Catalogers will occasionally need to import authority records into Orbis in order to update them with local Yale analysis and classification decisions. These records should be imported from LCDB or OCLC.

Importing other authority records into Orbis will generally not be necessary because MARS authorities processing will automatically "claim" the authority records that we need and send them to us for loading. However, catalogers may use judgment in this area (e.g. if it is important to get an authority record into Orbis right away).

Note that there are two categories of authority records that MARS does not provide us: 1) series-like phrase records; 2) reference records. Catalogers may import these into Orbis as they encounter them.

Name authority records should be updated in Orbis only when adding a classification number in the 090 field (or, more rarely, when adding a local note in a 690 field).

Series authority records should be updated in Orbis only when adding information pertaining to local series analysis and classification decisions in the 090, 644, or 646 fields (or, more rarely, when adding a local note in a 690 field).

These fields are protected from overlay. For more information:

Updating Existing NARs
Updating Existing SARs

• locally-created authority record (record without 010 field) that duplicates a national-level authority record (record with 010 field)
• duplicate national-level authority record (record with the same 010 field as another record)
• national-level authority record that has been deleted in the national file (the 010 field in one record will be represented in the 010 $z of the other record) 

• a heading requires cross references
• a heading needs to be distinguished from another heading (e.g. by the addition of dates or qualifier)
• a heading is used on a Yale BIBCO record with encoding level blank
• a heading is used on a Yale BIBCO record with encoding level 4 (except untraced series)
• a series or multi-part monograph will be classed together and analyzed
• a series or multi-part monograph is on standing order
• research needs to be documented in a 670 field

For more information:

Creating New NARs
Creating New SARs

In addition, NACO rules require that a new authority record be created whenever:

• a heading that is being established contains an unestablished corporate or geographic name used as a qualifier
• a subordinate body heading that is being established contains an unestablished parent body
• a name-title heading that is being established contains an unestablished name

For more information:

Updating Existing NARs
Updating Existing SARs

Export to MARS for authorities processing once the cataloging is completed.

Export to MARS for authorities processing once the cataloging is completed and the record has been imported into Orbis.

Export to MARS for authorities processing once the NACO authority record has been "added" in the OCLC authority file (not the save file).

Export to MARS for authorities processing once the SACO authority record has been approved by LC and appears in the national authority file.

If the cataloger anticipates a long wait for approval, the bib record may be exported ahead of time but should be re-exported once the heading appears in the national authority file. Otherwise, MARS will not be able to send us the authority record.

For more information: Policy on Exporting Bibliographic Records from Orbis

Please use the: Heading Change Request Form.

Yes! The ability to copy/paste headings between Orbis and the utilities is much improved in Voyager 6.1 (implemented in Dec. 2006). Preliminary testing has shown that diacritics carry over properly when using OCLC Connexion (but the delimiter sign does not). However, not all diacritics have been tested, so please report any that don't copy properly!

Remember to replace the OCLC delimiter sign with the Orbis delimiter sign when pasting an OCLC heading into an Orbis bib record (and vice versa). Remember to delete the delimiter sign when copying a heading into a search box.

NACO Workflow

Look for an appropriate authority record in Orbis using one of the Staff Heading indexes (most staff will be starting this search from the Authorities Validation box generated when the bib record is saved to the database).

If you find a national-level authority record in Orbis (these records contain an 010 field), use the heading in the bib record. Update the authority record with local analysis or classification decisions if necessary. If national-level updates to the authority record are needed, go to step 5.

If you find a locally-created authority record in Orbis (these records do not contain an 010 field), go to step 2.

If an authority record is not found, go to step 2.

Step 2: Search heading in LCDB

If you find an authority record in LCDB, assume MARS will provide it to us. Import it into Orbis only if it needs to be updated with local analysis and classification decisions. If a locally-created authority record exists in Orbis, delete it.

If national-level updates to the LCDB authority record are needed, go to step 5.

If an authority record is not found, go to step 3.

Step 3: Search heading in a national authorities database

Either of these two national authorities databases may be used:

• LC Authorities (via Web browser)
• OCLC authority file (via Connexion cataloging client)

If you find an authority record, assume MARS will provide it to us. Import it into Orbis only if it needs to be updated with local analysis and classification decisions. If a locally-created authority record exists in Orbis, delete it.

If national-level updates to the authority record are needed, go to step 5.

If an authority record is not found, go to step 4.

Step 4: Establish the heading in OCLC

If an authority record is needed, establish the heading in OCLC according to AACR2 and any applicable rule interpretations. Search the heading in either of these two national bibliographic databases:

• LC Online Catalog (via Web browser)
• OCLC bib files (via Connexion cataloging client)

Don't forget to search the heading as both a name or title heading (as appropriate) and as a subject heading. While searching, look for the following information:

• form of heading used on LC bibliographic records (and the encoding level of any such records)
• variant headings used on other bib records
• variant forms of usage in transcribed fields
• predominant usage (especially if establishing a modern author)

Create the authority record in the OCLC "Online Save File" according to NACO practice.

If a locally-created authority record exists in Orbis, delete it.

If you are not yet independent of NACO review, go to step 6. If you have been granted independence, go to step 8.

Step 5: Update the authority record in OCLC

If national-level updates to the authority record are needed, update the record in the OCLC "Online Save File" according to NACO practice. If you are not yet independent of NACO review, go to step 6. If you have been granted independence, go to step 8.

Step 6: Notify your NACO reviewer

E-mail your NACO reviewer when you have headings that are ready to be looked over. Send no more than ten headings at a time. Do not send another list of headings until you have heard back from your reviewer. The subject line of the message should begin with "NACO" and should include your unit name or unit acronym (e.g. NACO RBT). Send new and updated authority records in one message, but in separate lists.

Include the OCLC save file numbers, the full headings, and any comments that will aid in the review of the records (e.g. cite the rule or LCRI that justifies the choice or form of heading if there might be some question). For updates of existing records, indicate the changes you have made (e.g. 400/1, 670/2 added, 008/29 changed to a). Indicate the variable fields in this manner even though they are not numbered as such in OCLC.

Indicate in the message if BFM (bibliographic file maintenance) will be required in the LC database for any of the headings. For further guidance, see:

• Guidelines for reporting NACO BFM
• FAQ: Headings found in the LC Online Catalog labelled "from old catalog" or "oclcrep"

Catalogers of materials in JACKPHY languages may need to submit additional information to their reviewer or their funnel project reviewer (e.g. OCLC bib record numbers, photocopy surrogates of any pages from which usage has been transcribed and romanized, etc.).

Go to step 7.

Step 7: Wait for your reviewer's response

Wait for your reviewer to respond by e-mail. For each record sent, the reviewer's response will be one of the following:

• you may contribute the record
• you must make corrections to the record and then you may contribute it
• you must make corrections to the record and then resubmit it for review
• the reviewer has contributed the record for you

Go to step 8.

Step 8: Add NACO record to the OCLC Authority File

Search the heading and references in the OCLC Authority File one last time to make sure that the heading has not been established by another library in the interim. If no duplicates are found, contribute the record using the "Action>Add to Authority File" command.

If the NACO record needs to be updated in Orbis with local analysis and classification decisions, import it into Orbis from OCLC and make the local updates.

Go to step 9.

Step 9: Export bibliographic record containing the NACO heading to MARS

Once the NACO record has been "added" in OCLC, use the ExportQ program to flag the Orbis bib record for export to MARS.

Note: MARS will not be able to send us the authority record unless the bib record is processed after the NACO record is added to the authority file.