Access points for intellectual
entities
Authority control
Technical Processes in
Bibliographic Control
1. Description
2. Name access
3. Subject analysis
4. Record formatting
5. Record organization
Access Points
• Surrogate (i.e., catalog) record content created by
professional and supervised paraprofessional
catalogers.
• Rules based (AACR2): Main and added entries are
created for each catalog record representing the books,
recordings, and other type of information packages that
are in a library collection.
• Sources are consulted for surrogate record content:
– Data taken from the information package in hand
– Data taken from authority files:
• Name authority files
• Title authority files
Cutter Revisited
1. TO ENABLE A PERSON TO FIND A DOCUMENT OF WHICH
THE AUTHOR, OR
THE TITLE, OR
THE SUBJECT IS KNOWN
2. TO SHOW WHAT THE LIBRARY HAS
BY A GIVEN AUTHOR
ON A GIVEN SUBJECT
IN A GIVEN KIND OF LITERATURE
3. TO ASSIST IN THE CHOICE OF A DOCUMENT
BIBLIOGRAPHICALLY (E.G. EDITION, FORMAT, ETC.)
AS TO ITS CHARACTER (I.E. LITERARY OR TOPICAL)
Access points serve first two
Access Points
•
•
Critical in the language transformation in retrieval process; such
that the process is designed to allow retrieval of data or
documents in response to a query.
Elements of the process are:
1) Susceptible person with inquiry
2) Expression of inquiry in system's language (i.e., transformation of
the signal)
3) Set of retrieved signals (i.e., transformation of the signal)
•
Stages in the process are:
1) inquiry formulation
2) signal retrieval
3) utilization
•
•
Access points represent intellectual entities in the bibliographic
universe (as opposed to the physical entities that are represented
by descriptions)
Ultimately, what are access points? (index entries)
Access Points: Two Aspects
1. Choice is decision about what access
points are needed
2. Form is decision about the authorized
form in which they will be made. Crucial
aspect of authority control
AACR2R, part 2: Rules for Choice
and Form of Entry
21. Choice
22. Headings for persons
23. Geographic names
24. Corporate bodies
25. Uniform titles
26. References
Main and Added Entries in Card
Catalogs
• Main entry is also known as the “primary access
point.”
• In the days of card catalogs, the main entry
contained the full bibliographic record:
– Author main entry was the convention
– Title main entry was used for information packages
without authors
• Other “added entries,” such as titles and
subjects, had abbreviated bibliographic
information on the cards in their card catalog
drawers.
Choice of Access Points
• Chapter 21 of AACR2 is concerned with how to
choose the elements of a description that will be
made searchable – AKA “Access Points”
• General Rule
– 21.1A -- Personal authorship -- enter works by one or
more persons under the heading for personal author.
– 21.1B2 -- Corporate Body -- may be chosen as the
main entry for an item if it falls into one or more of 6
categories.
Current Main Entry Controversy
• In an OPAC, there is only one “card,” i.e.,
the record in the database, so in theory,
we no longer need to distinguish main
entry and added entries.
• However, author main entry continues to
be convivial with print bibliographies and
with the need for sorting and displaying
retrieved records in an online catalog.
• RDA has reassessed
Choice of Main Entry – Author
•
•
•
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Main entry for person or body responsible for
the intellectual content
Catalogers use the author as main entry for
works by a single author.
For works with unknown authorship: title main
entry.
For works by multiple authors with synchronous
(i.e., the same kind of) responsibility for work,
then employ “rule of three:”
– Three or few authors: First author is main entry
– Four or more authors: Title is main entry
Choice of Main Entry – Author
(cont.)
– For works by multiple authors with asynchronous (i.e.,
different kinds of) responsibility for work. Examples:
• Later editions of work may have different authors
• With certain types of information packages there may be
obvious differences in author contributions
– Main entry choices in asynchronous cases:
• Use original author as main entry for new editions of works
(except if new edition is changed significantly)
• Use original author as main entry for translated works
• Judgment call for artist/writer relationships:
– Art book with captions – Artist’s name is main entry
– Art accompanies text – writer’s name is main entry
21.1B2 Corporate Author
Categories
• a) The work deals with the body itself, such as a
financial report or operations report, staff listing,
or a catalog of the body’s resources.
