Cooperative Programs in Authority Control

Adam L. Schiff

University of Washington Libraries

aschiff@u.washington.edu

Cooperative Cataloging

The original cataloging of bibliographic items through the joint action of a group of independent libraries which make the bibliographic records accessible to group members and sometimes to non-participating libraries as well -- The ALA Glossary of Library and Information Science

Authority Control

The methods by which the authoritative forms of names, subjects, uniform titles, etc., used as headings in a file of bibliographic records are consistently applied and maintained -- The ALA Glossary of Library and Information Science

Authority Record

A record which shows a heading in the form established for use in a set of bibliographic records, cites the sources consulted in establishing the heading, indicates the references to be made to and from the heading, and notes information found in the sources as justification of the chosen form of heading and the specified references -- The ALA Glossary of Library and Information Science

Name Authority Record

Subject Authority Record

Cooperative Authority Control

The creation and maintenance of authority records through the joint action of a group of independent libraries which make the authority records accessible to group members and to non-participating libraries as well.

http://lcweb.loc.gov/catdir/pcc/

The PCC is an international cooperative program coordinated jointly by the Library of Congress & PCC participants around the world.

The Program aims to expand access to library collections by providing useful, timely, and cost-effective cataloging which meets mutually-accepted standards of libraries around the world.

PCC Goals

1. Cooperatively enhance the timely availability of bibliographic and authority records by cataloging more items, producing cataloging that is widely available for sharing and use by others, and performing cataloging in a more cost-effective manner.2. Develop and maintain mutually acceptable standards for records. 3. Promote the values of timely access and cost-effectiveness in cataloging, and expand the pool of catalogers who catalog using the mutually-accepted standards. 4. Increase the sharing and use of foreign bibliographic and authority records. 5. Provide for ongoing discussion, planning, and operations among participants in order to further the program's mission.

Monographic Bibliographic Record Component

Serial Bibliographic Record Component

Name Authority Cooperative Program

Subject Authority Cooperative Program

• contribute authority records for names, uniform titles, and series to the national authority file via OCLC or RLIN

• make changes to existing name, uniform title, and series authority records

• individual institutions may join this program, or a group of libraries with a common interest may form a “funnel project” to contribute records via a coordinator

• participants agree to follow a common set of standards and guidelines when creating or changing authority records in order to maintain the integrity of a large shared authority file

NACO Required Documentation

• Anglo-American Cataloguing Rules, 2nd ed., rev. (AACR2)

• MARC 21 Authority Format (plus the Z1 “yellow pages” issued by LC)

• Library of Congress Rule Interpretations (LCRIs)

• Subject Cataloging Manual:Subject Headings (SCM) Instruction Sheet H 405 (“The division of the world”)

FAQ - Joining NACO

http://lcweb.loc.gov/catdir/pcc/nacoprogfaq.html

NACO Training

A week of specialized NACO training is undertaken by participants, either at their home institutions or at LC. During the training, guidelines are discussed and expanded upon with an ever-growing awareness of the need to streamline cataloging efforts while building a consistent and predictable file. This file will help the global library community work more efficiently and effectively, allowing it to maximize its resources.

Training Outline http://lcweb.loc.gov/catdir/pcc/naco/outline.html

Current NACO Participants in Washington State

Central Washington University - WaElC

Seattle University Law Library - WaSU-L

University of Washington - WaU

Western Washington University - WaBeW

Whom to Contact About Joining NACO

Ruta Penkiunas, Team Leader Cooperative Cataloging Team Library of Congress Washington, DC 20540-4382 voice: (202) 707-2826 fax: (202) 707-2824 email: rpen@loc.gov

http://lcweb.loc.gov/catdir/pcc/naco.html

• submit proposals for authority records for Library of Congress Subject Headings (LCSH) and to change existing LCSH

• submit proposals for new Library of Congress Classification (LCC) and to change existing LCC

