NACO Updates Since April 2018

1. NACO Updates Since April 2018 2019 CEAL Cataloging Workshop, March 19, 2019 Shi Deng, UC San Diego Library Jessalyn Zoom, Library of Congress Hideyuki Morimoto, Columbia University

2. Documentation covered: • PCC Guidelines for the Application of Relationship Designators in NACO Authority Records (November 2018) • Descriptive Cataloging Manual Section Z1 and LC Guidelines Supplement (August & October 2018, February 2019) • 024 (Other Standard Identifier) data in NACO records: Temporary moratorium (September 2018) • 046 & Revised EDTF specification (October 2018) • 053 & Library of Congress Discontinues NACO Literary Author Number Program (July 2018) • OCLC-MARC Format Update 2018 (September 2018) • Other Updates: Library and Archives Canada (LAC) and NACO • Other Updates: NACO functionality coming to Record Manager • RDA & LC-PCC PS (No update)

3. RD in NACO Authority Records: Best Practice • Use of relationship designators to record a relationship • Best Practices: • Include a RD whenever a relationship has been recorded in a MARC authority 5XX field, if an appropriate designator is available in RDA appendices • Entity in MARC 5XX field has to be formally established in LCNAF • Some attributes for entities have a similar nature to relationship designators. These attributes may be recorded in the 3XX fields of the authority record, or may be recorded in notes, source citations, etc. • Reciprocal relationships generally not required • Encouraged but not required to update RDs that have changed • Do not apply to subject authority records

4. RD in NACO Authority Records: General Guidelines • Use the training manual • Source of RD: RDA Appendices only • RD in MARC authority records: • Only used in 5XX field: $w r $i [RD]: $a … 500 1_ $w r $i Translator: $a Abascal, JesúsMaría • Do not interpose within authorized access point: 500 1_ $w r $iDramatized as (work): $a Asher, Sandy, $e author. $t Emma • Relationships that change over time: present tense, retain recorded changes even if no longer apply • Specificity: use the most specific RD, e.g. Chief executive of vs. Officer of • Multiple relationships with the same entity: use separate 5XX

5. RD in NACO Authority Records: General guidelines • Relationship that is unclear: use simple see-also, and 667 note indicates research had been done to determine the nature of relationship 100 1_ Skidmore, Owings & Merrill 510 2_ Crosstown Associates 667 Unable to determine nature of relationship with Crosstown Associates, n 87113575. • Relationship that cannot be described using a RD: simple see-also, 678, and/or 667 note 100 1_ Wiggin, Ender $c (Fictitious character) 500 1_ Card, Orson Scott 678 0_ Ender Wiggin is the principal character in several novels and stories by Orson Scott Card, whose brilliant military strategy saves the human race from the attack of an alien race called the Formics.

6. RD in NACO Authority Records: Reciprocal Relationship • General guidelines: Reciprocal relationship links seldom required. • Encouraged if few NARs involved, e.g. corporate body and its founder(s) • Avoid if potentially large number of NARs to be related, e.g. party and its members; author and his/her works • Real and alternate identities • See DCM Z1 500 section, for instructions when only two name authority records are involved. • See DCM Z1 663 section, when more than two name authority records are involved. • See also the FAQ - LC/PCC RDA Practice for Creating NARs for Persons Who Use Pseudonyms for treatment of the reciprocals.

7. RD in NACO Authority Records: Special Cases • Corporate Bodies: Sequential relationships with immediately preceding and immediately succeeding corporate bodies. LC-PCC core. See LC-PCC PS 32.1. • Former practice of using subfield $w values “a” (earlier name) or “b” (later name) has been discontinued, instead, use relationship designators in $i and $w with value “r.” • Predecessor  Successor • Product of split  Predecessor of split • Product of merger  Component of merger • Note: Subfield $w values “a” and “b” do not always equate to “predecessor” and “successor.” Do not change “a” and “b” if the relationship cannot be determined or expressed with an existing relationship designator. • Also see Guideline 7 & 9 as well as LC-PCC PS for 32.1.1.3 and DCM Z1 4XX for instruction addressing various situations. Please read the RD guidelines.

