2. 1 CJK Authorities in RDA Council on East Asian Libraries Annual Meeting March 19, 2013 Jessalyn Zoom Library of Congress

3. 2 Learning Objectives At the end of the training, you will be able to:  Update and recode authority records to RDA  Gain in-depth understanding of RDA instructions on creating the authorized access point  Understand PCC policy on RDA authority records  Learn how to work in the LC/NACO Authority File after March 31, 2013

4. 3 Agenda  Highlights of RDA Authorities Updates/Changes since April 2012  Working with LC/NACO Authority File after March 31, 2013  Practicum Note: what will be covered in this training are the updates since April 2012, not the fundamentals already addressed in the LC RDA training material on Authorities

5. 4 Pop Quiz : RDA Vocabularies  AACR2 Heading RDA: ???  AACR2 Cross Reference RDA: ???  AACR2 See Also Reference RDA: ???

6. 5 Pop Quiz : RDA Vocabularies (continue)  Can family names be creators or contributors?  Can fictitious characters be creators or contributors?  What about real non-human entities?

7. 6 Pop Quiz : RDA Vocabularies (continue)  You passed!

8. 7 Updates and Changes : Identifying Persons (Chapter 9)

9. 8 Undifferentiated NARs in RDA  RDA trained NACO catalogers Avoid if at all possible creating new RDA undifferentiated personal name NARs As much as possible, create unique NARs for names formerly in undifferentiated NARs, recode AACR2 NAR to RDA  AACR2 NACO catalogers Until RDA-trained, may continue to create new AACR2 undifferentiated NARs and add entities to existing AACR2 undifferentiated NARs  Non PCC catalogers

10. 9 Undifferentiated NARs in RDA  Apply one of the following RDA instructions, based on cataloger’s judgment, to create a unique authorized access point for the person: Profession or occupation (RDA 9.16) Period of Activity of the Person (RDA 9.3.4) DO NOT use field of activity (RDA 9.15)

11. 10  Included in the next Toolkit update: allow adding the following kinds of qualifiers to distinguish personal name access points; Terms of honour, rank or office Designations for persons named in sacred scriptures Designations for fictitious and legendary characters Designations for type, species or breed of a non-human entity Other designations  Optionally record MARC 21 field 368  Do not confuse with 374 for Occupations  In the case of “da shi ( 大师） ” when considered as a respectful address but not a religious rank, “da shi” can be used in $c to break a conflict. $c Allowed and Expanded for Use in 100 Field (coming soon)

12. 11 Language in $c Occupation of 100 Field (8.4)  Use the language of the catalog unless not “translatable” Zhang, Jia $c (Computer scientist) Suzuki, Shōji $c (Physician) Pak, Chŏng-jin $c (Political scientist)  What about: Hong, In-suk $c (Artist), $d 1973-

13. 12 Order of Subfields in 100 Field When Providing Multiple Additions  No prescribed MARC order for the subfields beyond subfield $a in the X00 fields  Subfield $d (date) should always be the last element unless (Spirit) is present  $c before $q when adding words indicating relationship

14. 13 Fuller Form of Name in 100 Field (9.19.1.4)  Catalogers have the option to provide a fuller form of name if a part of the forename or surname used in the preferred name is represented by an initial or an abbreviation, if the cataloger considers it important for identification  Add unused forenames or surnames only if needed to distinguish one access point from another  Uncommon among CJK names

15. 14 Dates in 100 Field and 046 Field (9.3.1.3)  Span of dates: 046 $f [1950,1951] $2 edtf 100 1# Wei, Min, $d 1950 or 1951- 046 $f 1533?$g [1592, 1593] $2 edtf 100 1# Ishikawa, Kazumasa, ‡d 1533?-1592 or 1593  Coding conflict dates: 046 $f 1931-11 $v Honda Katsuichi no kenkyū, 1990 046 $f 19320128 $v Nihon choshamei jinmei tenkyoroku, 2002 046 $f19330428 $v Chosakuken daichō, 1985 100 1# Honda, Katsuichi, $d 1933-

16. 15 Form of Variant Access Point (9.19.2)  Make additions to the name, if considered important for identification 100 1# Lee, Chau Min 400 1# Li, Zhaomin $c (Actress) 100 0# Rushuaizheshi 4001# Pan, Yang, $d 1980-  This happens often when updating the record

