Cataloging Principles and RDA: Resource Description and Access

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Cataloging Principles and RDA Resource
Description and Access

• by Dr. Barbara B. Tillett
• Chief, Cataloging Policy Support Office
• Library of Congress
• June 10, 2008

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Principles vs. Cataloguing Code

• Objectives what can be expected of a
  bibliographic system (functions of a catalogue)
• Find a specific
• Find all manifestations of a work
• Etc.
• Principles Directives to design a code of rules
• Rules

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Cataloguing Principles

• 1961 IFLAs Paris Principles

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IME ICC Regional Meetings

• IME ICC1
  Europe/Anglo-American
• IME ICC2 Latin
  America-Caribbean
• IME ICC3 Middle East
• IME ICC4 Asia
• IME ICC5 Sub-Saharan
  Africa

http//www.d-nb.de/standardisierung/afs/imeicc_ind
ex.htm
http//www.loc.gov/imeicc2
http//www.loc.gov/loc/ifla/imeicc/
http//www.nl.go.kr/icc/icc/main.php
http//www.imeicc5.com
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IME ICC Goals Objectives

• Goal
• Increase the ability to share cataloguing
  worldwide by
• Promoting standards
• Objectives
• Develop Statement of International Cataloguing
  Principles
• See if rules/practices can get closer together
• Make recommendations for an International
  Cataloguing Code (fur rule-makers)

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Updating Paris Principles

• December 2003
• IME ICC IFLA Meeting of Experts on an
  International Cataloguing Code
• IME ICC draft Statement of Principles

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Paris Principles (1961)

• Single Personal Author
• Entry under Corporate Bodies
• Multiple Authorship
• Works Entered under Title, Uniform Headings for
  Works, etc.
• Entry Word for Personal Names

• Scope
• Function
• Structure of the Catalogue
• Kinds of Entry
• Use of Multiple Entries
• Choice of Uniform Heading

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International Cataloguing Principles Outline

• Introduction
• 0. General Objectives (i.e., Principles)
• 1. Scope
• 2. Entities, Attributes, Relationships
• 3. Functions of the Catalogue
• 4. Bibliographic Description
• 5. Access Points
• 6. Authority Records
• 7. Foundations for Search Capabilities

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Introduction to the ICP

• Serve the convenience of the users
• Broaden Paris Principles
• All types of materials (not just text)
• Description
• Access (not just choice and form of entry, but
  all access for bibliographic and authority
  records)
• Build on
• Great cataloguing traditions of the world
• FRBR and FRAD and future FRSAR

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Guiding Principles for Cataloguing Codes

• Convenience of user
• Common usage
• Representation
• Accuracy
• Sufficiency and necessity
• Significance
• Economy

• Standardization
• Integration
• Defensible, not arbitrary
• If contradict, take a defensible, practical
  solution

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1. Scope

• Guide development of cataloguing codes
• Bibliographic and authority records
• Library catalogues
• Consistent approach to descriptive and subject
  cataloguing
• All kinds of resources

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1. Scope, continued

• Highest principle for constructing cataloguing
  codes
• convenience of the users
• of the catalogue

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2.1. Entities in Bibliographic Records

• FRBR entities
• Work
• Expression
• Manifestation
• Item

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2.2. Entities in Authority Records

• Controlled forms of names
• Work
• Expression
• Manifestation
• Item
• Person
• Family
• Corporate Body
• Concept
• Object
• Event
• Place

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2.3. Attributes and 2.4. Relationships

• Attributes
• Identify the entity
• Data elements in bibliographic and authority
  records
• Relationships
• Bibliographically significant
• Identified through the catalogue

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3. Functions of the Catalogue

• To enable a user to
• Find
• Locate a single resource
• Locate sets of resources (collocation)
• Identify
• Select
• Acquire or Obtain
• Navigate
• FRBR user tasks navigate

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• Paris Principles
• Efficient instrument
• Author, title
• Works of author
• Editions of a work

• International Cat. Principles
• User tasks
• Locate single resource
• Locate sets of all resources
• of a person, family, or corporate body
• same work
• same expression
• same manifestation
• on a subject
• by other criteria
• Identify
• Select
• Acquire/obtain
• Navigate

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4. Bibliographic Description

• 4.1. Manifestation-based
• 4.2 Separate bibliographic description for each
  manifestation
• 4.3. Description based on an internationally
  agreed standard
• ISBDs for library community
• 4.4. Level of completeness depends on purpose of
  the catalogue or bibliographic file

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5. Access Points

• Formulate following general principles
• Uncontrolled
• Title proper found on manifestation
• Keywords
• Controlled
• Provide consistency
• Authorized access points built following a
  standard
• Store in authority records (authorized and
  variant forms)

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5.2. Choice of Access Points

• 5.2.1. Bibliographic record
• Titles
• Controlled titles of works and expressions
• Titles of manifestations (usually uncontrolled)
• Names (controlled) of creators of works
• Corporate bodies as creators when
• work collective thought or activity of the
  corporate body, even if signed by a person, or
• title nature of the work collectively
  responsible for the content of the work
• Other persons, families, corporate bodies,
  subjects important for finding, identifying,
  selecting

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5.2. Choice of Access Points

• 5.2.2. Authority record
• Authorized form of name for the entity
• Variant forms of name
• Names of related entities

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6. Authority Records

• Construct to control authorized forms of names
  and variant forms of names used as access points
  (FRAD, FRSAR)
• Persons
• Families
• Corporate bodies
• Works, expressions, manifestations, items
• Concepts
• Objects
• Events
• Places

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6. Authority Records

• 6.1. Choice of Names
• Preferred form of name that identifies the entity
  in a consistent manner, either as
• Predominantly found on manifestations
• Leo Tolstoy not Lev Nikolaevich Tolstoi
• or
• Well-accepted name suited to the users of the
  catalogue (e.g., conventional name)
• Example Hamlet
• not The tragicall historie of Hamlet,
  Prince of Denmark

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6. Authority Records

• 6.1.1. If entity uses variant names or variant
  forms of name, choose one as the authorized
  access point for each distinct identity

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Bibliographic identities
Lewis Carroll

• Need to explain variants to end-user to avoid
  confusion (explain pseudonyms, abbreviations,
  etc.)

