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


 Which heading should be validated against authority records?

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

  • 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.

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 and corporate names
  • Validate name/title headings for music materials (100/240, 600‡t, 700‡t)

Series

In July 2008, the MARBI 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 may still be seen on copy cataloging records.

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

  • confirm that the 490 field matches the form on the item in hand
  • match the 8XX field to 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.
  • 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 Voyager, search the series in Library of Congress Authorities or OCLC. 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 decision.

In Nov. 2006, LC began entering all series in 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, not that of LC.

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 Library of Congress Authorities or OCLC
  • If an authority record is found, follow instructions as above

Consult a catalog librarian, or your supervisor, if:

  • there is no authority record for the series in Voyager, Library of Congress Authorities or OCLC
  • 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 Voyager bibliographic records, differs from the treatment decisions recorded in the authority record
  • Yale practice, as found in Voyager 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 authority record)
  • the series is classed together (646=c) but an 090 field has not been recorded in the authority record
  • the form of the series as it appears on your item varies from either the established form (1XX) or any of the references (4XX) in the authority record

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 (‡5 DLC). If neither is present, follow local Yale tracing decisions.

646 field

s= classed separately (each volume is classed individually)

c = classed as a collection (each volume in the series shares the call number for the entire series with the volume number and/or date 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 <-- our classing decision changed
646:  : ‡a c ‡d items cataloged after June 6, 1999 ‡5 CtY 


Personal Names

Validate personal names (100, 600, 700) in Orbis; paying particular attention to 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 Library of Congress Authorities or OCLC

If there is no matching authority record in Orbis, Library of Congress Authorities or OCLC, 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:

  • Abagge, Beatriz Cordeiro
  • Congo Mbemba, Leopold
  • Maurer-Lausegger, Herta
  • Moctezuma Navarro, David
  • Vidal i Raich, Esther

Examples of personal name headings with prefixes:

  • Agnesta, Maria de las Nieves
  • Della Volpe, Angela
  • Graben zum Stein, Otto von
  • Winkel, Karl zum, 1920-
  • Zum Winkel, Karl

Examples of personal name headings in direct order:

  • Aesop
  • Martianus Capella
  • Mbelolo va Mpiku
  • Solomon Gebre Christos
  • Sunnefa Jónsdottir

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 Library of Congress Authorities or OCLC.

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, Library of Congress Authorities or OCLC, consult a catalog librarian, or your supervisor, if: 

  • the heading in the bibliographic record varies from the form used in other records in Voyager
  • 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?

  • Bib Records Created in Voyager:

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, do 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, do not export the record.


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 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 originally created by the Authority Control Advisory Committee; revised and maintained by the Authorities & Identities Advisory Group.

Comments to: Rowena Griem

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Last modified: 
Wednesday, July 20, 2022 - 4:19pm