8. RD in NACO Authority Records: Special Cases • Corporate Bodies: Hierarchical Relationships for Related Corporate Bodies • Strongly encouraged to record and use RD “Hierarchical superior”, whenever immediate superior body is known, to record its relationship to the subordinate corporate body. • Apply the guideline when the information is readily accessible and clear • Do not record the relationship using 5XX field • In case of doubt, or • the immediate superior body has not been established, and it is not feasible to establish it • When known, however, the relationship should always be recorded in a 670 field. • In general, do not record reciprocal “Hierarchical subordinate” relationships in the LC/NACO authority record for the superior body. 

9. RD in NACO Authority Records: Special Cases • Place: Chronological Relationships: Sequential relationships with immediately preceding and immediately succeeding places. LC-PCC core. See LC-PCC PS 16.2.2.7 and 32.1.1.3 • See DCM Z1 551 section on using MARC $w a and $w b codes to show chronological relationships between places   • See LC-PCC PS for 32.1.1.3 earlier Name Resumed, B. Place Names when a place resumes an earlier name. • Family relationships • Work and expression relationships • Related W/E to agents: optional in NAR, if more than one creator, use separate 5XX for each • Related W/E to other W/E: • For sequential relationships between two series, always record the reciprocal relationship in the corresponding record. • Multiple Entities and Relationships in one Name Authority Record, use separate 5XX for each

10. RD in NACO Authority Records: Subject & Appendix • Subject relationship: • May use RD in RDA Appendix M.2.2-M.2.2.3 to record subject relationships between works or between a work and expression • Currently, subject relationships may be recorded in NACO records only between entities established in the LC/NACO Authority File • Do not record relationships to terms in other thesauri such as LCSH or LCGFT. Appendix: • contains proposed guidelines and practices that were in the original training manual but have been deferred for implementation (as of November 2018).

11. DCM Z1 and LC Guidelines supplement: 024 • DCM Z1 024 (August 2018) added instruction with examples for recording standard identifiers • However, 024 (Other Standard Identifier) data in NACO records: Temporary moratorium was issued on September 13, 2018 on PCCLIST • Anticipating change after the approval of Proposal No. 2019-03: Defining Subfields $0 and $1 to Capture URIs in Field 024 of the MARC 21 Authority Format, the 024 field will be used in a much different way and legacy data in 024 will become “inactionable” for linked data use • Refrain from adding new 024 fields or editing existing 024 fields • Program for Cooperative Cataloging. Cataloging Task Group on URIs in MARC.  "Formulating and obtaining URIs : a guide to commonly used vocabularies and reference sources."  Just released March 4, 2019.

12. DCM Z1 and LC Guidelines supplement: 046 • DCM Z1 and LC Guideline on 046 (August 2018) • Do not use $q (establishment date) and $r (termination date) yet until further notice; • $q, $r, $s, $t can’t be used as defined in MARC21 Authority yet • See data table in LC-PCC 9.3.1.3 • Revised EDTF specification based on revised ISO 8601 available in October 2018: http://www.loc.gov/standards/datetime/edtf.html • Changes mostly related to uncertain and approximate date listed under the section “Differences” at the beginning • The unspecified date character (formerly lower case “u”) is superseded by the character (Upper case) “X”: e.g. 197u  197X –for 1970s • Add a new qualification of a date: “%” for Uncertain & approximate, can be used in combination with “?” (uncertain) and “~” (approximate) • 2016-06-11% –entire date uncertain and approximate • 2004-%06-11 –month uncertain and approximate; year and day known • Check the revised EDTF specification for more and detailed instruction