Dodgson, Charles Lutwidge, 1832-1898
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6. Authority Records

• 6.1.1. If entity uses variant names or variant
  forms of namePrefer commonly known name over
  official
• Virginia, not Commonwealth of Virginia
• Rhode Island not State of Rhode Island
  and Providence Plantations
• Or use official name when there is no commonly
  known or conventional name

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6. Authority Records

• 6.1.1.2.If corporate body used different names
  (not just minor variations) in successive
  periods, consider each significant name change a
  new entity and link authority records
  (earlier/later)
• Accenture, formerly Andersen Consulting
• OCLC, Ohio College Library Center,

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6.1.2. Variant Titles for a Work

• If variant titles for one work, one title should
  be chosen as the basis for the preferred title of
  the work/expression.
• Forms of names 6.3.4 governs which to prefer

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6.1.3. Other Variant Forms

• Variant forms not selected as authorized access
  point for an entity should be included in the
  authority record to be used as variant form
  access points or alternate display forms
• Example BBC ? British Broadcasting Corporation

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6.2. Language Authorized Access Point

• When name in several languages, prefer
• form found on manifestations of the expression in
  original language and script
• Example Shakespeare, William
• but
• If that is not language/script normally used in
  the catalogue, may base form found on
  manifestations or in reference sources in one of
  the languages and scripts best suited to users of
  the catalogue
• Example Tchaikovsky, Peter Ilich

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6.2. Language Authorized Access Point

• Provide access in original language and script
  whenever possible
• Either as authorized access point or variant form
  access point
• If transliterate, follow international standard
  for script conversion
• ExampleJapan. Kokkai
• 410 10 a Japan. b Diet (1947- )
• 410 10 a Japan. b National Diet
• 410 10 a Japan. b Diète nationale
• 410 10 a Japan. b Parliament.

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• Paris Principles
• Uniform heading
• Most frequently used name or title appearing in
  editions of the works or in references
• Several languages
• Original
• If not normally used in catalogue, use language
  from editions or reference in one of the
  languages normally used

• International Cat. Principles
• Authorized access point
• Predominantly found on manifestations or
  well-accepted name suited to users of catalogue
• Several languages/scripts
• Original
• If not normally used in catalogue, use
  language/script from manifestations or reference
  sources in one of the languages best suited to
  users

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6.3. Forms of Names for Authorized Access Points

• Add further identifying characteristics if
  necessary to distinguish the entity from others
  of the same name

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Different Entities Same Name
Winston Churchill
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6.3.1. Forms of Names for Persons6.3.2. for
Families

• Entry word when name consists of several words
• follow conventions of the country and language
  most associated with that person/family, as found
  in manifestations or reference sources
• Example Hillary Rodham Clinton
• Clinton, Hillary Rodham

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6.3.3. Forms of Names for Corporate Bodies

• Direct order, as found in manifestations or
  reference sources, except
• Part of jurisdiction or territorial authority
• begin with or include the currently used form of
  name of the territory concerned in the language
  and script best suited to the needs of the users
  of the catalogue
• Subordinate body or subordinate function or name
  is insufficient to identify
• begin with name of superior body
• Example Library of Congress. Cataloging Policy
  and Support Office

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6.3.4. Forms of Names for Works/Expressions

• Title that can stand alone
• Name/title combination with name of creator
• Title qualified by addition of identifying
  elements
• Corporate name, place, language, date, etc., to
  distinguish

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6.3.4. Forms of Names for Works/ Expressions

• Preferred title, choose
• Most frequently found in manifestations of the
  work in original language
• Found in reference sources
• Most frequently found on manifestations

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7. Foundations for Search Capabilities

• 7.1. Search and Retrieval by access points
• Provide reliable retrieval of bibliographic and
  authority records and their associated
  bibliographic resources
• Limit search results
• 7.1.1. Searching devices
• Full forms of names
• Keywords
• Phrases
• Truncation
• Etc.

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7.1.2. Essential Access Points

• Main attributes and relationships of each entity
• 7.1.2.1. Bibliographic records
• Name of creator or first named creator when gt1
• Preferred title for work/expression
• Title proper or supplied title for manifestation
• Year(s) of publication or issuance
• Subject headings, subject terms
• Classification numbers
• Standard numbers, identifiers, key titles for
  described entity

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7.1.2. Essential Access Points

• 7.1.2.2. Authority records
• Authorized name of entity
• Identifiers for entity
• Variant forms of name for the entity

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7.1.3. Additional Access Points

• Attributes from other areas of bibliographic
  description or authority record may serve as
• Optional access points or
• Filtering or limiting devices

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7.1.3. Additional Access Points

• 7.1.3.1. For bibliographic records include
• (not limited to)
• Names of creators beyond the first
• Names of persons, families, or corporate bodies
  in other roles than creator, e.g., performers
• Variant titles (Parallel titles, caption titles,
  etc.)
• Authorized access point for series
• Bibliographic record identifiers
• Language
• Country of publication
• Content type
• Carrier type

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7.1.3. Additional Access Points

• 7.1.3.2. For authority records include
• (not limited to)
• Names of related entities
• Authority record identifiers

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Next Steps for Principles

• Worldwide review 2008
• Influence the new cataloguing codes of the world

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Questions?
ICP International Cataloguing Principles