NACO Updates Since April 2015 Council on East Asian Libraries Annual Meeting March 28, 2016 Jessalyn Zoom Library of Congress We will cover three main areas of updates: Phase 3 changes to authority records Major RDA and LC/PCC PS updates since April 2014 Areas catalogers may find helpful still (including updates addressed in the NACO training materials)

MARC 046, Special Coded Dates (DCM Z1 046) Use EDTF (Extended Date Time Format) schema in all cases except for centuries Supply dates using the pattern, yyyy, yyyy-mm, or yyyy-mm-dd Always add subfield $2 edtf except after a century The more consistent use of $2 edtf is based on a PCCLIST discussion suggestion to simplify the use of $2 (always use except for centuries).

MARC 046, Special Coded Dates (DCM Z1 046) Examples: 046 ## $f 1884-10-11$g 1962-11-07 $2 edtf 046 ## $s -0199~ $2 edtf 046 ## $f 1946-06 $2 edtf 046 ## $f 1960 $2 edtf But: 046 ## $s 20  Cataloger’s Desktop 2015 Issue 3 release in Sept. 2015 included this update. -0199~ : Approximate date 200 B.C. 1816? : Probable date

MARC 046, Special Coded Dates (DCM Z1 046) 046 fields in existing NARs will be reformatted to conform to the new DCM Z1 guidelines during Phase 3B changes October 2015 RDA Toolkit update included revised instructions for dates associated with persons to use a $2 with “edtf” in MARC authority field 046

MARC 046, Special Coded Dates (DCM Z1 046) Two new subfields not yet implemented by NACO: $q Establishment date $r Termination date Continue to use $s (Start period) for date of establishment and $t (End period) for date of termination Before these changes can be implemented, NACO will need to make a programmatic change to the subfield coding of many existing name authority records. There will be announcements made when the NACO nodes have implemented the new subfields and changes have been made to legacy records. We do not expect these changes to the 046 to be made until after the Phase 3B updates to the NACO authority file.

MARC Fields 385, 386, 672, and 673 385 (Audience Characteristics) 385 ## $n age $a Teenagers $2 lcdgt 386 (Creator/Contributor Characteristics) 386 ## $a Japanese Americans $2 lcsh 672 (Title Related to the Entity) 673 (Title Not Related to the Entity) Guidelines: Instruction sheets have been developed by PCC SCT PSD will finalize and include them in DCM after additional questions are resolved You will learn much of the 385 and 386 fields in Adams’ presentation. Here’s just giving you an update on where we are on the guidelines of applying for these fields in NACO work. LC, PCC, and OCLC approved the use of fields 385 (Audience characteristics), 386 (Creator characteristics), 672 (Title related to the entity), and 673 (Title not related to the entity) in early 2015. Currently, there is minimal documentation on these fields in the MARC 21 Authority Format. SCT has developed instruction sheets and they are being reviewed by PSD. SCT is planning to resolve the additional questions, before PSD finalizes them for DCM or other training documents. Note: 385 and 386 fields are used for Works and Expressions. Do not use them in NARs for persons.

Authorized Access Points for Persons (RDA 9.19.1.2-9.19.1.8) Include the additional elements at 9.19.1.2-9.19.1.8 if they are needed to distinguish access points representing different persons with the same name Title or Other Designation Associated with the Person (9.19.1.2) Date of Birth and/or Death (9.19.1.3) Fuller Form of Name (9.19.1.4) Period of Activity of the Person (9.19.1.5) Profession or Occupation (9.19.1.6) Other Term of Rank, Honour, or Office (9.19.1.7) Other Designation associate with the person (9.19.1.8) Optional Addition: Include the additional elements specified at 9.19.1.2-9.19.1.8 even if they are not needed to distinguish access points representing different persons with the same name Consult DCM Z1 008/32 for up-to-date instructions on undifferentiated personal name authority records Right around 2015 CEAL RDA workshop, several instructions in 9.19.1 were revised to provide the cataloger greater flexibility in choosing an appropriate addition to break a conflict if the additions from 9.19.1.2 and 9.19.1.3 are not available or do not provide adequate distinction. See the relevant LC-PCC PSs for the “optional addition” of these elements when there is no conflict. This and next 3 slides will provide a summary of the updates on the RDA instructions.

