Authority Control Workflow 

for Yale C&T Staff

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 headings 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?

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 Headings Should Be Validated Against Authority Records?

LC full-level, core-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.

Validate series (440, 490-1_/8XX, but not 490-0_)

Validate series (440, 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)

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

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 decision.

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

Examples of Analysis & Classification Decisions in Series Authority Records:

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.

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

If an authority record is found: 

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

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

If an authority record is found: 

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

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

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

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

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