M21 and RDA

July 22, 20181
RDA and MARC 21
Gordon Dunsire, James Hennelly, Thurstan Young
Presented at “RDA and MARC 21”
June 25, 2018, New Orleans, USA
The impact of the 3R Project

RDA and data encoding July 22, 20182
RDA and data encoding
Gordon Dunsire, Chair, RSC
The impact of the 3R Project

3R Project
RDA Toolkit Restructure and Redesign
Project
New responsive design and structure
Impact of the IFLA Library Reference Model
(LRM)
RDA strategy for international, cultural heritage,
and linked data communities

Beta Toolkit
Beta version of the new RDA Toolkit
released June 13, 2018
Transformation of guidance and instructions
is ongoing; expected completion December
2018
Development of entities, elements, and
terminologies almost complete

LRM entities
New entities for Agent, Collective Agent,
Nomen, Place, Timespan
Many attributes become relationships
Example: date of birth [of Person]
=> Related timespan of person
More inverse relationships
Date of birth of [related person of
timespan]

The numbers
13 entities 1700+ elements
Work 388 Agent 175
Expression 291 Person 85
Manifestation 282 Collective Agent 34
Item 70 Corporate Body 84
Place 45 Family 46
Timespan 54 Nomen 169
RDA Entity 27

RDA entities
RDA Corporate Body and Family are types
of Collective Agent
Person restricted to human beings
Does not cover “non-human personages”
No change for Work, Expression,
Manifestation, Place
Item always exemplifies a manifestation

Kinds of recorded data
RDA is designed
to support a
wide range of
data carrier
architectures
for storage and
display
Flat-file: card and
other print-based
catalogues
Bib/Authority:
MARC, etc.
RDBMS: Table for each
entity, row keys (IDs)
RDF: Classes,
properties, and IRIs
Local
(Closed-
world)
Global
(Open-
world)

Recording methods
Latent in current instructions
Explicit in the new Toolkit
Cover the basic kinds of data recording
Accommodate data from outside the
professional cataloguing environment
The metadata deluge
Provide choices to suit applications and costs

Unstructured description

Structured description

Identifier

[Linked data] IRI

Data provenance

RDA uses RDF to record data for RDA Reference
(entities, elements, and vocabulary encoding
schemes)
• Provides data for RDA Toolkit (Glossary,
element reference, navigation)
• Available from RDA Registry under open
license
RDA in RDF

Recording methods for
related data
RDA Entity
1
RDA Entity
2
is related to
"identifier for related entity 2"
"note on related entity 2"
"access point for related entity 2"
Keyword index
Authority file
Standard
identifier system
Semantic Web

MARC 21 in RDA July 22, 201817
MARC 21 in RDA Toolkit
James Hennelly, Director, ALA Digital
Reference

Map input form
Spreadsheet/csv file
Better than a wordprocessor …
Output mappingInput fieldsRegistry RDF

Strings
No MARC 21 in RDF to link to
StringNo thing
rdaa:P50001 rdakit:hasM21 "MARC 21 Authority 100 $a" .
Predicate
(thing)
Subject
(thing)
Object
(string)

Toolkit display

MARC 21 in RDA 22/07/201821
Search: authority 100
First 3 of 10 found

RDA in MARC 21:
Accommodating 3R
A presentation by Thurstan Young,
U.K. Representative to the MARC Advisory Committee
Thurstan YoungJune 2018

Context for change (RDA)
 3R Project Timeline
 New RDA Entities
 New RDA Guidance

Context for change (MARC 21)
 Existing MARC 21 content designation
 New MARC21 content designation
 Emerging non-MARC data formats

Basic Principles
 Choice of MARC 21 format: bibliographic, authority,
other?
 Granularity: record; field; subfield level?
 Consistency: equivalent field by field content
designation?
 Utility: is change helpful?
 Feasibility: is change possible within format constraints?

3R Project Timeline (13th June deliverables)
 An initial implementation of LRM
 Reorganized RDA instructions
 Redesigned Personal and Institutional Profile capabilities
 Search and navigation functions
 Cross-Reference and Cross-Reference Preview functions
 Ready Reference feature for each RDA element

3R Project Timeline (post 13th June)
 Revisions to the RDA standard
 Introduction of a graphical browse tool
 Translations of the RDA standard
 Introduction of policy statements and integrated display

New RDA Entities
 RDA Entity
 Nomen
 Place
 Timespan

New Entities : RDA Entity
 RDA Entity : “An abstract class of key conceptual objects
in the universe of human discourse that is a focus of
interest to users of RDA metadata in library information
systems. An RDA entity includes an agent, collective
agent, corporate body, expression, family, item,
manifestation, nomen, person, place, timespan, and
work.”