17. 16 Recording Period of Activity of the Person (9.3.4.3)  Record specific date or range of dates if possible  If not possible, record century or centuries in which the person was active “ 生卒年不詳 ; 1819 尚在世 ; 1777, 拔貢 ” 046 $s 1777 100 Shu, Zhengzhai, $d active 1777 Not 046 $s 17 100 Shu, Zhengzhai, $d active 18th century

18. 17 Updates and Changes : Identifying Corporate Bodies (Chapter 11)

19. 18 Corporate Body categories  Non-government and government types are still there (11.2.2.14, 11.2.2.19)

20. 19 Corporate Name Change : Name Resumed (11.2.2.6 and 32)  MARC field 5XX is used to connect related bodies  All bodies related with 5XX must be separately established  Add qualifiers per 11.13.1 (Place, associated institution, date, etc.)  Change from AACR2 Example: ABC (1943-1953) DEF (1954-1976) ABC (1977- )

21. 20 Conference Names : Ongoing (11.13.1.8)  Separate authority records for collective conference and individual instance may coexist  Earlier/Later names are put in 5XX fields in the NAR for the collective conference  A 667 is used on the collective record when there are also individual records for the conference  Include frequency word in the NAR for conference  Do not re-use the existing collective conference NAR for individual instance

22. 21 Example : Existing AACR2 NAR

23. 22 If You Need the NAR for a Monograph  Create a new NAR

24. 23 If You Need the NAR for a Monograph (continue)  Update the AACR2 NAR

25. 24 When Establishing NAR for a New Conference  Create a NAR either for an individual instance or collective conference, as needed  No need to establish both NARs

26. 25 Variant Form in 4XX Reference (DCM Z1)  Variant form may be used in its entirety as an additional 4XX 110 2# $a Zhongguo yi ke da xue. $b Fu shu di 1 yi yuan 410 2# $a China Medical University, First Affiliated Hospital not 410 2# $a China Medical University. $b First Affiliated Hospital

27. 26 Updates and Changes : Identifying Families (Chapter 10)

28. 27 A Couple of Reminders When Creating Family NAR  Optional addition on using $w coded “r” plus subfield $i with Appendix K term  667 note: SUBJECT USAGE: This heading is not valid for use as a subject; use a family name heading from LCSH.  Family NAR is for specific family in a specific place and a specific period of time, unlike subject family name

29. 28 Family NAR (continue)  Possibility on multiple NARs for same family name (because of how $g is defined currently)

30. 29 Updates and Changes : Identifying Works/Expressions (Chapter 6)

31. 30 Collaboration by More Than 3 Creators (6.27.1.3)  Enter under the authorized access point for the entity with principal responsibility  More NARs Arŭmdaun hyanggi / $c Kong Sŏn-ok, Ma Chong-gi, Min Pyŏng-suk, Pak Pŏm-sin, Pak Wan-sŏ, An Yŏng, Yu Hong-jong. 아름다운 향기 / $c 공 선옥, 마 종기, 민 병숙, 박 범신, 박 완서, 안 영, 유 홍종.

32. 31 Additions to “Works” (6.27.1.9)  Differentiating all works (serials, monographs, and integrating resources)  Not necessarily result in new NARs 130 0# History of Macroeconomics (2001) 245 00 History of Macroeconomics

33. 32 “Works” with Date in A2 Records  LC practice: Do not add date of expression to conventional collective title under “Works” and “Works. Selections” unless it is needed for breaking conflict  Existing NARs with date are not wrong or invalid  May optionally add date to the new NAR if the work in hand has a different date than the one in the existing NAR  This is an update since RDA Test period

34. 33 NARs for Analytic and Related Work or Expression  Do these NARs need to be established?  The answer is: No. 245 00 Japan’s biodiversity /$c X, Y, and Z. 505 0# Biodiversity / X – Wild birds / Y – Forest fire / Z. 700 12 X. $t Biodiversity. 700 12 Y. $t Wild birds. 700 12 Z. $t Forest fire.

