CJK Authorities in RDA
Council on East Asian Libraries Annual Meeting
March 19, 2013
Jessalyn Zoom
Library of Congress
1
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
2
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
3
Pop Quiz : RDA Vocabularies



AACR2 Heading
RDA: ???
AACR2 Cross Reference
RDA: ???
AACR2 See Also Reference
RDA: ???
4
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?
5
Pop Quiz : RDA Vocabularies
(continue)

You passed!
6
Updates and Changes : Identifying
Persons (Chapter 9)
7
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
8
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)
9
$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 (大师）” when considered as a respectful
address but not a religious rank, “da shi” can be used in $c to
break a conflict.
10
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
11
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
12
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
13
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 1951046 $f 1533?$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 193314
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
15
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
16
Updates and Changes : Identifying
Corporate Bodies (Chapter 11)
17
Corporate Body categories

Non-government and government types are
still there (11.2.2.14, 11.2.2.19)
18
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- )
19
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
20
Example : Existing AACR2 NAR
21
If You Need the NAR for a Monograph

Create a new NAR
22
If You Need the NAR for a Monograph
(continue)

Update the AACR2 NAR
23
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
24
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
25
Updates and Changes :
Identifying Families (Chapter 10)
26
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
27
Family NAR (continue)
Possibility on multiple NARs for same family name
(because of how $g is defined currently)

28
Updates and Changes : Identifying
Works/Expressions (Chapter 6)
29
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 / $c 공 선옥, 마 종기, 민 병숙, 박 범신,
박 완서, 안 영, 유 홍종.
30
Additions to “Works” (6.27.1.9)


Differentiating all works (serials,
monographs, and integrating resources)
Not necessarily result in new NARs
130 0# History of Macroeconomics (2001)
245 00 History of Macroeconomics
31
“Works” with Date in A2 Records




LC practice: Do not add date of expression to
conventional collective title under “Works” and
“Works. Selections” unless it is needed for breaking
conflict
Existing NARs with date are not wrong or invalid
May optionally add date to the new NAR if the work
in hand has a different date than the one in the
existing NAR
This is an update since RDA Test period
32
NARs for Analytic and Related Work or
Expression


Do these NARs need to be established?
The answer is: No.
245 00 Japan’s biodiversity /$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.
33
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
34
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
35
Order of Subfield $k & Subfield $l

Novels. $k Selections. $l English
Works. $k Selections. $l English

This was a change from AACR2

36
NAR with “&” and “Polyglot”

When working with existing AACR2 NAR




Create expression NAR for each needed language
if not already existing
Establish as many NARs as languages
Cancel the old AACR2 NAR, and do not re-use the
LCCN
If cannot determine all languages, do not cancel
the old NAR
37
Updates and Changes :
Common Areas
38
MARC Field 040 : Position of “$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
39
368 Other Attributes of Person or
Corporate Body

$a - Type of corporate body


$b Type of jurisdiction


368 $a Conference
368 $b County
$c Other designation


368 $c Spirit
368 $c Saint
40
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)
41
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”
42
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
43
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
44
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

45
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
46
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
47
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
48
Subfield $v : Examples
Generally, if all apply, it would be in this order: $2 $s $t $v $u.
49
Subfield $v : Examples
50
“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
51
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
52
Code “r” and Subfield $i : Examples
53
Code “r” and Subfield $i : Examples
54
Variant Access Point (8.3)



Not core
Cataloger’s judgment
Give variant access points where it’s useful
55
Variant Access Point (continue)
56
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

57
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)
58
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)


59
What Do We Need to Do

Here are some examples of the evaluation and recoding 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
60
Example 1 : RDA Acceptable NAR
61
Example 1 : Evaluation Process
•
1) Evaluation:
•
•
•
2) Re-coding:
•
•
•
•
Is there 667 note? Is it RDA acceptable?
Test for RDA-acceptability: 9.2.1.3, 9.3.1.3
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
Example 1 : Recoded RDA Acceptable NAR
63
Example 2a : With 667 Note (AACR2 NAR)
64
Example 2a : Evaluation Process
•
1) Evaluation:
•
•
•
•
•
2) Re-coding:
•
•
•
•
•
•
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
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
65
Example 2a : Recoded RDA NAR
66
Example 2a : New RDA NAR (Individual Instance)
Qualifiers added to the individual instance.
67
Example 2b : With 667 Note (AACR2 NAR)
68
Example 2b : Evaluation Process
•
1) Evaluation:
•
•
•
•
•
2) Re-coding:
•
•
•
•
•
•
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
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
Example 2b : Recoded RDA NAR
70
Example 2b : New RDA NAR (Individual Instance)
Qualifiers added to the individual instance.
71
Example 3a : With 667 Note (AACR2 NAR)
72
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
73
Example 3a : New RDA NARs (Individual language)
Report NAR cancellation and BFM.
74
Example 3b : With 667 Note (AACR2 NAR)
75
Example 3b : New RDA NAR (Individual language)
Report NAR cancellation and BFM.
76
A few Gentle Reminders
77
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
78
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

79
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
80
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)
81
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

82
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
83
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
84
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.
85
Quick Quiz

The record looks good. But is there anything
wrong?
86
Quick Quiz : Relationship Designators
Q. Can $e be used in the authorized access
point as relationship designator?
A.
Nope.
87
Put Theory into Practice

Now let’s start the group practice on CJK
examples!
88