Authorized Access Points for Persons (RDA 9.19.1.2-9.19.1.8) LC-PCC PS for Optional Addition Title or Other Designation Associated with the Person (9.19.1.2) Fuller Form of Name (9.19.1.4) (Note: add unused forenames or surnames only if needed to distinguish one access point from another) Other Term of Rank, Honour, or Office (9.19.1.7) New NAR: Apply if the cataloger considers it important for identification Existing NAR: Do not change an existing AAP unless otherwise changing the 100 field (e.g., conflict) for a different reason RDA 9.19.1.1 - LC-PCC PS on “Optional Addition” of including the additional elements specified at 9.19.1.2–9.19.1.8 even if they are not needed to distinguish access points representing different persons with the same name.

Authorized Access Points for Persons (RDA 9.19.1.2-9.19.1.8) LC-PCC PS for Optional Addition Date of Birth and/or Death (9.19.1.3) New NAR: Add a date of birth and/or date of death to new NARs, even if not needed to distinguish between access points Existing NAR: Do not add the date to an existing AAP without dates unless otherwise changing the 100 field (e.g., conflict) for a different reason Optionally, add a death date to an AAP that has an open birth date, and add a birth date to an AAP that has only a death date RDA 9.19.1.1 - LC-PCC PS on “Optional Addition” of including the additional elements specified at 9.19.1.2–9.19.1.8 even if they are not needed to distinguish access points representing different persons with the same name.

Authorized Access Points for Persons (RDA 9.19.1.2-9.19.1.8) LC-PCC PS for Optional Addition Period of Activity of the Person (9.19.1.5) Profession or Occupation (9.19.1.6) Other Designation (9.19.1.8) New NAR: Generally do not apply Existing NAR: Do not change an existing AAP unless otherwise changing the 100 field (e.g., conflict) for a different reason RDA 9.19.1.1 - LC-PCC PS on “Optional Addition” of including the additional elements specified at 9.19.1.2–9.19.1.8 even if they are not needed to distinguish access points representing different persons with the same name.

Preferred Title Consisting Solely of the Name of One Type of Composition (LC-PCC PS 6.14.2.5.2.1) LC-PCC PS: In addition to recording the terms Duet or Duets for their cognates, record Duet or Duets for works titled Duo or Duos. February 2016 Toolkit update: 6.14.2.5.2.1 LCPCC PS: Guidance has been provided for the treatment of duos/duets as a type of composition used for a preferred title.

Additional Elements In Authorized Access Points Representing Laws, Etc Additional Elements In Authorized Access Points Representing Laws, Etc. (LC-PCC PS 6.29.1.29) LC-PCC PS: Add Date of promulgation of a law, etc. to both new and existing authority records for laws with the same/similar preferred title. If the access point representing a law, etc. (constructed according to the instructions at 6.29.1.2–6.29.1.6) is the same as or similar to an access point representing a different law, etc., include the year of promulgation February 2016 Toolkit update 6.29.1.29 LC-PCC PS: Guidance has been provided to add the element Date of promulgation of a law, etc. to both new and existing authority records for laws with the same/similar preferred title. When establishing a new authorized access point for a law, etc., and there is an existing access point with the same or similar title without a date of promulgation, add the dates of promulgation to both the new and existing access points.  If the date of promulgation of the existing undated access point is unknown and cannot be readily ascertained, or if there is evidence that the existing undated access point has been used for laws promulgated on different dates, add the date of promulgation only to the law, etc. being established. 

Relationships Between Corporate Bodies (LC-PCC PS 11. 13. 1. 1 and 32 Use MARC 5XX to connect related bodies. Separate NAR must be established for all related bodies (subfields $w and $i w/RD) Example: NAR 1: 110 2# $a Body A 510 2# $wr $i Successor: $a Body B NAR 2: 110 2# $a Body B 510 2# $wr $i Predecessor: $a Body A February 2016 Toolkit update 11.13.1.1. and 32.1.1.3:  Guidance has been provided for certain categories of corporate bodies (including places) that have resumed an earlier name.  In these cases, it will not be required to establish differentiated sequential authorized access points. Note that the policies for relating sequential corporate bodies also applies to places established in the name authority file

Relationships Between Corporate Bodies (LC-PCC PS 11. 13. 1. 1 and 32 Use simple 5XX without subfields $w and $i when the relationship is not directly sequential, or unknown, or when it has been decided not to record the relationship Example: NAR 1: 110 2# $a Body A 510 2# $a Body B NAR 2: 110 2# $a Body B 510 2# $a Body A February 2016 Toolkit update 32.1.1.3:  Guidance has been provided for certain categories of corporate bodies (including places) that have resumed an earlier name.  In these cases, it will not be required to establish differentiated sequential authorized access points