RDA Entity:
Content designation
 No content designation present in MARC 21
 Accommodation seems unnecessary since it’s function is
to support high-level semantics in the RDA/LRM ontology

New Entities : Nomen
 Nomen : “A designation that refers to an RDA entity. A
designation includes a name, title, access point,
identifier, and subject classification codes and headings.”

Nomen:
Content designation
 New content designation would be necessary to separate
names and identifiers for those names from the entities
which they identify
 In principle, each form of name and identifier for that
name would require a separate record and unique
identifier and its own attributes, such as provenance,
could be recorded. In a MARC context, an authority
record has to have a unique identifier, but the RCN could
not be an identifier for the name
 In practice accommodation may be too disruptive to the
structure of current authority files

Nomen:
Possible implementation scenarios
 Split authorities into two separate records : one for
names and identifiers and another for attributes of the
entity
 Split authorities into separate records for each authorized
name, variant name, identifier and for attributes of the
entity

New Entities : Place
 Place : “A given extent of space.”

New Entities : Place (Authority Format)
 Existing MARC 21 content designation :
 X51 (Geographic Name)
 370 (Associated Place)
 371 (Address)
 X00 / X10 / X11 / X30 / X47 / X48 / X50 / X51 / X55 / X80 / X81 /
X82 / X85 $z (Geographic Subdivision)
 X10 / X11 $c (Location of meeting)
 643 $a (Place)

New Entities : Place (Bibliographic Format)
 008/15-17 (Place of publication, production, or execution)
 033 (Date/Time and Place of an Event)
 370 (Associated Place)
 518 (Date/Time and Place of an Event Note)
 651 (Subject Added Entry - Geographic Name)
 751 (Added Entry – Geographic Name)
 752 (Added Entry - Hierarchical Place Name)
 260 / 264 $a (Place of publication, distribution, etc.)
 X10 / X11 $c (Location of meeting)
 6XX $z (Geographic subdivision)

New Entities : Timespan
 Timespan : “A temporal extent having a beginning, an
end and a duration.”

New Entities : Timespan (Authority Format)
 X48 (Chronological Term)
 046 (Special Coded Dates)
 X00 / X10 / X11 / X30 / X47 / X48 / X50 / X51 / X55 / X80 / X81 /
X82 / X85 $y (Chronological Subdivision)
 X00 $d (Dates associated with name)
 X10 / X11 $d (Date of meeting or treaty signing)
 X30 $d (Date of treaty signing)
 X47 $d (Date of named event)
 X00 / X10 / X11 / X30 $f (Date of a work)

New Entities : Timespan (Bibliographic
Format)
 Existing MARC 21 content designation:
 033 (Date/Time and Place of an Event)
 046 (Special coded dates)
 518 (Date/Time and Place of an Event Note)
 651 (Subject Added Entry - Geographic Name)
 X00 $d (Dates associated with a name)
 X10 / X11 $d (Date of meeting or treaty signing)
 243 / X30 $d (Date of treaty signing)
 647 $d (Date of named event)
 X00 / X10 / X11 / X30 / 243 $f (Date of a work)
 260 / 264 $c (Date of publication, distribution, etc.)
 6XX $y (Chronological Subdivision)

New RDA Guidance
 Recording Methods
 Manifestation Statements
 Representative Expressions
 Data Provenance
 Diachronic Works

Recording Methods
 Unstructured description
 Structured description
 Identifier
 IRI (Internationalized Resource Identifier)

Unstructured description
 Recording methods include:
 Manifestation statement (New)
 Unstructured note
 Name or title in direct order, as it appears in sources of
information
 Uncontrolled term for a concept

Manifestation statements : Guidance
 A manifestation may carry information that describes the
manifestation itself.
 This information is recorded to follow the principle of
representation.
 A manifestation statement supports the user task identify.
 A manifestation statement is recorded only as an
unstructured description.