35. 34 Identifying Expressions: PCC vs. LC Practice  Conform to LC-PCC PS 6.27.3  Cataloger’s judgment to optionally further differentiate  Apply only when all expressions of the NAR represent at the same level of differentiation: 046 336 (do not record in NAR, CORE in BIB) 377 (not really a problem) 381

36. 35 Translation of a Translation of an Original  English translated from the Chinese version of a text originally in Sanskrit 100 1# Creator. $t Title in original Sanskrit. $l English 400 1# Creator. $t Title in English 430 #0 Title in English  Do not add Chinese translation title in 4XX

37. 36 Order of Subfield $k & Subfield $l  Novels. $k Selections. $l English  Works. $k Selections. $l English  This was a change from AACR2

38. 37 NAR with “&” and “Polyglot”  When working with existing AACR2 NAR Create expression NAR for each needed language if not already existing Establish as many NARs as languages Cancel the old AACR2 NAR, and do not re-use the LCCN If cannot determine all languages, do not cancel the old NAR

39. 38 Updates and Changes : Common Areas

40. 39 MARC Field 040 : Position of “$e rda” in NARs  $b eng $e rda $c cataloging agency 040 ## $a DLC $b eng $e rda $c DLC $d DLC  Use OCLC template

41. 40 368 Other Attributes of Person or Corporate Body  $a - Type of corporate body 368 $a Conference  $b Type of jurisdiction 368 $b County  $c Other designation 368 $c Spirit 368 $c Saint

42. 41 370 Associated Place  Use the established form of the place name as found in the LC/NAF, with the same adjustments as when using the place name as a qualifier for names Form of name in NAF: 151 $a Taizhou (Jiangsu Sheng, China) Form of name in 370: 370 $a Taizhou, Jiangsu Sheng, China Form of name in NAF: 151 $a Osaka (Japan : Prefecture) Form of name in 370: 370 $a Osaka, Japan Similarly, 370 $a Korea not: 370 $a Korea (South)

43. 42 370 Associated Place  Use the 151 form exactly as represented in the subject authority record if not from LCNAF Geographic name in LCSH: 151 ## $a Hisaka Island (Japan) Form of name in 370: 370 ## $a Hisaka Island (Japan) $2 lcsh  370 use place name during the time the person was associated  370 $f for “XXXX 人,” “ 原 / 祖籍 …” e.g., “ 浙江宁波人 ”

44. 43 371 Address  Do not record physical addresses for living people  If recorded, at the minimum subfield $m (Electronic mail address) or subfield $b (City) for OCLC program validation purpose  Justify at end of 371 field or in 670 field

45. 44 372 Field of Activity, 373 Associated Group, and 374 Profession or Occupation  Prefer controlled vocabulary but not a must as far as the policy goes now  Repeat the MARC field when needed for clarity

46. 45 372 and 374 Examples  Geographic name in LCSH: 151 ## $a Southeast Asia $x Foreign relations $z China Form in 372: 372 ## $a Southeast Asia--Foreign relations--China $2 lcsh  Topical term in LCSH: 150 Korean language $x Foreign words and phrases Form in 372: 372 ## $a Korean language--Foreign words and phrases $2 lcsh

47. 46 373 Associated Group  For personal names, prefer a controlled vocabulary  For corporate/conference names, follow RDA 11.5 110 Waseda Daigaku. $b Kokusai Gengo Bunka Kenkyūjo 373 Waseda Daigaku. Kokusai Gengo Bunka Kenkyūjo $2 naf 110 Yurŏp Munhwa Chŏngbo Sent’ŏ (Yŏnse Taehakkyo) 373 Yurŏp Munhwa Chŏngbo Sent’ŏ (Yŏnse Taehakkyo) $2 naf

48. 47 Order of Subfield $2  Best practice: put subfield $2 after the last element to which it applies 372 $a Biotechnology $a Genetic engineering $2 lcsh $s 2008 not: 372 $a Biotechnology $a Genetic engineering $s 2008 $2 lcsh

49. 48 Subfield $v : Structure and Usage  Follow the basic citation principles apply to 670 subfield $a (Source citation)  Used to justify 046, 3XX  No need to cite usage information if it is the same on the source  Subfield $v precedes $u if $u is used

50. 49 Subfield $v : Examples Generally, if all apply, it would be in this order: $2 $s $t $v $u.