Earlier Name Resumed (LC-PCC PS 11.13.1.1 and 32.1.1.3) Treat each instance of the name as a separate body when a corporate body resumes an earlier form of name. Distinguish between AAPs by following the instructions at 11.13.1.1 Example: NAR: 110 2# $a Body A (1937-1949) 510 2# $wr $i Successor: $a Body B NAR: 110 2# $a Body A (2001- ) 510 2# $wr $i Predecessor: $a Body C February 2016 Toolkit update 32.1.1.3:  Guidance has been provided for certain categories of corporate bodies (including places) that have resumed an earlier name.  In these cases, it will not be required to establish differentiated sequential authorized access points

Earlier Name Resumed (LC-PCC PS 11.13.1.1 and 32.1.1.3) Update: use one authorized access point to represent all instances of the same name when a corporate body belongs to one of the following categories (next 3 slides), and include a 667 field in the NAR about the decision made. Add other clarifying info. in the 667 note if useful Note: If a body has already had separate AAPs created for the earlier and resumed names, it is not required to retrospectively collapse the separate AAPs into one AAP February 2016 Toolkit update 32.1.1.3:  Guidance has been provided for certain categories of corporate bodies (including places) that have resumed an earlier name.  In these cases, it will not be required to establish differentiated sequential authorized access points

Earlier Name Resumed (LC-PCC PS 11.13.1.1 and 32.1.1.3) Category A - Bodies of a Type Likely to Be Subject to Frequent Name Changes Use one authorized access point to represent both the earlier and resumed name, if a body is likely to have frequent name changes because of its nature (e.g., firms named after individual members, legislative committees, conferences) Example: 111 2# $a IEEE Workshop on Advanced Robotics and its Social Impacts 511 2# $a IEEE International Conference on Advanced Robotics and its Social Impacts $d (2008 : $c Taipei, Taiwan) 667 ## $a This conference resumed its earlier name; the name IEEE Workshop on Advanced Robotics and its Social Impacts was used 2005-2007 and 2009-present. The name IEEE International Conference on Advanced Robotics and its Social Impacts was used in 2008 February 2016 Toolkit update 32.1.1.3:  Guidance has been provided for certain categories of corporate bodies (including places) that have resumed an earlier name.  In these cases, it will not be required to establish differentiated sequential authorized access points

Earlier Name Resumed (LC-PCC PS 11.13.1.1 and 32.1.1.3) Category B - Place Names Use the same authorized access point for both the earlier and resumed name provided the additions to the AAP are appropriate for each instance, when a place resumes its earlier name Example: 151 ## $a Saint Petersburg (Russia) 551 ## $a Leningrad (R.S.F.S.R.) 667 ## $a This place resumed its earlier name; Leningrad resumed the name Saint Petersburg in 1991. 151 ## $a Leningrad (R.S.F.S.R.) 551 ## $a Saint Petersburg (Russia) February 2016 Toolkit update 32.1.1.3:  Guidance has been provided for certain categories of corporate bodies (including places) that have resumed an earlier name.  In these cases, it will not be required to establish differentiated sequential authorized access points RDA 11.13.1.6 Type of Jurisdiction Include the type of jurisdiction (see 11.7.1.5) if needed to distinguish one authorized access point from another (i.e., when two or more corporate bodies have the same name or have names so similar that they may be confused). Add the term to the name of a government other than a city or a town. The above example also reflects change of name of the larger place. 16.2.2.4 PS: If the smaller place has changed its name or has ceased to exist, use as a qualifier the name the larger place had during the period in which the name of the smaller place is applicable.

Earlier Name Resumed (LC-PCC 11.13.1.1 and PS 32.1.1.3) Category C - Bodies with Complex and Uncertain Histories If a body has had a complex or uncertain history, and creating and applying separate authorized access points for each use of the same name is not feasible, use the same authorized access point for both the earlier and resumed name. Example: 110 2# $a Republican National Committee (U.S.) 511 2# $a National Union Executive Committee (U.S.) 667 ## $a This corporate body resumed its earlier name; the Republican National Committee began in 1856.  It used the name National Union Executive Committee beginning in 1864 until sometime around 1868. February 2016 Toolkit update 32.1.1.3:  Guidance has been provided for certain categories of corporate bodies (including places) that have resumed an earlier name.  In these cases, it will not be required to establish differentiated sequential authorized access points The above example also reflects change of name of the larger place. 16.2.2.4 PS: If the smaller place has changed its name or has ceased to exist, use as a qualifier the name the larger place had during the period in which the name of the smaller place is applicable.