Manifestation statements : Elements
 Manifestation copyright statement
 Manifestation designation of serial statement
 Manifestation dissertation statement
 Manifestation distribution statement
 Manifestation edition statement
 Manifestation frequency statement
 Manifestation identifier statement
 Manifestation manufacture statement
 Manifestation production statement
 Manifestation publication statement
 Manifestation regional encoding statement
 Manifestation series statement
 Manifestation title and responsibility statement

Manifestation statements : Example (1)
 Sample title page layout:
Archaeological Ceramics:
A Review of Current Research
Edited by
Simona Scarcella
BAR International Series 2193

 Title page detail:
Archaeological Ceramics:
A Review of Current Research
Edited by
Simona Scarcella
 Manifestation title and responsibility statement:
Archaeological ceramics: A Review of Current Research Edited by Simona Scarcella
 MARC 21 Title statement:
245 00 $a Archaeological Ceramics : $b A Review of Current Research / $c Edited
by Simona Scarcella

 Title page detail:
 Manifestation series statement:
 MARC 21 Series statement:
490 0# $a BAR International Series; $v 2193

Manifestation statements :
Content designation
 Existing content designation too granular
 Free text strings broken down into separate sub-
elements
 Manifestation level data : MARC 21 bibliographic format

New content designation options
 Indicator / subfield level:
 New indicators added to existing 0XX / 2XX / 3XX / 4XX / 5XX
fields (e.g. a manifestation title and statement of responsibility
statement ; manifestation series statement)
OR
 New subfields added to existing 0XX / 2XX / 3XX / 4XX / 5XX
fields
 Field level:
 New 0XX / 2XX / 3XX / 4XX / 5XX fields in bibliographic format
(e.g. a title page composed of undifferentiated manifestation
statements)
 Redefine existing fields to carry manifestation statements
and new fields to carry more granular elements.

Option 1 (Indicator)
Archaeological Ceramics: A Review of Current Research Edited by Simona
Scarcella
245 20 $a Archaeological Ceramics: A Review of Current Research Edited by
Simona Scarcella
 New 245 1st indicator specifies that subfield $a contains
manifestation title and responsibility statement (not only title proper).

Option 2 (Subfield)
Scarcella
245 00 $m Archaeological Ceramics: A Review of Current Research Edited by
Simona Scarcella
 New 245 $m specifies that subfield contains manifestation title and
responsibility statement.

Option 3 (Field)
 Manifestation statement:
Scarcella BAR International Series 2193
 MARC 21 Manifestation statement:
Simona Scarcella BAR International Series 2193
 New 241 tag specifies that field contains an undifferentiated
manifestation statement.

Option 4 (Redefinition)
 Manifestation statement:
Scarcella BAR International Series 2193
 MARC 21 Manifestation statement:
241 00 $a Archaeological ceramics : $b a review of current research / $c edited by
Simona Scarcella
Simona Scarcella BAR International Series 2193
 New 241 tag carries elements previously accommodated in 245; 245
tag redefined to contain an undifferentiated manifestation statement.

Manifestation Statements : MARC 21
Indicator / Subfield Change Candidates (1)
RDA Element MARC Bibliographic
Manifestation copyright statement 260
264 2nd Ind. 4
Manifestation designation of serial
statement
362
Manifestation dissertation statement 502
Manifestation distribution statement 260
264 2nd Ind. 2
Manifestation edition statement 250

Manifestation frequency statement 310
Manifestation identifier statement 020
022
024
026
028
030
032
037
074
086
502

Manifestation manufacture
statement
260
264 2nd Ind 3
Manifestation production statement 260
264 2nd Ind 0
Manifestation publication statement 260
264 2nd Ind 1
Manifestation regional encoding
statement
538
Manifestation series statement 490
Manifestation title and responsibility
statement
245

Utility / Feasibility of Change
 New content designation would allow the encoding of
whole or partial title page content, etc. using scanned
data (e.g. recorded using light pen)
 New content designation would allow the exact
transcription of statements for early printed resources
(e.g. complex publication / distribution and manufacture
statements)
 Sufficient content designation is still available to record
manifestation statements (although not consistently field
by field)

Representative Expressions : Guidance
 A representative expression provides the values of
specific elements used to identify a work and distinguish
it from other works.
 Any expression can be used as a representative
expression.

Representative Expressions Elements for Works
 Aspect ratio of representative expression
 Colour content of representative expression
 Content type of representative expression
 Date of capture of representative expression
 Duration of representative expression
 Extent of representative expression
 Intended audience of representative expression
 Key of representative expression
 Language of representative expression
 Medium of performance of representative expression
 Place of capture of representative expression
 Projection of cartographic content of representative expression
 Scale of representative expression
 Script of representative expression
 Sound content of representative expression

Representative Expression Elements :
Example (1)
 Sample Work Record:
Creator of work: Charles Dickens
Preferred title of work: Great expectations
Language of representative expression: English
 MARC 21 Authority Record :
075 ## $a Work $2 rdaw*
100 1# $a Dickens, Charles, $d 1812-1870. $t Great expectations
377 ## $a eng
* Note that an 075 $2 source code has yet to be defined for RDA Work
properties; here it is modelled on the curie prefix specified in the RDA
Registry.