13. DCM Z1 and LC Guidelines supplement: 053 • DCM Z1 053 was updated (August 2018) after the announcement • Library of Congress Discontinues NACO Literary Author Number ProgramJuly 2018 • No more submission of 053 Proposal Form • NACO libraries can add locally assigned literary author number if eligible • 053 #4 $a [number] $5 [MARC organization code] • Example: 053 #4 $a PS3561.E99995 $5 NNC • Later LC comes along, • If agree with assigned number, LC will change 053 #4 to 053 #0, • If not agree, LC will add an additional 053 field with LC number, retain the previously assigned by the NACO library • LC assigned/verified class number will precede 053 assigned by NACO libraries • NACO libraries can also add “LC-verified” class number with 2nd indicator “0” if it has been assigned in a completed LC bibliographic record before being added to the NAR (LC database or OCLC record by LC (040 DLC and 05000)) • 053 #0 $a PS3557.I55

14. DCM Z1 and LC Guidelines supplement: 053 (2) Eligible for inclusion: PA-PT • Single Number: • 053 #0 $a PQ1979 • Span of numbers: • 053 #0 $a PS3200 $b PS3248 • Single cutter number • 053 #0 $a PS3557.I55 • Defined span of cutter numbers • 053 #0 $a PG7157.B24 $b PG7157.B242 Not eligible for inclusion: • Authors who are classified using successive cutter numbers: • 100 1# $a Zahir, Ismail Raushan • PR9680.M25A‐Z • Author of books for children that are classified in PZ • 100 1# $a Berenstain, Stan, $d 1923‐2005 • Authors who are on an undifferentiated name record

15. DCM Z1 and LC Guidelines supplement: 053 (3) • Four conditions are still required for NACO Library to make editorial proposals to include author numbers in P schedule: • Literary authors whose name has changed significantly due to changes in cataloging rules, marital status, etc. • Literary authors born before 1925 • Literary authors who have pseudonyms, regardless of date of birth • Literary authors who have joint pseudonyms, regardless of date of birth • See CSM F 632 sec. 3 for more information. http://www.loc.gov/aba/publications/FreeCSM/F632.pdf

16. DCM Z1 and LC Guidelines supplement: 090 • LC Guidelines (Feb. 2019) on NACO records • Consult LC’s Cooperative Program Sections before using field 090 • Allow NACO libraries to delete 090 and replace it with field 050 with second indicator “4.” • 090 was pre January 1999 practice for this field was used for a LC call number not assigned by LC

17. DCM Z1 and LC Guidelines supplement: 100 • DCM Z1 100 (October 2018) added subfield instruction for families • There is no prescribed MARC order for the subfields beyond subfield $a in the X00 fields. When providing multiple additions to the name generally follow these guidelines: • Additions to the name are contained in a single set of parentheses separated by colons. • The term for the type of family is added after the name and is contained in subfield $a. • Subfield $d (date) follows the term for the type of family. • Subfield $c is used for place associated with family and follows the date. • Subfield $g is used for prominent member of family. Give authorized access point for the person as found in the 1XX of the NAR without any internal subfield coding. Example: 100 3# $a Jones (Family : $d 1801-1950 : $c New York, N.Y. : $g Jones, Samuel, 1830-1899)

18. DCM Z1 and LC Guidelines supplement: 667 DCM Z1 667 (October 2018) • NARs for persons with identities not established • May use a 667 field to list pseudonyms not found in publications with the phrase: “Pseudonyms not found on published works: [name], [name], and [name]” • This note may also be added to an NAR for a person who has multiple NARs for multiple identities • NARs and Subject usage: Heads of state, etc.; families • Non-Latin script reference notes incorporated, August 2017 • 008/29 “b” • 667 “Non-Latin script reference not evaluated.” or • 667 “Non-Latin script references not evaluated.” if adding multiple non-Latin VAPs • Encourage to use macro NACOCJK.mbkto code 008/29 “b” and add 667 note • New DCM Z12, created October 2018, contains information about special projects for authority records in LC/NAF and LC bibliographic records. • When modifying existing authority records for these projects, LC/PCC catalogers should use DCM Z12 in conjunction with other appropriate cataloging documentation