Recording Location of Conference, etc. (LC-PCC PS 11.3.2.3) If a conference, is held in multiple locations and it is not feasible to record them all, apply these following instructions Record the larger place or places, if a conference is held in multiple local places within a larger place or places Example: 111 2# $a Tour de France (Bicycle race) $d (1914 : $c France; Switzerland) 370 ## $e France $2 naf 370 ## $e Switzerland $2 naf Note: There were 15 stage locations for the race in various places in France and Switzerland August 2015 Toolkit update 11.3.2.3: Recording location of conference, etc.: Record the name of the local place in which the conference, etc., was held by applying the basic instructions at 11.3.1. If the conference was held in more than one place, record the names of each of the places in which it was held. LC-PCC PS: Provides guidance on recording the location of a conference, etc., when it is not feasible to record all locations.

Recording Location of Conference, etc. (LC-PCC PS 11.3.2.3) If a conference, is held in multiple locations and it is not feasible to record them all, apply these following instructions Record it as the location and omit the other locations, if there is one local place primarily associated with a conference, etc. (e.g., a host city) Example: 111 2# $a Olympic Games $n (29th : $d 2008 : $c Beijing, China) 370 ## $e Beijing (China) $2 naf Note: Beijing was the host city for the Olympic Games. Other locations in China included Tianjin, Qingdao, etc. August 2015 Toolkit update 11.3.2.3: Recording location of conference, etc.: Record the name of the local place in which the conference, etc., was held by applying the basic instructions at 11.3.1. If the conference was held in more than one place, record the names of each of the places in which it was held. LC-PCC PS: Provides guidance on recording the location of a conference, etc., when it is not feasible to record all locations.

Place Names Used in a Conference Qualifier (subfield $c) If the addition is a jurisdiction, there must be a NAR in the LCNAF; create one if not already in LCNAF Modify the place name by removing the parentheses and any additions made to the place name to break conflict, add a comma between the place names Example: 111 2# International Symposium in Commemoration of the 60th Anniversary of the Korean War $d (2010 : $c Seoul, Korea) NAR for the place name: 151 ## Seoul (Korea) This is FAQ type of information. Helpful to keep it in mind. If the subfield $c addition is a jurisdiction, there must be an authority record in the LCNAF – you need to create one if one does not exist. Modify the place name by removing the parentheses and any additions made to the place name to break conflict. Finally, add a comma between the place names. If the subfield $c addition is a non-jurisdictional place name from LCSH, you can use the heading as it appears in LCSH, modify it by removing the parentheses and any non-place name additions, then add a comma between the place names. If the place name has not been established in LCSH, it should not be proposed just to add as an addition to the conference name.  Instead add the place name as it would appear in LCSH with the already stated adjustments (e.g., Chin River, China not Chin Shui, China)

Place Names Used in a Conference Qualifier (subfield $c) If addition is a non-jurisdictional place name from LCSH, use the heading as it appears in LCSH, modify it by removing the parentheses and any non-place name additions, then add a comma between the place names. If the place name has not been established in LCSH, add the place name as it would appear in LCSH with the already stated adjustments Example: 111 2# World Symposium on Sinology $d (2005 : $c Wang’an Island, Taiwan) LCSH for the place name: 151 ## Wang'an Island (Taiwan) This is FAQ type of information. Helpful to keep it in mind.

Updates on Providing Series Access Points Revised practice for providing series access points (from PCC Series Policy Task Group) throughout the Toolkit updates in 2015 Please refer to the appropriate LC-PCC PSs

Guidelines for Relationship Designators in Authority Records SCT is finalizing the guidelines on relationship designators in authority records Joint PCC SCS and SCT Task Group on Guidelines for Relationship Designators in Authority Records The TG is appointed for a four-month term beginning on Feb. 15th, 2016. The Task Group will circulate a draft set of recommendations to the PCC for consideration at the PCC OpCo meeting in May 2016 The TG will finalize its recommendations by June 15th, 2016. Outstanding issues, include as a minimum the following:   1. Expanding the use of relationship designators in NACO records beyond the RDA appendices [Guideline #1a] 2. Treating relationship designators as pre-approved [Guideline #1a] 3. Reciprocal relationships (typically between corporate entities and persons)  [Guideline #6] 4. Explicit coding of hierarchical relationships [Guideline 9] 5. Recording multiple relationships [Guideline 12] SCT is reviewing all the other guidelines to make it available publicly.

LC RDA Refresher Training http://www.loc.gov/catworkshop/RDA%20training%20materials/rda-refreshers.html Intended as a follow-up to RDA implementation Topics include: Capitalization, Abbreviations, Numbers Cataloger Judgment and the Statement of Responsibility How to Find Changes in RDA and the LC-PCC PSs Recording 33X Fields Relationship Designators Transcription of Core Elements Undifferentiated Names What is Different from AACR2? The topics listed are addressed by using ‘performance support’ – job aids, clarifications of policies, optional ‘test-yourself’ online quizzes, etc.

