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Interim Task Force for Database Standards and Management Interim Draft (Nov. 25, 1997) In response to the charge from the CSU UIAS Management Team, the Interim Task Force for Database Standards and Management (Celia Bakke, San Jose State University; Gina Roth, Cal Poly Pomona, Tamara Frost Trujillo (chair), CSU Sacramento) (henceforth referred to in report as "the Task Force") is submitting these recommendations. Charge 1: Review the strategies for building a union catalog for the UIAS and recommend to the UIAS Management Team the CSU strategy for building the UIAS union catalog. At the UIAS Kick-off meeting held at WestEd on August 5, 1997, Ameritech presented three models for structuring the UIAS union catalog: model 1. Deduplicated, merged master record model; model 2. Master Record Linked Bibs Model; model 3. Multiple Database Union View Index Model. The Task Force considered these three models for the UIAS structure and particularly the benefits and disadvantages of each related to maintaining the union catalog and authority control. Since both model 1 and 2 are based on a master record model, the Task Force compared models 1 and 2 to determine whether the retention of the entire bibliographic record in model 2 would make the long term maintenance of the union catalog easier and might result in a higher quality database. Although model 2 requires the retention and linking of full bibliographic records to the master record representing the same bibliographic entity, it appears to the Task Force that model 2 does not make maintenance of the union catalog either easier, of better quality, or even substantially different than with model 1 (see appendix). With model 3 maintenance of the union catalog would result in each separate database being maintained independently, i.e. maintenance of one library's record would not need to set any algorithms in motion as with model 1 or 2 so in this regard it would be an easier machine manipulation of files. In respect to authority control and these three models, in model 1 authority control would be exercised over that set of access points in each master record specified by CSU to be under authority control. In model 2 there are two options in regards to authority control. Model 2, option A is the same as model 1 i.e. only the access points in the master record specified by CSU to be under authority control would come under authority control. This means that the full bibliographic records retained on the UIAS server and linked to the master record would not be under authority control. Both options of model 2 allow for the possibility of a user viewing the individual linked records off the master record. By retaining all bibliographic records from each CSU campus associated with each master record, this model retains very sizeable quantities of bibliographic records online for possible future use not yet defined. This model also provides another set of backups of each local system as part of the UIAS backup. With respect to authority control and model 2 there could also be an option B which would require the Ameritech software to authorize all those headings in the master record (same as in page 2 model 1 and in model 2 option A) AND authorize any unique headings (not already in the master record) in the linked records. This variation of the master record concept would provide access to those access points only found in the linked records. This might be helpful at times but would also give us additional errors or maintenance problems. In model 3 authority control would be exercised over each library’s database independently. The success of the union catalog view would be dependent on how consistently authority control has been able to replicate the headings across the independent files. For example, if ten CSU libraries hold the same title but the form of heading varies across the ten libraries, the record would be retrieved depending on how successfully authority control can make the forms of heading the same using the authority record for that heading and its cross reference structure. A patron’s search may or may not call up all ten records or reflect the holdings of the ten libraries in this case. This model is being used by Indiana University Libraries, but in a direct input mode where all the IU libraries are doing direct input and maitenance to that model. An additional concern about model 3 was stated by Ameritech at the August 5th meeting where the company’s representative indicated that library users "using a Z39.50 client who were accessing the UIAS union catalog from outside the CSU might not have broadcast searching functionality and so would miss the union view provided to a generic web browser." Recommendation 1: Because the goal is to build the best union catalog with the least human intervention, the Task Force recommends model 1 as the UIAS structure. Model 2 B and Model 3 for the reasons described above will add to the inconsistencies in the database. Model 2 (both options) also retains a very large quantity of additional records on the server without a particular goal in mind. Each library should be retaining a current full back-up of their local system. Recommendation 2: The UIAS Bibliographic Task Force should be asked to review the UIAS test file and make suggestions and propose corrections. Recommendation 3: Upon completion of the union catalog test, the first three campuses that should be loaded in the UIAS are 1. San Diego State 2. San Jose State and 3. San Francisco State. Since these are the CSU libraries with the largest holdings, this would provide an immediate large UIAS database of good quality bibliographic