Representative Expressions Elements:
Example (2)
 Sample Work Record :
Creator of work: Wolfgang Amadeus Mozart
Preferred title of work: Divertimenti
Key of representative expression: D major
Thematic index number: K. 251
 MARC 21 Authority Record:
075 ## $a Work $2 rdaw
100 1# $a Mozart, Wolfgang Amadeus, 1756-2791. $t Divertimenti, $n K. 251, $r D
major
383 ## $c K. 251
384 0# $a D major

Example (3)
Creator of work: Louise Penny
Preferred title of work: Trick of the light
Representative expression: Penny, Louise. Trick of the light. 2011
075 ## $a Work $2 rdaw
100 1# $a Penny, Louise. $t Trick of the light
377 ## $a eng
500 1# $w r $i Representative expression: $a Penny, Louise. $t Trick of the light. $f
2011

Content designation
 Existing content designation for elements that could be
use to record representative expression elements would
be undifferentiated from their expression element
counterparts
 Could use existing 075 field to differentiate work and
expression authority records, hence make it clear
whether 3XX field is for work or expression element
(subject to new $2 source code)
 Expression level data : MARC 21 authority and
bibliographic formats

New content designation options
 Content designation options (indicator / subfield level)
 New indicators added to existing 3XX fields in authority format
(e.g. language of representative expression)
 New indicators added to existing 0XX / 2XX / 3XX / 5XX fields in
bibliographic format
OR
 New subfields added to existing 3XX fields in authority format
 New subfields added to existing 0XX / 2XX / 3XX / 5XX fields in
bibliographic format
 Content designation options (field level):
 New 3XX fields in authority format (e.g. language of
representative expression)

Option 1 (Indicator)
377 1# $a eng
 New 377 1st indicator specifies that subfield $a contains code for
language of representative expression.

Option 2 (Subfield)
 Sample Work Expression Record :
377 ## $x eng
 New 377 $x specifies that subfield contains code for language of
representative expression.

Option 3 (Field)
317 ## $a eng
 New 317 tag specifies that field contains code for language of
representative expression.

Representative Expression Elements: MARC
21 Indicator / Subfield Change Candidates (1)
RDA Element MARC
Authority
MARC
Bibliographic
Aspect ratio of representative
expression
500
Colour content of representative
expression
300, 340
Content type of representative
expression
336 336
Date of capture of representative
expression
388 033/518
Duration of representative
expression
306

Representative Expression Elements : MARC
RDA Element MARC
Authority
MARC
Bibliographic
Extent of representative expression 300
Intended audience of representative
expression
385 385
Key of representative expression 384 384
Language of representative
expression
377 377
Medium of performance of
representative expression
382 382

Representative Expression Elements: MARC
RDA Element MARC
Authority
MARC
Bibliographic
Place of capture of representative
expression
370 033/518
Projection of cartographic content
of representative expression
255
Scale of representative expression 255
Script of representative expression 546, $6
Sound content of representative
expression
300

Utility / Feasibility of Changes
 New content designation would allow using fields for
representative expression elements in work authority
records without using 075 to indicate the type of entity.
 Accommodating changes in authority format:
 advantage that more content designation is still available than in
the bibliographic format.
 Accommodating changes in bibliographic format :
advantage that all pre-existing expression elements are
already defined there.

Data provenance : Guidance
 Data provenance provides information about the
metadata recorded in an element or set of elements. This
information can be used to infer the context and quality of
the metadata.
 The metadata being described by data provenance are
treated as a metadata work that consists of a metadata
statement or a metadata description set.
 A metadata work may be described using any
appropriate RDA elements and recording methods.

