NACO > Authority Control Workflow for Yale C&T Staff

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The workflow described below is intended for Yale University Library C&T staff who are responsible for LC and member copy cataloging. It is not intended for acquisitions staff involved in FASTCAT processing. 


Frequently Asked Questions

  • What if I get a red warning message in the ExportQ window? <IMPORTANT!>
  • Which heading should be validated against authority records?

Note >>>Change in validating series in LC records?

  • How are series validated?

Note >>>Change in LC series policy

Note >>>Change in use of the 440

  • How are personal name headings validated?
  • How are music name/title headings validated?
  • When should bibliographic records be exported to MARS using ExportQ?
  • What if headings in other Orbis records need to be corrected?

 What if I get a red warning message in the ExportQ window?

  • Do not update the bibliographic record! 
  • You may add new holdings and item records or update existing holdings and item records.
  • The warning message means that the bibliographic record has been sent to MARS for authorities processing but has not yet been received back and loaded. Any changes that you make to the record will get overlaid. Wait and update the record once the warning message has disappeared.


 Which heading should be validated against authority records?

 LC full-level or CIP records (040 field = DLC and Encoding Level = Blank, 4, or 8)

Note: New policy for validating series in LC records.

  • If the series in the LC record is coded 490 #0 leave as is. After export, MARS will process the record and make any necessary updates to a 490/8XX combination based on the authority record. Do not check if the series is classed together or separately.

BIBCO full-level or core-level copy (042 field = pcc and Encoding level = blank or 4)

  • Validate series (490 #1/8XX, but not 490 #0)

Other copy

  • Validate series (490 #1/8XX, but not 490 #0)
  • Validate personal names with prefixes or compound surnames, and names in direct order (100. 600, 700)
  • Validate name/title headings for music materials (100/240, 600$t, 700$t)

Series

Note: New policy on use of the 440 field

In July 2008 the MARBI Committee (Machine-Readable Bibliographic Information Committee) of ALA approved a proposal to make use of the 440 MARC field obsolete. Series headings that are traced will now be entered using the 490/8XX combination even if this results in duplicating information in those fields. YUL policy is to use the 490/8XX combination for all traced series, however, the 440 field will still be seen on many records used for copy cataloging.

Validate all series (4XX, 8XX) in Orbis except those found in LC records (see above). If an authority record is found:

  • use the form that appears in the 1XX field of the authority record
  • if the series should be traced and the form in the 440 field of the bib matches the form in the authority record, leave as is, MARS will update to a 490/8XX combination after processing
  • if the series should be traced and the form in 440 matches on a cross reference in the authority record for the series rather than the 1XX, leave as is, MARS will update to a 490/8XX combination after processing. (OR, you can optionally change the 440 field in the bibliographic record to a 490-1_ [but otherwise leave the field as is] and use the 1XX form in 8XX)
  • if the series is coded 490-0_ leave as is. MARS will process the record and make any necessary updates
  • use the numbering designation that appears in the 642 field
  • follow the analyzing treatment that appears in the 644 field
  • follow the DPCC tracing decision that appears in the 645 field (or DLC decision if no DPCC decision is present)
  • follow the classing decision that appears in the 646 field 
  • use the call number that appears in the 090 field for classed-together series

Note: if the authority record is for a classed separately and numbered series, search the series in the OPAC and scan the call numbers to make sure that the series has not been classed together. If the OPAC classes together, refer the record to your supervisor or the cataloger designated to update the series authority record; a 090 field needs to be added.

If there is no authority record in Orbis, search the series in LCDB. If an authority record is found:

  • follow the classing decision when the 646 field = s (classed separately)
  • consult a catalog librarian, or your supervisor, if the 646 field = c (classed together)
  • otherwise follow instructions as above

Note: Change in LC series tracing policy and YUL dicision.