records. Recommendation 4: The following algorithm should be used to identify and match duplicate records during the creation of the UIAS as well as on an ongoing basis: match point 1: An exact match of the OCLC number (field 001) If there is an exact match on the OCLC number, consider these records to be matched. For records that have an exact match on the OCLC number, no further matching is required. (Note: The Task Force is investigating the need for a second match point.) page 3 To determine additional duplicates, when there is not an exact match on the OCLC number (e.g. record lacks OCLC number) continue matching algorithm as follows in order specified: match point 2: An exact match of the ISBN (field 020 subfield a) match point 3: An exact match of the ISSN (field 022 subfield a) match point 4: An exact match of the Government Documents Number (field 086 subfield a) If there is an exact match, on either match point 2, 3 or 4 consider these to be matched records. Once an exact match is determined, discontinue the matching algorithm. If there is not exact match on any of the above four match points, do not consider the records to be matched and load the records separately into the union catalog. Recommendation 5: Use the following algorithm to choose the master record from among those records identified as matched, i.e. as result of above algorithm: The choices (in order of preference) for the master record are: First choice: Cataloging source is DLC and input by DLC and level blank Second choice: Cataloging source is GPO and input by GPO and level blank Third choice: DLC in field 040 either in subfield a or c and level blank Fourth choice: Cataloging source other than DLC or GPO and input source is other than DLC or GPO and level I If there are two or more bibliographic records are exactly the same, e.g. three DLC/DLC records, use as master record that record with the latest (i.e. most recent cataloging/update) date. If there are two or more duplicate records from the same choice category, e.g. three DLC/DLC records but two have been enhanced by the local libraries, select the master record based on the number of elements present in that record. The bibliographic record elements in order of most important to least important are: **Table of Contents ** Juvenile subject headings **Genre headings **MeSH subject headings For example, if there are three choice 4 records that are considered matches and if Record #1 is an I level record with Table of Contents and LC subject headings Record #2 is an I level record with genre headings and LC subject headings page 4 Record #3 Is an I level record with MeSh subject headings Record #1 would be designated the master record If anytime during the algorithm, if two or more records can potentially be the master record because they have the same elements based on the above algorithm, the bibliographic record with the latest cataloging/update date should be selected as the master record. Recommendation 6: The master record should not be identified as the bibliographic record of a particular library but generically as the UIAS master record. Recommendation 7: The Union List of Serials data should not be loaded either as a part of the UIAS union catalog or as a separate file in the UIAS unconnected to the union catalog. The UIAS union catalog will include all serials including all periodicals thereby superseding the ULS. The Task Force is concerned that even loading the ULS data as a separate file apart form the union catalog will be confusing because users will have two separate places to find information about CSU periodicals and the information in these two places will likely not be identical in all (many?) cases. Recommendation 8: Each CSU library needs to be surveyed to determine where local serials including periodicals holdings are stored in its local system. Summary holdings for serials in the local systems may be in one of several locations, e.g. in the 850 field of the bibliographic record or in the check-in record. Recommendation 9: Records from each of the test sites should be included using the above proposed algorithms, CSU profile specifications, Library of Congress authority control files, and other guidelines from these recommendations. A certain number of random records should be chosen. However, specific type of records also need to be hand-picked to test the algorithms herein, the display of holdings including those of periodicals and other serials, the authority control functionality, and the adding of new, incoming records to the database (duplicates and non-duplicates). The hand-picked records (or especially created records for the purpose of testing) should include: duplicate records across the campuses when some among them are ***records with juvenile subject headings ***records with MeSh subject headings ***records with table of contents information ***records with genre headings ***records identical but with different cataloging dates ***records with periodical/serial summary holdings in different places in the local records (i.e. in 850 field versus in check-in record) ***Also requiring testing is functionality of the authority records page 5 ***Bibliographic records representing different formats Charge 2: Review what authority control strategies, if any, to use on the union catalog. Recommendation 10: The current version of Library of Congress name and subject authority files should be purchased and loaded onto the UIAS server and used in conjunction with the creation of the UIAS database. The Task Force further recommends that a subscription to the LC name and subject authority files also be purchased and be loaded in a timely fashion during the period that the union