• individual institutions may submit proposals directly, or a group of libraries may form a “funnel project” to submit proposals via a coordinator

• participants follow the policies in the Subject Cataloging Manual: Subject Headings (SCM)

• unlike NACO, there is no formal training requirement for participation

SACO Required Documentation

For Subject Headings

• Library of Congress Subject Headings

• Subject Cataloging Manual: Subject Headings

• Free-Floating Subdivisions: An Alphabetical Index

• MARC 21 Format for Authority Data

For Classification Numbers

• Library of Congress Classification schedules

• LC Classification, Additions and Changes

• Subject Cataloging Manual: Classification

FAQ - Joining SACO

http://lcweb.loc.gov/catdir/pcc/sacofaq.html

Why Participate in SACO?• existing LCSH and LCC are not always adequate

• LC’s collections and yours are not the same; you may collect materials in areas or disciplines not collected by LC or at a much greater depth than LC

• allows catalogers to assign subject headings and classification numbers at an appropriate level of specificity instead of having to assign headings or numbers that are too broad

• cooperative cataloging benefits all of us and allows smaller libraries and libraries with highly specialized collections to share their efforts and their expertise

• by getting new headings and numbers into LCSH and LCC, you don’t have to maintain specially created local lists

Why Participate in SACO?• you can add useful cross-references to existing headings and change obsolete terms to more current terminology

• if you use LCC, establishing new numbers and Cutters helps making copy cataloging and shelflisting simpler and more reliable across libraries

• it serves users’ needs

• it is intellectually stimulating to do the research to establish a new subject and satisfying to see your work included in the national authority file and LCSH and/or LCC

• it’s the only component of the PCC that is open to any library that wishes to participate. You don’t have to attend any formal training, and you don’t even need to belong to a utility like OCLC or RLIN nor even catalog in an online environment in order to submit proposals.

What Else is Needed for SACO Proposals?• MARC Organization Code (not the same as your OCLC code) http://lcweb.loc.gov/marc/organizations/

• basic set of reference resources to do authority research - authoritative sources such as general and subject dictionaries, encyclopedias, thesauri, indexes, atlases, gazetteers, directories, etc.

• SACO home page maintains a list of Web-based reference resources that can also be used

• there is no definitive list of preferred sources - use your judgment as to what sources are appropriate and useful

Proposal Forms on SACO Home Page

http://lcweb.loc.gov/catdir/pcc/saco.html

SUBJECT AUTHORITY PROPOSAL FORM

Complete and mail to the Internet address: saco@loc.gov or print, complete, and fax to: 202.707.2824 (For instructions on filling in form see: Guidelines for formulating LC Subject Heading proposals)

008/06: (Direct or indirect geographic subdivision) ______ (May Subd Geog) ______ (Not Subd Geog) ______ (No Decision)

008/39: (Cataloging source): c040: ________$b eng $c DLC 053 : _________________________

1_______: ___________________________________________________________________________________ 4_______: ___________________________________________________________________________________ 4_______: ___________________________________________________________________________________ 4_______: ___________________________________________________________________________________ 5_______ (BT): _______________________________________________________________________________ 5_______ (BT): _______________________________________________________________________________ 5_______ (RT): _______________________________________________________________________________

670 Work cat.: ________________________________________________________________________________

670 (Sources found): __________________________________________________________________________

670 (additional "Sources found" to justify hdg or x-refs): _____________________________________________________________________________________________

675 (Sources not found): _______________________________________________________________________

680 Here are entered works on _______________________________________________________________________________________________________________________________________________________________

781 (Geographic subdivision): $z _______________________________ $z ______________________________

667 (Note field):_______________________________________________________________________________

