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CJK Authorities in RDA

Council on East Asian Libraries Annual MeetingMarch 19, 2013

Jessalyn Zoom Library of Congress

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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

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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

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Pop Quiz : RDA Vocabularies

AACR2 HeadingRDA: ???

AACR2 Cross ReferenceRDA: ???

AACR2 See Also ReferenceRDA: ???

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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?

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Pop Quiz : RDA Vocabularies (continue)

You passed!

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Updates and Changes : Identifying Persons (Chapter 9)

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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

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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)

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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)

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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, Chong-jin $c (Political scientist)

What about: Hong, In-suk $c (Artist), $d 1973-

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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

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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

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Dates in 100 Field and 046 Field (9.3.1.3)

Span of dates:

046 $f [1950,1951] $2 edtf100 1# Wei, Min, $d 1950 or 1951-

046 $f 1533?$g [1592, 1593] $2 edtf100 1# Ishikawa, Kazumasa, ‡d 1533?-1592 or 1593

Coding conflict dates:

046 $f 1931-11 $v Honda Katsuichi no kenkyu, 1990046 $f 19320128 $v Nihon choshamei jinmei tenkyoroku, 2002046 $f19330428 $v Chosakuken daichō, 1985100 1# Honda, Katsuichi, $d 1933-

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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# Rushuaizheshi4001# Pan, Yang, $d 1980-

This happens often when updating the record

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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 1777100 Shu, Zhengzhai, $d active 1777

Not

046 $s 17100 Shu, Zhengzhai, $d active 18th century

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Updates and Changes : Identifying Corporate Bodies (Chapter 11)

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Corporate Body categories

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

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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- )

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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

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Example : Existing AACR2 NAR

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If You Need the NAR for a Monograph

Create a new NAR

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If You Need the NAR for a Monograph (continue)

Update the AACR2 NAR

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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

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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 yuan410 2# $a China Medical University, First Affiliated Hospitalnot410 2# $a China Medical University. $b First Affiliated Hospital

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Updates and Changes : Identifying Families (Chapter 10)

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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

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Family NAR (continue)

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

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

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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 Son-ok, Ma Chong-gi, Min Pyong-suk, Pak Pom-sin, Pak Wan-so, An Yong, Yu Hong-jong.

아름다운 향기 / $c 공 선옥 , 마 종기 , 민 병숙 , 박 범신 , 박 완서 , 안 영 , 유 홍종 .

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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

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“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

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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.

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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

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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 English400 1# Creator. $t Title in English430 #0 Title in English

Do not add Chinese translation title in 4XX

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Order of Subfield $k & Subfield $l

Novels. $k Selections. $l English Works. $k Selections. $l English

This was a change from AACR2

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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

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Updates and Changes : Common Areas

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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

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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

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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)

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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”

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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

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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

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372 and 374 Examples Geographic name in LCSH: 151 ## $a Southeast Asia $x Foreign relations $z ChinaForm in 372: 372 ## $a Southeast Asia--Foreign relations--China $2 lcsh

Topical term in LCSH:150 Korean language $x Foreign words and phrasesForm in 372: 372 ## $a Korean language--Foreign words and phrases $2

lcsh

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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 Kenkyujo373 Waseda Daigaku. Kokusai Gengo Bunka Kenkyujo $2 naf

110 Yurop Munhwa Chongbo Sent’o (Yonse Taehakkyo)373 Yurop Munhwa Chongbo Sent’o (Yonse Taehakkyo) $2 naf

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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

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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

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Subfield $v : Examples

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

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Subfield $v : Examples

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“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

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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

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Code “r” and Subfield $i : Examples

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Code “r” and Subfield $i : Examples

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Variant Access Point (8.3)

Not core Cataloger’s judgment Give variant access points where it’s useful

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Variant Access Point (continue)

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What Machine Has Done to LC/NACO Authority File

Changes needed in LC/NACO Authority File for RDAhttp://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

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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)

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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)

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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

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Example 1 : RDA Acceptable NAR

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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

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Example 1 : Recoded RDA Acceptable NAR

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Example 2a : With 667 Note (AACR2 NAR)

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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

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Example 2a : Recoded RDA NAR

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Example 2a : New RDA NAR (Individual Instance)

Qualifiers added to the individual instance.

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Example 2b : With 667 Note (AACR2 NAR)

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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

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Example 2b : Recoded RDA NAR

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Example 2b : New RDA NAR (Individual Instance)

Qualifiers added to the individual instance.

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Example 3a : With 667 Note (AACR2 NAR)

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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

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Example 3a : New RDA NARs (Individual language)

Report NAR cancellation and BFM.

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Example 3b : With 667 Note (AACR2 NAR)

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Example 3b : New RDA NAR (Individual language)

Report NAR cancellation and BFM.

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A few Gentle Reminders

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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

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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

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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

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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)

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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%20Interim%20Policies%20and%20Best%20Practices.html

MARC21 Authority Format DCM Z1

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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

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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 1757-1835400 1 Shu, Menglan, $d fl. 1796-1820 $w nnea

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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.

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Quick Quiz The record looks good. But is there anything

wrong?

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Quick Quiz : Relationship Designators

Q. Can $e be used in the authorized access point as relationship designator?

A. Nope.

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Put Theory into Practice

Now let’s start the group practice on CJK examples!