catalog is being created and on an ongoing basis. It is important that the LC authority file data be available at the time of union catalog creation otherwise many unnecessary brief authority records will be created many of which will be difficult to remove and overlay in an automated fashion and will require human intervention thus resulting in a cleanup problem. Recommendation 11: As indicated earlier, with recommended model 1, access points in the master record will be under authority control as specified in the CSU UIAS profile. Recommendation 12: The entire Library of Congress name and subject authority files should be available on the UIAS server. Incoming bibliographic records should be passed against the Library of Congress authority files with see and see also cross reference not becoming activated (made visible in the catalog display) until the authority heading is linked to an UIAS bibliographic record. Recommendation 13: The Library of Congress subject heading access points need to be run against both the LC name and subject authority files. Recommendation 14: As the access points from the UIAS master records are passed against the LC authority files, vendor should assume that the access point from the bibliographic record and the authorized heading (1xx field) or the former heading from the authority record are the same only if all elements between the two are identical. If a bibliographic access point checks as identical to a former heading or to the 1xx field in the authority record, the 1xx authorized heading in that authority record will be linked to that bibliographic record. The one exception when all elements between the two headings do not have to be identical is in the case of personal names. Vendor should assume that the personal name from the bibliographical record and the authorized heading from the authority record are the same even if the bibliographic record lacks the death date present in the authority record or the reverse. With the exception of the death date being absent, these two headings must otherwise be identical. Recommendation 15: Library of Congress update files/tapes will be issued during the period the union catalog is being created. Vendor should load these as these become available. See also charge 4 below. page 6 Charge 3: Recommend to the UIAS Management Team values for Systems, Cataloging and PAC parameters which will be used to build the union catalog and search the union catalog. See separate profile document reviewed and coded by Task Force. [Note: This document is not available electronically. Contact Marvin Pollard or Tamara Trujillo for details] Charge 4: Review and recommend options for maintaining authority
control records, if any.
Recommendation 16: A subscription to the Library of Congress authority records should be purchased and updates to /new authority records loaded in the UIAS in a timely fashion. Recommendation 17: As Library of Congress updates to/new authority records are loaded into the UIAS as a result of the subscription recommended in #16, new Library of Congress authority records should replace brief UIAS authority records if all elements in the 1xx field are the same with the exception of death date being present in either the brief authority record or the full Library of Congress authority record but not the other. In all other aspects the brief authority record and LC full authority records must be identical. Recommendation 18: In the case of Library of Congress updates to previous LC authority records, the updated LC authority record should overlay the previous LC authority record if the authority record number is the same (The Task Force is verifying this with the Library of Congress). Recommendation 19: Former headings in Library of Congress authority records headings should be run against the UIAS database and the new authorized 1xx substituted if all elements in the former heading from the authority record and the UIAS bibliographic record are identical except for death dates as described in #17 above. Recommendation 20: In the case of Library of Congress authority records, where a compound subject heading (for example: Nurses and Nursing) is replaced by a two single word subject headings (Nurses and Nursing) ... (*checking with Library of Congress on their practice in regard to authority record numbers). Charge 5: Make recommendations on maintaining the UIAS union catalog Recommendation 21: The UIAS Management should plan to outsource and/or investigate with COLD the feasibility of handling some limited ongoing maintenance of the UIAS through some shared approach among CSU libraries. The Task Force feels it is unrealistic to think that the UIAS union catalog will be able to be maintained entirely by machine manipulation. One area of concern is the brief authority records that will not be able to be overlaid by an automated algorithm. page 7 Recommendation 22: Any maintenance done by the master record library in the local system should overlay on the UIAS master record. Recommendation 23: Any maintenance or new cataloging done by a non-master record library may result in the non-master record being judged a more preferred record by the algorithm thus resulting in a new master record. Recommendation 24: The maintenance and new cataloging done in the local systems should be uploaded to/extracted for inclusion in the UIAS without any separate action by the local library staff. Recommendation 25: The uploading of new cataloging/maintenance from the local systems to the UIAS should occur in real time. Recommendation 26: Table of Contents information should be made available in the UIAS union catalog. |
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