• b) Certain legal, governmental, or religious types
of works listed in the rule:
– laws; decrees of the chief executive that have force of
law; administrative regulations; constitutions; court
rules; treaties, etc.; court decisions; legislative
hearings; religious laws (e.g. canon law); liturgical
works
21.1B2 Corporate Author
Categories
• c) Those that record the collective thought of the
body
– reports of commissions or committees, official position
statements, etc.
• d) Those that report the collective activity of a
conference (e.g.: proceedings , collected
papers), an expedition (e.g.: results of
exploration, investigation), or of an event falling
within the definition of a corporate body -provided that the conference, etc. is prominently
named in the item
21.1B2 Corporate Author
Categories
• e) Those that result from the collective activity of
a performing group as a whole where the
responsibility of the group goes beyond that of
mere performance, execution, etc.
– Includes sound recordings, films, videorecordings,
and written records of performances.
• f) Cartographic materials emanating from a
corporate body other than a body that is merely
responsible for their distribution and publication
21.1B3
• If a work falls outside the categories, treat
it as if no corporate body was involved.
• Added entries are made for prominently
named corporate bodies.
Choice of Main Entry – Title
• For truly anonymous works.
• For works with more than three
responsible authors with none having
primary responsibility.
• For works by multiple authors that are
compiled by an editor.
• For works by corporate authors.
• For works accepted as sacred scripture by
a religious body
21.26 Spirit Communications
• Any guesses?
Added Entries
• Other access points in addition to main
entry.
• Serve as additional ways to access an
information package, e.g.:
– Performers of musical compositions
– Subject of information package (e.g., dogs)
Encoding Main and Added Entries
– Main entries use MARC tag 1XX:
•
•
•
•
100 is main entry personal name (why not “author name”???)
110 is main entry corporate name
111 is main entry meeting name
130 is main entry uniform title
– Added entries are scattered across the rest of the
MARC tags:
• 6XX contains subject added entries
• 7XX contains additional added entry options, including
personal, corporate and meeting names as well as uniform
titles
Headings for Persons
• Once you decide (via the Chapter 21
rules) that entries are to be made for a
person or persons, you must then choose
the form that the name will appear in.
The Problem
• Proliferation of the forms of names
– Different names for the same person
– Different people with the same names
• Examples
– from Books in Print (semi-controlled but not
consistent)
– ERIC author index (not controlled)
Goethe
John Muir
Pauline Cochrane nee Atherton
Pauline Cochrane nee Atherton
Form of Entry
• Two aspects of Form
– Which name is to be used?
– Which form of the name?
Problems with Personal Names
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Pseudonym or pen name
Initialized first name
Omitted first name
Non-roman alphabets
Married name vs. maiden name
Compound surname
Names with nobility
Changed names
Patterns of Chinese Names
• Lin Yu-tang
• Ching-chun Hsieh
• Nelson Chou
• Jack Kai-tung Huang
• Nancy Ou-lan Hu Chou
• Surname first
• Surname last
• Chinese first name
dropped
• English first name
adopted without dropping
Chinese first name
• Woman’s married name
with English first name
PETER BROWN IN CLIO
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•
•
•
•
29 headings
9 cross-references
18 different people
73 titles
3 incorrect (two on
order records)
The Many Faces of Peter Brown
• Brown, Peter, 1925• Brown, Peter, 1948• Brown, Peter Hume,
1849-1918
• Brown, Robert
Lamont Brown, 1935-
• Book of Kells,
Chaucer
• Medieval
manuscripts, Chaucer
• Medieval church,
early Scotland
• St. Augustine, Roman
Church, women in
early Christianity
Form: Which Name?
•
•
Overriding principle is to use the form that is
commonly known to the library's users
Name by which a person is commonly known
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–
–
•
Guiding principle from Panizzi forward, viewed
differently in each application.
From Cutter through ALA 1949 determined to be
name as found in reference sources
In AACR2 determined to be name as found on chief
sources
Thus:
–
–
Jimmy Carter not James Earl Carter
E. E. Cummings not Edward Estlin Cummings
22.1B
• Determine the name by which a person is
commonly known from the chief sources of
information of works by that person, issued in his
or her language. If the person works in a nonverbal context (e.g., a painter, a sculptor) or is
not primarily known as an author, determine the
name by which he or she is commonly known
from reference sources issued in his or her
language or country of residence or activity
Form: Which Name?