51. 50 Subfield $v : Examples

52. 51 “Code $w/0 “r” and Subfield $i ”  Use of subfield $w/0 “r” and subfield $i is optional  Must be used in conjunction with subfield $i  When using subfield $i capitalize the first letter of the term and add a colon before subfield $a  Do not use $w/0 “r” and subfield $i in 4XXs  Use $w/0 “r” and subfield $i only in 5XXs

53. 52 LC Policy : Code “r” and Subfield $i  LC cataloger may use $i to provide relationship except for pseudonymous relationships (more than two) Corporate name earlier/later relationships  Reciprocal 5XXs may not be needed for all relationships (except for pseudonyms) NACO catalogers may use subfield $i to provide relationship information

54. 53 Code “r” and Subfield $i : Examples

55. 54 Code “r” and Subfield $i : Examples

56. 55 Variant Access Point (8.3)  Not core  Cataloger’s judgment  Give variant access points where it’s useful

57. 56 Variant Access Point (continue)

58. 57 What Machine Has Done to LC/NACO Authority File  Changes needed in LC/NACO Authority File for RDA http://www.loc.gov/aba/rda/pdf/lcnaf_rdaphase.pdf  Phase 1: headings (app. 400,000) that cannot be used under RDA and could not be made so through machine manipulation had a 667 note added: THIS 1XX FIELD CANNOT BE USED UNDER RDA UNTIL THIS RECORD HAS BEEN REVIEWED AND/OR UPDATED.  Phase 2: change and recode records (app. 400,000) that could be made RDA compatible by machine

59. 58 The Three Categories  The result for the three types of authority records in the LCNAF Those explicitly coded RDA Those that are not RDA compliant with the above 667 note added Authority records that are already “acceptable for use” under RDA (over 95%; 7.6 million)

60. 59 RDA Authorities March 31, 2013 and Beyond  What PCC will do? What LC will do?  All newly-created authority records will be coded RDA  Access points in newly-created RDA bibliographic records or pre-RDA records that are recoded as RDA must be supported by RDA acceptable authority records  PCC catalogers are strongly encouraged to evaluate and recode the RDA acceptable headings to RDA. If an RDA acceptable authority record is being updated for another reason, the record must be evaluated and recoded to RDA  LC is considering recoding all AACR2 records to RDA when used in bibliographic records (final decision pending)

61. 60 What Do We Need to Do  Here are some examples of the evaluation and re- coding process RDA Acceptable NAR NAR with 667 note which may or may not require 1xx change NAR is obsolete under RDA which requires creation of NAR(s)  Optionally, new fields may be added to the record at the time of evaluation and re-coding add $b eng if not there

62. 61 Example 1 : RDA Acceptable NAR

63. 62 Example 1 : Evaluation Process 1) Evaluation: Is there 667 note? Is it RDA acceptable? Test for RDA-acceptability: 9.2.1.3, 9.3.1.3 2) Re-coding: Change FF Rules from “c” to “z” Add 040 $e rda, and $d Modifying Agency if appropriate Do we need to code 4XX $w nnea? 3) Optionally add: 046 – Date 370 – Associated Place 374 – Profession or Occupation 375 - Gender 377 – Language add $b eng if not there

64. 63 Example 1 : Recoded RDA Acceptable NAR

65. 64 Example 2a : With 667 Note (AACR2 NAR)

66. 65 Example 2a : Evaluation Process 1) Evaluation: Is there 667 note? If conference, 670 usage(s): is there a frequency word? Is conference ongoing? Test for RDA-acceptability: RDA 11.13.1.1, 11.13.1.8 2) Re-coding: Change FF Rules from “c” to “z” Add 040 $e rda, and $d Modifying Agency if appropriate Remove 667 field Add 667 per LC-PCC PS 11.13.1.8 Do we need to code 4XX $w nnea? 3) Optionally add: 368 – Other name attribute 372 – Field of Activity 377 – Language add $b eng if not there

67. 66 Example 2a : Recoded RDA NAR

68. 67 Example 2a : New RDA NAR (Individual Instance) Qualifiers added to the individual instance.