In Nov. 2006, LC changed its policy for series. From that point on, LC has entered all series on its catalog records as 490-0 <series not traced>, even if the series authority record is coded to trace. LC has also ceased creating new series authority records. Because of those decisions catalogers may encounter a greater number of member copy bibliographic records with series that are coded 490-0. YUL policy is to follow the series authority record decision.

Be sure to search all series coded 490-0 except those found in LC records  (see above):

  • Copy and paste the series statement from the 490 field of the bibliographic record into the Orbis search box (omit initial articles)
  • Select the Staff Title Headings Search to retrieve any associated authority records
  • If no record is found in Orbis, search LCDB
  • If an authority record is found, follow instructions as above

Consult a catalog librarian, or your supervisor, if:

  • there is no authority record in either Orbis or LCDB
  • the form of the series in the bibliographic record matches a reference (4XX) on an authority record for an entirely different series
  • Yale practice, as found in Orbis bibliographic records, differs from the treatment decisions recorded in the Orbis authority record
  • Yale practice, as found in Orbis bibliographic records, is inconsistent (e.g. some records are classed together and some are classed separately but an 090 field has not been recorded in the Orbis authority record)
  • the series is classed together (646=c) but an 090 field has not been recorded in the Orbis authority record
  • the form of the series as it appears on your item (t.p., t.p. verso, cover, spine) varies from either the established form (1XX) or any of the references (4XX) in the authority record; look at both the title and the corporate body

MARC Tags Containing Analysis & Classification Decisions in Series Authority Records:

644 field

n = not analyzed (the entire series is cataloged as one item)

f = fully analyzed (each volume in the series is cataloged separately

Follow local Yale analysis decisions if present.

645 field

n = not traced (tag as 490 #0)

t = traced

Follow PCC tracing decisions ($5 DPCC) if they differ from LC tracing decision ($5DLC). If neither is present, follow local Yale tracing decisions.

464 field

s= classed separately (each volume is classes individually)

c = classed as a collection (each volume in the series shares the call number for the entire series with the volume number added)

Follow local Yale analysis decisions if present.

If the series is classed as a collection, refer to the local call number in the 090 field.

Examples of Analysis & Classification Decision in Series Authority Records:

Example 1:

010:  : $a n  42021907 
040:  : $a DLC $c DLC
130: 0: $a Schaum's outline series. 
643:  : $a New York $b McGraw-Hill
644:  : $a
f $5 DLC <---- "f" means the series is analyzed
645:  : $a n $5 DLC <---- "n" means the series is NOT traced
646:  : $a s $5 DLC <---- "s" means the series is classed separately
670:  : $a Siegel, J. G. Schaum's outline of theory and problems of financial accounting, c1983.

Example 2:

040:  :  $a CtY-D $c CtY-D $d CtY
090:  : $a DIV:
BX260.F55  <---- Local call for DIV
090:  : $a SML: BX260.F55 (LC)<---- Local call for SML
100:10: $a Florovsky, Georges, $d 1893-1979. $t Works. $l English. $f 1972
642:  : $a v. 10 $5 CtY-D
643:  : $a Vaduz, Europa $b Buchervertriebsanstalt 
644:  : $a
f $5 CtY-D <---- "f" means the series is analyzed
645:  : $a t $5 CtY-D <---- "t" means the series is traced
646:  : $a c $5 CtY-D $5 CtY  <---- "c" means class together 

Example 3:

010:  : $a n  83732682
040:  : $ a DLC $c DLC $d DLC $d DLC-S $d CtY
050:  : $a L31 $b .P677
090:  : $a SML: L31 P677 (LC)<---- Local call number for SML
130: 0: $a Potsdamer Forschungen. $n Reihe A.
410:20: $a Pädagogische Hochschule "Karl Liebknecht" Potsdam. $t Potsdamer Forschungen. $n Reihe A
430: 0: $a Potsdamer Forschungen der Pädagogischen Hochschule "Karl Liebknecht" Potsdam. $p Gesellschaftswissenschaftliche Reihe
642:  : $a Heft 52 $5 DLC
643:  : $a Potsdam $b Pädagogische Hochschule "Karl Liebknecht," Wissenschaftlich-Technisches Zentrum
644:  : $a n $d items cataloged after Mar. 19, 1990 $5 DLC
644:  : $a f $d items cataloged before Mar. 20, 1990 $5 DLC
644:  : $a f $5 CtY
645:  : $a t $5 DLC
646:  : $a c $5 DLC
646:  : $a s $d items cataloged before June 7, 1999 $5 CtY <-- SML's classing decision varies 
646:  : $a c $d items cataloged after June 6, 1999 $5 CtY 

For more information:

For more detailed instructions on interpreting series authority records and recording series information in bibliographic records, see the "Music Cataloging at Yale" page: Series


Personal Names with compound surnames or prefixes, or personal names in direct order.

Validate the following types of personal names (100, 600, 700) in Orbis: names with compound surnames or prefixes and names that appear in direct, rather than inverted, order. If there is no authority record in Orbis, search the name in LCDB. 

If an authority record is found: 

If there is no authority record in Orbis or LCDB, refer the item to a catalog librarian or your supervisor. The name might require the creation of an authority record because cross references are needed in the catalog.

Examples of personal name headings with compound surnames:

Moctezuma Navarro, David
Congo Mbemba, Leopold
Maurer-Lausegger, Herta
Vidal i Raich, Esther
Pérez de la Riva, Juan

Examples of personal name headings with prefixes:

Van Alstine, Edie
De la Bédoyère, Guy
La Cour, Tage
Della Volpe, Angela
Du Rand, Susan
Zum Winkel, Karl

Examples of personal name headings in direct order:

Mbelolo ya Mpiku
Solomon Gebre Christos
Sunnefa Jónsdottir
Martianus Capella


Music Name/Titles

Validate all music name/title headings (100/240, 600/$t, 700/$t) in Orbis. If there is no authority record in Orbis, search the name/title in LCDB.

If an authority record is found: 

  • use the form that appears in the 100 field of the authority record

Consult a catalog librarian, or your supervisor, if:

  • the title of the item in hand varies from the form found in the 100 or 400 field of the authority record

If there is no authority record in Orbis or LCDB, consult a catalog librarian, or your supervisor, if: 

  • the heading in the bibliographic record varies from the form used in other records in Orbis
  • you have a question about the heading 

Examples of music name/title headings:

Mozart, Wolfgang Amadeus, $d 1756-1791. $t Symphonies, $n no. 40, K. 550 
Sibelius, Jean, $d 1865-1957. $t Kappaletta, $m piano, $n op. 85
Strauss, Johann, $d 1825-1899. $t Camelien-Polka
Ives, Charles, $d 1874-1954. $t Contemplations. $p Central Park in the dark


When should bibliographic records be exported to MARS using ExportQ?

Bib Records Created in Orbis:

Bibliographic records created in Orbis should be exported to MARS for authorities processing once the cataloging is completed. If you are completing the cataloging yourself, you may export the record. If you are referring the item to a catalog librarian, you should not export the record.

Bib Records Created in OCLC:

Bibliographic records created in OCLC should be exported to MARS for authorities processing once the cataloging is completed and the records have been imported into Orbis. If you are completing the cataloging yourself, you may export the record. If you are referring the item to a catalog librarian, you should not export the record.

For more information: Policy on Exporting Bibliographic Records from Orbis


What if headings in other Orbis records need to be corrected?

C&T staff may encounter headings on bibliographic records in Orbis that need to be changed. These problems should be referred to the Metadata Services & Catalog Management Team through the Heading Change Request Form. If there are fewer than 5 headings that need to be updated, these problems may be referred to a catalog librarian.


Document created and maintained by the Authority Control Advisory Committee.

Comments to: Rick Sarcia

Last revised: 11/05/2010

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