19. DCM Z1 and LC Guidelines supplement: 670 • DCM Z1 670 (August 2017) incorporated instruction on providing nonroman script VAPs • Additional instruction is still available at LC website: https://www.loc.gov/catdir/cpso/non-Latin670.pdf • DCM Z1 670 (October 2018) • Added instruction on subsequent 670s • Can be in any order • Do not routinely delete or change existing 670 fields when adding new 670 fields • Use and prefer objective, authoritative sources… to provide additional information rather than repeating information that is already presented in other 670 fields • Added instruction on best practice for 670s • Summarize and edit information found to avoid extraneous or repetitive information • Avoid citing subjective information or information of dubious value • Exercise caution when recording information about living persons that may be private or controversial in nature • Added instruction on validating pasting data from website for invalid characters

20. DCM Z1 and LC Guidelines supplement: 7XX, etc. • DCM Z1 7XX (February 2019) • General instruction is expanded • Only for NACO members who have approval from LC’s Cooperative Cataloging Program Section • Do not apply to 781 field used for 151 place names • LC Guidelines (October 2018 & February 2019) • Note of “Consult LC’s Cooperative Programs Section before using subfield $0 or $1.” added to many MARC fields • Also some other specific instructions • Please check before use any fields that you have not instructed to use: https://www.loc.gov/catdir/cpso/lcmarcsuppl.pdf

21. OCLC-MARC Format Update (TB 268) • OCLC TB 268 Cover: • https://help.oclc.org/WorldCat/Cataloging_documentation/Technical_Bulletins/268 • MARC 21 Format for Authority Data Update 25 (December 2017) • MARC 21 Format for Authority Data Update 26 (April 2018) • Changes documented in TB268 (September 2018) but not implemented • Authority field 382 (Medium of Performance) has had its subfield $r (Total Number of Individuals Performing Alongside Ensembles) redescribed. • Subfield $d (Date of Meeting or Treaty Signing) has been made Repeatable in Authority Meeting Name fields 111, 411, 511, and 711. • Subfield $s (Version) has been made Repeatable in 16 Authority fields. • Subfield $1 (Real World Object URI) has been defined in 61 Authority fields. • Name Authority Cooperative (NACO) participants should not use the authority format changes in Authority Record Changes at this time. • The Library of Congress and OCLC will announce the implementation of these elements for use in name and subject authority records at a future date.

22. Other updates: 016 & 7XX in LAC NACO records Paul Frank sent instruction to PCCLIST on Sept. 10, 2018 on Library and Archives Canada (LAC) and NACO • LAC became a NACO member and contribute NACO records to LC/NAF • LAC asks that other NACO members not to edit or delete 016 & 7XX • 016 field: Canadian Control number • 7XX fields: link between equivalent English and French name authorities, an unique mandate serving as the National Library of an officially bilingual country • LAC records carry: • Symbol in 040 “CaOONL” • 667 note“Data contributed by Library and Archives Canada for the Canadiana Conversion Project”

23. Other updates: NACO functionality in Record Manager • OCLC announced in May 2018 that NACO catalogers now have a choice to create/update NACO records on WorldShare Record Manager • New features in Record Manager include: • Support of roles and permissions for NACO participants and LAC users • Ability to create, add, derive, edit, and replace both LC/NACO Name Authority records and Canadiana Name Authority records • Duplicate Detection upon adding or replacing authority records  • Support for linking authority records • Online Saved – In Progress File and ability to save and lock authority records • Support of the “submit for review” workflow for LC/NACO Name Authority file records • The ability to make changes to an authority record after contribution up until the daily distribution (rather than having it locked until it comes back from LC) • No macro can pull non-Latin data yet, may save in Connexion and retrieve in Record Manager

24. Thank you!