Data Provenance : Common Requirements
 Recording an agent who publishes metadata
 Recording an agent who records metadata
 Recording a content standard used for metadata
 Recording a language of description
 Recording a scope for validity of metadata
 Recording a script of description
 Recording a source of metadata
 Recording a timespan for validity of metadata
 Recording a timespan when metadata are published
 Recording a transcription standard used for metadata

Data Provenance : Example (1)
 Sample Data Provenance (Description):
Timespan metadata published: February 23, 1994, 15:10:47
Agent who publishes metadata: British Library
Language of description: English
Agent who records metadata: British Library
Content standard used for metadata: RDA
 MARC 21 Authority / Bibliographic Record:
005 19940223151047.0
040 ## $a Uk $b eng $c Uk $e rda

Data Provenance : Example (2)
 Sample Data Provenance (Description):
Source of metadata: The Swedish phosphate report / R. Wilson,
1995, title page
670 ## $a The Swedish phosphate report, 1995: $b title page (R. Wilson)

Data Provenance : Content designation
 Partial content designation in MARC 21
 Content designation mainly at description level
 Content designation absent from field level (excepting
cases where $5 is defined)
 Content designation absent from subfield level

Data Provenance Coverage in MARC 21 (1)
RDA Element Record Level Field Level Subfield Level
Recording an agent
who publishes
metadata
040 $a, $d $5
Recording an agent
who records metadata
040 $a, $c, $d
Recording a content
standard used for
metadata
040 $e
Recording a language
of description
040 $b
Recording a scope for
validity of metadata

Data Provenance Coverage in MARC 21 (2)
RDA Element Record Level Field Level Subfield Level
Recording a script of
description
LDR/09
066
Recording a source of
metadata
670 (Authority)
500,510
(Bibliographic)
Recording a timespan for
validity of metadata
Recording a timespan
when metadata are
published
005
Recording a
transcription standard
used for metadata

Data Provenance :
 New content designation to represent provenance
information would support semantic web applications.
data provenance information in the MARC 21 authority
and bibliographic formats at the record level
 Insufficient content designation is available at the field
and subfield level in the bibliographic format.
 Greater scope for content designation may be available
at field and subfield level in the authority format.

Diachronic Works : Guidance
 A diachronic work is a work that is planned to be
embodied over time, rather than as a single “act of
publication”. This effectively means that the content of
the work changes over time, by being realized in one or
more discrete expressions that are embodied in one or
more manifestations.
 The essence of a diachronic work is the plan for the
change of content.

Diachronic Works : Categories of “Plan”
(Successive)
 Successive determinate plan: “An extension plan for a
work that is intended to be realized in multiple distinct
expressions that are embodied during a closed
timespan.” (e.g. serialized novels, reference works)
 Successive indeterminate plan: “An extension plan for a
work that is intended to be realized in multiple distinct
expressions that are embodied during an open timespan”
(e.g. periodicals, newspapers)

Diachronic Works : Categories of “Plan”
(Integrating)
 Integrating determinate plan: “An extension plan for a
work that is intended to be realized in one distinct
expression that is embodied during a closed timespan.”
(e.g. project wikis, conference websites)
 Integrating indeterminate plan: “An extension plan for a
work that is intended to be realized in one distinct
expression that is embodied during an open timespan.”
(e.g. updated standards, wikis)

Static Works
 Static plan: “An extension plan for a work intended to be
realized in one or more distinct expressions that are all
embodied simultaneously.” (e.g. novels, poems)
 Not planned to be embodied over time, but rather as a
single act of publication.

Diachronic Works:
Content designation
 No content designation present in MARC 21 formats to
record the extension plan for diachronic works.
 LDR 07 (bibliographic level) denotes the type of resource
being described, but not the extension plan.
 As a representation of the publisher’s intent, an extension
plan may change over time.

Diachronic Works :
 Recording the extension plan for diachronic works would
allow statements to be made regarding the intended
timespan of successive and integrating works before their
actual termination dates.
the extension plan for diachronic and static works as a
set of coded values or controlled terms in the MARC 21
authority and bibliographic formats at record level.

Emerging Non-MARC Data Formats:
Is Changing MARC 21 Necessary?
 MARC standard now over 50 years old
 Limited scope for additional content designation
 Bibframe, Schema.org, etc. offer extensible schema
which could accommodate 3R changes
 To what extent could / will Bibframe implement LRM?

3R Project Timeline
 New RDA Toolkit still in beta phase
 Transition to live version not expected until 2019
 Old Toolkit to be decommissioned 12 months after new
version goes live
 1-2 Full MAC cycles to amend MARC
 What should be the priorities?
 Who will do it?

Implementation of Changes: Options for
Collaboration
 Re-convene RDA/MARC Working Group?
http://www.rda-jsc.org/archivedsite/rdamarcwg.html
 New PCC Task Group?
https://www.loc.gov/aba/pcc/taskgroup/task-groups.htm
 Other?

Thank You
 Thurstan Young
 thurstan.young@bl.uk
 James Hennelly
 jhennelly@rdatoolkit.org
 Gordon Dunsire
 gordon@gordondunsire.com

M21 and RDA

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