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NACO Phase 3B Changes Update Re-coding of approximately 8.4 million AACR2 records as RDA, with no change to the 1XX field Integrating ISNI (International Standard Name Identifier) into their respective LC/NACO records where available Replacement of obsolete indicators with blanks, and removal of unnecessary terminal punctuation from 1XX fields where it exists Data will be derived to populate the 046 and 368 fields where possible 3B: Changes will be done outside of the name authority file; the records will be replaced after the changes are made. The changes don’t effect the 1xx fields, so won’t generate BFM. ISNI will be added to 024 field where available. Because of system constraints, it will be more efficient for the Library of Congress to replace its entire authority file, rather than to make replacements of millions of individual authority records. In Voyager parlance, the replacement of the entire contents of a file in this manner is called a slam load. Staff at the British Library and the Library of Congress will collaborate on the mechanism to be used for updating the ISNI mappings, and will create documentation for use by their respective staff. Any maintenance issues created by NACO participants adding or removing ISNIs in LC/NAF, or amending authority records containing ISNIs, will be monitored by ISNI Quality Team members at the BL. Adjust terminal punctuation: The full stop is acceptable as given if the last word in heading represents an abbreviation. Remove the full stop in other cases.

Phase 3B Changes Example 024 Other Standard Identifier 024 7# $a8462832856536435$2isni Subfield $2 – MARC code that identifies the source of the number or code. Used only when the first indicator contains value 7 (Source specified in subfield $2)

NACO Phase 3B Changes Update Has tested several times Put in all of the last minute things requested Waiting to agree on times with LC’s ILS vendor to do a full test run Will make test files available Then do the actual production run Announcements on the timing of the changes will be made after testing has been completed.

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Summary of the Scope of Taiwanese Place Names Conversion Wade-Giles -> Pinyin Preliminary Notes: Study based on search results conducted as of November 30, 2015 Searches were conducted in OCLC Connexion, LC ILS Voyager, BGN GEOnet Names Server Study excluded names affected in the LCSH file Results are estimated numbers

Summary of the Scope of Taiwanese Place Names Conversion Wade-Giles -> Pinyin Study results: Total numbers of names in conventional form in BGN: 64 Total numbers of NARs for Taiwanese places names in the LC/NACO Authority File: 201 NARs with no matching BGN form of name: 40 NARs represented in BGN: 161 (29 of them represented in conventional form in BGN, 132 represented in approved form in BGN) 12 match BGN form 149 do not match BGN form Total numbers of affected NARs with 1XX change: 426 Total numbers of affected NARs with 4XX change: 114 Total numbers of affected LC bibliographic records: 673 LC bib records: “from old catalog” records not included LC Subject Headings Approved List Number 10 issued on October 19, 2015 included 30 geographic subject headings in Taiwan which have been revised from Wade-Giles to Pinyin Romanization, and the associated LC bibliographic records, to conform the revised subject headings forms.

Unresolved issues: A couple more names: Summary of the Scope of Taiwanese Place Names Conversion Wade-Giles -> Pinyin Unresolved issues: Tainan group Tainan (Taiwan) T’ai-nan hsien (Taiwan) Tainan-shū (Taiwan) A couple more names: Chung-li (Taiwan) Ju guang lou (Chin-ch’eng, Taiwan) Study excluded NARs affected in the 370 field and 373 field involving Taiwanese place names  Names included in 370 and 373 fields.

Summary of the Scope of Taiwanese Place Names Conversion Wade-Giles -> Pinyin Progress report: LC is agreeable to doing a project to change the name authority records to conform to BGN names Names not listed in BGN will be converted to forms found in reference sources with pinyin romanization Associated NARs for corporate body names will also be updated including former headings Affected LC bib records will be updated and redistributed “LC is agreeable to doing a project to change the name authority records for place names in Taiwan to conform to current BGN conventional or approved names listed for these places.  In cases, where the place is not listed in BGN, we will use the form found in reference sources with pinyin romanization.  Associated NARs qualified by places in Taiwan, e.g., the corporate body NAR 110 2 Xing an gong (Lu-kang chen, Taiwan) would be updated to reflect the BGN approved form for the place in the qualifier, e.g., Xing an gong (Lugang Zhen, Taiwan).  We will trace former headings in the authority records according to the normal procedures in DCM Z1 and LC-PCC PS.  We will also update and redistribute our bibliographic records with the affected access points.  We estimate that about 500 NARs will be updated for this project.”

Questions welcome jiwu@loc.gov Thank you!