CJK Authorities in RDA

1
CJK Authorities in RDA

• Council on East Asian Libraries Annual Meeting
• March 19, 2013
• Jessalyn Zoom
• Library of Congress

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

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

4
Pop Quiz RDA Vocabularies

• AACR2 Heading
• RDA ???
• AACR2 Cross Reference
• RDA ???
• AACR2 See Also Reference
• RDA ???

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?

6
Pop Quiz RDA Vocabularies (continue)

• You passed!

7
Updates and Changes Identifying Persons
(Chapter 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

9
Undifferentiated NARs in RDA

• Apply one of the following RDA instructions,
  based on catalogers 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)

10
c Allowed and Expanded for Use in 100 Field
(coming soon)

• 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 (??) when considered as a
  respectful address but not a religious rank, da
  shi can be used in c to break a conflict.

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, Shoji c (Physician)
• Pak, Cho?ng-jin c (Political scientist)
• What about
• Hong, In-suk c (Artist), d 1973-

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

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

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 kenkyu,
  1990
• 046 f 19320128 v Nihon choshamei jinmei
  tenkyoroku, 2002
• 046 f19330428 v Chosakuken daicho, 1985
• 100 1 Honda, Katsuichi, d 1933-

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

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
• ????? 1819 ??? 1777, ??
• 046 s 1777
• 100 Shu, Zhengzhai, d active 1777
• Not
• 046 s 17
• 100 Shu, Zhengzhai, d active 18th century

17
Updates and Changes Identifying Corporate
Bodies (Chapter 11)
18
Corporate Body categories

• Non-government and government types are still
  there (11.2.2.14, 11.2.2.19)

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- )

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

21
Example Existing AACR2 NAR
22
If You Need the NAR for a Monograph

• Create a new NAR

23
If You Need the NAR for a Monograph (continue)

• Update the AACR2 NAR

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

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

26
Updates and Changes Identifying Families
(Chapter 10)
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

28
Family NAR (continue)

• Possibility on multiple NARs for same family
  name (because of how g is defined currently)

29
Updates and Changes Identifying
Works/Expressions (Chapter 6)
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
• Arumdaun hyanggi / c Kong Son-ok, Ma Chong-gi,
  Min Pyong-suk, Pak Pom-sin, Pak Wan-so, An Yong,
  Yu Hong-jong.
• ???? ?? / c ? ??, ? ??, ? ??, ? ??, ? ??, ? ?, ?
  ??.

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

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

33
NARs for Analytic and Related Work or Expression

• Do these NARs need to be established?
• The answer is No.
• 245 00 Japans 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.

34
Identifying Expressions PCC vs. LC Practice

• Conform to LC-PCC PS 6.27.3
• Catalogers 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

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

36
Order of Subfield k Subfield l

• Novels. k Selections. l English
• Works. k Selections. l English
• This was a change from AACR2

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

38
Updates and Changes Common Areas
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

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

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)

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 ?, ?/??
• e.g., ?????

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

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

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

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
  Kenkyujo
• 373 Waseda Daigaku. Kokusai Gengo Bunka Kenkyujo
  2 naf
• 110 Yurop Munhwa Chongbo Sento (Yonse Taehakkyo)
• 373 Yurop Munhwa Chongbo Sento (Yonse Taehakkyo)
  2 naf

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

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

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

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

53
Code r and Subfield i Examples
53
54
Code r and Subfield i Examples
54
55
Variant Access Point (8.3)

• Not core
• Catalogers judgment
• Give variant access points where its useful

56
Variant Access Point (continue)
56
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

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)

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)

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

61
Example 1 RDA Acceptable NAR
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

62
63
Example 1 Recoded RDA Acceptable NAR
63
64
Example 2a With 667 Note (AACR2 NAR)
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

66
Example 2a Recoded RDA NAR
66
67
Example 2a New RDA NAR (Individual Instance)
Qualifiers added to the individual instance.
67
68
Example 2b With 667 Note (AACR2 NAR)
68
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

69
70
Example 2b Recoded RDA NAR
70
71
Example 2b New RDA NAR (Individual Instance)
Qualifiers added to the individual instance.
71
72
Example 3a With 667 Note (AACR2 NAR)
72
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 cant
  determine all the languages

73
74
Example 3a New RDA NARs (Individual language)
Report NAR cancellation and BFM.
74
75
Example 3b With 667 Note (AACR2 NAR)
75
76
Example 3b New RDA NAR (Individual language)
Report NAR cancellation and BFM.
76
77
A few Gentle Reminders
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

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_rdaphase.pdf

79
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

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)

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/RDA20Interim20Pol
  icies20and20Best20Practices.html
• MARC21 Authority Format
• DCM Z1

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

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

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 wouldnt 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.

86
Quick Quiz

• The record looks good. But is there anything
  wrong?

86
87
Quick Quiz Relationship Designators

• Q. Can e be used in the authorized access point
  as relationship designator?
• A.
• Nope.

88
Put Theory into Practice

• Now lets start the group practice on CJK
  examples!