 tags to flag records for export; the Systems Office is currently writing a program that will allow staff to flag records for export but will not involve adding variable fields to bib records; Voyager bib records do have an "okay to export" box that can be checked off by staff but we will not be using this box because it only allows for a single export stream; we need the flexibility to create multiple export streams (e.g., MARS, RLIN, OCLC) because not every record needs to go to the same places.

--MARS will start sending us replacement bib records rather than transaction records (i.e. we will be moving to full-record overlay rather than field-level overlay); the Systems Office is working out a way to ensure that updates to bib records do not inadvertantly get overlaid by returned records.

--MARS will no longer send us authority records with NOTIS-style heading use codes; cross references will be automatically "turned on" in the OPAC whenever the heading in the authority record is used in a bibliographic record

--we might be loading subdivision authority records into Orbis; currently these records are only available in the LC resource file

--when bib records are saved in Voyager, MARC validation and authorities validation routines will automatically generate pop-up boxes that notify staff of invalid MARC fields and unauthorized headings

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Comments to: Manon Théroux  <>

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