If a library wants to keep its headings consistent with LC, it needs to be informed of new and revised LC authority records that affect previously authorized headings.
Changes may be made to a heading due to:
Each week LC distributes about 7,600 name authority records and 400 subject authority records. Some subset of them affect headings in almost every library's database. The authority record may be "new" to a given library's database--i.e., either the authority record did not exist at the time the batch authority control was initially run or for some reason was not extracted-or it may represent a correction or deletion. About 30% of the LC weekly name authority records are corrected or deleted headings and about 50% of the weekly subject authority records are revised or deleted headings.
Libraries using AUP have the option of being notified of new and revised LC authority records quarterly, semi-annually, or annually. Following the run, via FTP, subscribers receive:
Further details about the files returned after an AUP run are available.
The great advantage of receiving the changed record file is that library staff do not have the burden of implementing the changes. Instead, libraries "overlay" the existing bibliographic record with a replacement record containing the corrected heading(s). For those libraries that prefer making the heading changes locally, there is no requirement to load the MARC formatted changed bibliographic records. Files of new and revised LC name and subject authority records, custom to each library, are available for pick-up from LTI's FTP server.
To use AUP each of the library's bibliographic records must have a unique control number so that replacement records containing updated headings have a single match point for overlay. The control number for overlaying need not be from the 001 field. Instead, it could be a bibliographic record number in a 9XX field, a local system control number (035 field), or some other unique control number present in the record.
If a record has been enhanced by the addition of local notes, secondary added entries, or subject headings following the return of the record from batch authority control, those notes or headings will not appear in the replacement overlay record, unless the edited record has also been sent to LTI using the Authority Express service or a new "base" file has been sent. There is also no reporting feature for a library to notify LTI of catalog records it has deleted. For collections that are actively weeded, libraries have the option of submitting new "base" files of their bibliographic records. Although there is a fee for submitting a new "base file" of bibliographic records, some libraries do so with each AUP processing cycle.
Aren't all authority update services the same?
No. Not all authority control update services are the same. Of the several reasons listed above why a heading may change, only changes or corrections in LC authority records are reported by services provided by local system vendors and other authority control providers. Other notification services are based on the principle that if an LC authority record from a weekly update file has the same control number as a record in the library's authority files and the 005 transaction date is later, that LC authority record is pulled for the update report. Moreover, LTI's is the only update service that returns bibliographic records. Other vendor services have the more limited scope of notifying the library of changes to authority records.
The important difference between AUP and other update notification services is that using LTI's service re-authorizes the library's entire database each processing run. Every heading in the library's database is checked against all current LC and LTI authority records, LC and LTI cross references, and dozens of name and subject heading "fix" tables. AUP's more comprehensive reporting increases consistency between library headings and authorized headings. LTI highlights important changes in LC authority records or practices in AUP Processing Notes, updated with each quarterly AUP run.
Update services that track only a static file of LC control numbers from authority records that existed at the time the job was processed are unable to notify libraries of newly distributed LC authority records-i.e., those not available at the time the initial batch processing was completed. While reducing significantly the work required of the notification service provider, this approach disregards new LC authority records-70% of the weekly LC name authority records and 50% of the subject authority records.
AUP Reports
When a library's batch authority control is processed, LTI retains files of the library's bibliographic and authority records, including records resulting from "gap" files. For AEX libraries, LTI also retains records from AEX jobs and adds them to the library's base file. On a regular basis (quarterly, semiannually, or annually, as chosen by the library), the library's files are checked against the updated authority record databases and reports are generated that list the changed headings and the new/revised LC authority records.
Obtaining New/Revised Authority and Corrected Bibliographic Records
AEX and AUP users are assigned a user-id and password to access LTI's FTP server via the Internet to download corrected bibliographic records, as well as new and revised LC authority records. Such files are made available at the same time as the reports. LTI provides a web interface here on its website. Popular browser software packages are supported to retrieve the files.
In addition to the report files described earlier, AUP returns to the library a file of updated (replacement) bibliographic records for "overlaying" the existing bibliographic record. Every bibliographic record in which one or more controlled headings is changed is returned. Because the fixes and updates have already been made at LTI, the amount of staff time needed for catalog maintenance is greatly reduced.
Each of the library's bibliographic records must have a unique control number so that replacement records containing updated headings have a single match point for overlay. The control number for overlaying need not be from the 001 field. Instead, it could be a bibliographic record number in a 9XX field, a local system control number (035 field), or some other unique control number present in the record.
The library needs to understand that if a record has been enhanced by the addition of local notes, secondary added entries, or subject headings following the return of the record from batch authority control, those notes or headings will not appear in the replacement overlay record, unless the edited record has also been sent to LTI using the Authority Express service. For collections that are regularly weeded, libraries have the option of submitting new "base" files of their bibliographic records. When overlaying catalog records, some local systems do permit the library to protect certain tag groups (5XX fields) or specific fields (e.g., 590 notes).
Before LTI can run Authority Update Processing, a "base file" of records needs to be created. There are three options for establishing this base file.
AUP For Databases Not Previously Authorized by LTI
For a library to use the AUP services described above, LTI must have performed authority control on the database. For libraries that had their authority control performed by a vendor other than LTI, and that want to avoid the expense of re-authorizing their records, LTI offers a special AUP variation. In most respects this service is similar to AUP, except that updates are reported based on the library's base file of LC authority records, as opposed to bibliographic records.
As input to this service the library makes available to LTI via FTP its existing files of nationally distributed authority records. On a scheduled basis (quarterly, semi-annually, or annually), the authority record control number and transaction date (001 and 005 fields respectively) are checked against LTI's up-to-date copies of nationally distributed authority records. Nationally distributed authority records that match on control number but have different transaction dates are pulled and made available for FTP retrieval by the library. Note that all authority records in the library's base files must have a valid 005 field.
In practice, most libraries using this special AUP variation have also submitted large batch files of bibliographic records for authority control and use AEX for authorizing new bibliographic records.
Costs, Invoicing, and Ordering
AUP prices vary with the number of the library's records maintained at LTI and the frequency of the processing runs. The Rate Schedule shows pricing based on these factors.
Completion and submission of the AUP Initiation Form creates a "standing order". LTI will process the database and invoice the customer until written notification is received to cancel the service. All pricing is per processing run. For example, a library having fewer than 200,000 bibliographic records and selecting semiannual processing would be invoiced $800 twice each year. Each processing run is invoiced when the run is completed.
Libraries wishing to initiate participation in the AUP service should complete the AUP Initiation Form. The designated contact is sent an email providing a user name, password, and use instructions.