952 : ..... bib. records to be changed 952: LC pattern or SCM Memo: ___________________________________________________ 953 : yz00Submitted by __________________________________________________________________

e-mail/phone: __________________________________________________________________

Annotated Proposal Forms

http://lcweb.loc.gov/catdir/pcc/saco/sacoexample.html

http://lcweb.loc.gov/catdir/pcc/saco/sacogeoex.html

Some New LCSH Established by Washington Libraries

• Academic-industrial collaboration• African American women public

relations personnel• Charity sports events• Chehalis River Estuary (Wash.)• Children of teenage mothers• Drive-by shootings• Ecosystem health• Fidalgo Bay (Wash.)• Firearms and crime• Flaggers (Road construction

workers)• Fort Spokane (Lincoln County,

Wash. : Fort)• Ice mummies• Incantations, Mongolian• Internet entertainment industry• Jadeite jewelry• Jesuit scientists• Landscape architectural projects• Non-monogamous relationships

• Olympia oyster• Pacific banana slug• Pacific geoduck fisheries• Pacific salmon fisheries--Climatic

factors• Resort development• Teachers' contracts• Transsexual students• Vietnam--Civilization--Confucian

influences• Walla Walla Valley (Or. and

Wash.)• Washington (State), Eastern• Washington (State), Western• Wetland restoration

LC SUBJECT HEADING CHANGE PROPOSAL FORM

Fill in and e-mail to: saco@loc.gov; refer to LC Subject Heading Change Guidelines for help when filling in this form.

Requestor's MARC 21 identification code: _______________________

Record Control Number 010: sh_______________________________

Geographic subdivision (008/06): ________ i = May Subd Geog

Library of Congress Classification Number 053: add: ________________________________________________________053: change to: ___________________________________________________053: delete: ______________________________________________________

CHANGE OF HEADING: 1XX: change to: ________________________________________________________________________________

Changes to Cross-References: 4XX: add: _____________________________________________________________________________________4XX: change to: ________________________________________________________________________________4XX: delete: ___________________________________________________________________________________

Broader Term (BT) & Related Term (RT) References: 5XX: add: _____________________________________________________________________________________ 5XX: change to: ________________________________________________________________________________ 5XX: delete: ___________________________________________________________________________________

Source Citations: 670: add: _____________________________________________________________________________________ 670: _________________________________________________________________________________________ 675: _________________________________________________________________________________________

Scope Notes 680: add: _____________________________________________________________________________________

781: add: $z _______________________________________ $z _________________________________________

Submitted by: __________________________________________________________________________________

e-mail/phone: __________________________________________________________________________________

Classification Form and Instructions

http://lcweb.loc.gov/catdir/pcc/classification.html

Current SACO Participants in Washington State

Central Washington University - WaElC

University of Washington - WaU

Washington State University - WaPS

Western Washington University - WaBeW

Proposal Process

• proposals are sent to Cooperative Cataloging Team at LC (saco@loc.gov)

• Coop Team member reviews and forwards to Cataloging Policy and Support Office (CPSO) or contacts submitter to inform them if there are problems with proposal

• CPSO assigns proposals to a future weekly list; at this stage, proposals are considered “pre-approved” and can be used

Proposal Process

• tentative weekly lists of new and changed subjects are posted to the SACO home page. Example: Tentative Weekly List 2001-07

• editorial meeting is held every Wednesday; proposals are reviewed and some revised, some withdrawn, some not approved

• if SACO proposal was revised, withdrawn, or not approved, the Coop Team will notify the library that submitted the proposal

Proposal Process

• within two weeks of the editorial meeting, the final approved list for that week is posted on the CPSO home page. Example: Weekly List 2001-07

• approved headings are sent through the Cataloging Distribution Service to be distributed to OCLC and other subscribers

• generally, the process from submission to appearance in OCLC takes about 6 weeks

• if a proposal that’s been submitted does not appear on a tentative weekly list within four weeks, contact the Coop Cat Team

Statistics

• LC Cooperative Cataloging Team maintains PCC statistics

• http://lcweb.loc.gov/catdir/pcc/stats/stats.html

• Fiscal Year 2000 statistics by library/funnel http://lcweb.loc.gov/catdir/pcc/stats/statsfull.html