69. 68 Example 2b : With 667 Note (AACR2 NAR)

70. 69 Example 2b : Evaluation Process 1) Evaluation: Is there 667 note? If conference, 670 usage(s): is there a frequency word? Is conference ongoing? Test for RDA-acceptability: 11.13.1.1, 11.13.1.8 2) Re-coding: In this example, “annual” is already in the name Change FF Rules from “c” to “z” Add 040 $e rda, and $d Modifying Agency if appropriate Remove 667 field Add 667 per LC-PCC PS 11.13.1.8 3) Optionally add: 368 – Other name attribute 372 – Field of Activity 377 – Language add $b eng if not there

71. 70 Example 2b : Recoded RDA NAR

72. 71 Example 2b : New RDA NAR (Individual Instance) Qualifiers added to the individual instance.

73. 72 Example 3a : With 667 Note (AACR2 NAR)

74. 73 Example 3a : Evaluation Process 1) Evaluation: Is there 667 note? What type of NAR does it represent? Test for RDA-acceptability: 6.27.3 Do we have all languages in separate NARs? 2) Re-coding: Create substitute NAR for each needed language if it is not already existing Delete the Polyglot NAR and track its LCCN in $z of the NARs representing individual language Do not re-use LCCN Do not delete the Polyglot record if you can’t determine all the languages

75. 74 Example 3a : New RDA NARs (Individual language) Report NAR cancellation and BFM.

76. 75 Example 3b : With 667 Note (AACR2 NAR)

77. 76 Example 3b : New RDA NAR (Individual language) Report NAR cancellation and BFM.

78. 77 A few Gentle Reminders

79. 78 Recoding a Former AACR2 Heading  Make a see reference for the old valid form of heading, with $w nnea, unless the reference itself is a valid RDA variant access point, in which case use $w nne. In case of doubt, use $w nnea

80. 79 Recoding a Former AACR2 Heading  Do not change 1XX fields for any AACR2 headings that fall into one of the Phase Two conversion categories, while the Phase Two changes are taking place  To see which 1XX categories are a part of the Phase Two changes, please see: http://www.loc.gov/aba/rda/pdf/lcnaf_rdapha se.pdf

81. 80 Do not Change 1xx Form  Unless there is a clear error in a 1XX, leave the 1XX alone to minimize the amount of bibliographic file maintenance in library catalogs  The scope of 1XX "errors" is wider now because of RDA instructions, but the basic NACO Program guideline to avoid 1XX changes if at all possible remains the same  May optionally add 046 and 3xx fields

82. 81 Do Not Create Hybrid Record  If the base heading is an AACR2 heading, update and recode the heading for RDA use, before creating an authorized access point under RDA for the extended RDA authorized access point (name/title heading or an entity containing corporate hierarchy)

83. 82 PCC Documents on Name Authorities  PCC website: MARC 21 encoding to accommodate new RDA elements 046 and 3XX in NARs and SARs http://www.loc.gov/aba/pcc/rda/RDA%20Inter im%20Policies%20and%20Best%20Practices. html  MARC21 Authority Format  DCM Z1

84. 83 Stay Tuned …  Next Toolkit update - there will be a more elements can be added to persons  PCC Task Group Reports will have more definite outcomes at the end of March

85. 84 Quick Quiz : Coding Former 100 Field Shu, Menglan, $d fl. 1796-1820 Q: But I have the exact date, may I change the heading with the exact dates? What should I do with the existing 100 field? A: 100 1# Shu, Menglan, $d 1757-1835 400 1 Shu, Menglan, $d fl. 1796-1820 $w nnea

86. 85 Quick Quiz : Update 100 field? The heading was Lü, Shihao $c (Researcher) Q: I have the birthdate. The policy is to not change the heading by adding the date when recoding RDA. But wouldn’t Lü, Shihao, $d 1971- be more helpful than Lü, Shihao $c (Researcher)? A: Add the birthday info. in the 670 field and do not change 100 field. Add the date to 046 field in addition to the 670.

87. 86 Quick Quiz  The record looks good. But is there anything wrong?

88. 87 Quick Quiz : Relationship Designators Q. Can $e be used in the authorized access point as relationship designator? A. Nope.

89. 88 Put Theory into Practice  Now let’s start the group practice on CJK examples!