•
Change of name
–
–
•
Always entered under latest name
Arlene G. Taylor not Arlene Taylor Dowell
Pseudonyms
–
Use pseudonym if only one pseudonym used for all
works
•
–
If more than one pseudonym, use name used on
work for "separate bibliographic entities"
•
•
e.g. Ford Madox Ford (real name Ford Madox Hueffer)
e.g. Charles Dodgson and Lewis Carroll
Contemporary authors: use all pseudonyms
FORM: WHICH FORM OF NAME?
•
General rule: if a person’s name consists
of several parts, select as the entry
element that part of the name under
which the person would normally be
listed in authoritative alphabetic lists in
his or her language or country of
residence
Entry element: Surname
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•
•
•
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Compound surnames
Hyphenated surnames
Other compound surnames
Nature uncertain
Surnames with prefixes
– Different rules for different
languages/nationalities
Entry Element: Surname
• Structure of personal name heading is
usually family name (surname) followed by
forenames usually followed by DOB/DOD.
• Heading should be structured as it would
appear in the telephone directory of the
person’s home country:
– In Brazil, the last name of a compound
surname is used
– In Argentina, the first name of a compound
surname is used
Additions to names
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Titles of nobility or Honor
Saints
Royalty
Popes, Bishops, etc.
Dates
Distinguishing terms
Married name vs. Maiden Name
• Good example:
• Elizabeth Taylor
MARC Authority Record
040 DLC $b eng $c DLC $d DLC $d Uk
100 1 Taylor, Elizabeth, $d 1932400 1 Hilton, Elizabeth, $d 1932400 1 Wilding, Elizabeth, $d 1932400 1 Todd, Elizabeth, $d 1932400 1 Fisher, Elizabeth, $d 1932400 1 Burton, Elizabeth, $d 1932400 1 Jenkins, Elizabeth, $d 1932400 1 Taylor, Elizabeth Rosemond, $d 1932- $w nna
400 1 Taylor, Liz, $d 1932400 1 Warner, Elizabeth, $d 1932670 Her Nibbles and me ... 1946
670 Kelley, K. Elizabeth Taylor, the last star, c1981: $b t.p. (Elizabeth Taylor)
CIP galley (married John Warner 12/4/76; Liz)
670 Elizabeth Taylor, 2000: $b p. 310 (became Dame Commander of the
Order of the British Empire, Spring 2000)
Other Names
•
Geographic names (atlases in English)
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Corporate names (official name in pubs.)
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•
Thus Munich not München
Name changes, etc.
Subordinate vs. direct order
Thus Library of Congress not United States.
Congress. Library.
Uniform titles: Title chosen for cataloging
purposes when a work has appeared under
varying titles.
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–
Individual works
Collective works (Bible)
Forms of Headings: Geographic
Area Headings
• Use the English form of the name of a place if there is
one in general use. Determine this from gazetteers and
other reference sources published in English-speaking
countries. In case of doubt, use the vernacular form.
• If the name of a place changes, use as many of the
names as required.
• Add to the name of a place (other than a country or a
state, etc., listed in 23.4C1 or 23.4D1) the name of a
larger place as instructed in 23.4C-23.4F.
• Do not make any addition to the name of a state,
province, territory, etc., of Australia, Canada, or the
United States.
Problems with Corporate Names
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•
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•
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Name change
Names in different languages
Variant names
Brief form of names
Subordinate and related bodies
Subordinate and related bodies
• Enter subordinate bodies directly under their own name
unless its name is one of the following types
– A name containing a term that by definition implies that the body
is part of another
– A name containing a word that normally implies administrative
subordination, provided that the name of the higher body is
required to identify it.
– A name that is general in nature or that does no more than
indicate a geographic, chronological or numbered or lettered
subdivision of the parent body
– A name that does not convey the idea of a corporate body
– A name of a university faculty, school etc that simply indicates a
field of study
– A name that includes the entire name of higher body.
Forms of Names for Corporate
Bodies (English)
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Administration
Administrative ... (e.g.,
administrative office)
Advisory ... (e.g., advisory
panel)...
Agency
Authority
Board
Branch
Bureau
College (of a university)
Commission
Committee
Department
Division
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Group (e.g., working group)
Office
Panel
School (of a college or university)
Secretariat
Section
Service
Task Force
Working party
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•
NOT
Council
Program
Project
Forms of Names for Corporate
Bodies (French)
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Administration
Agence
Bureau
Cabinet
Comite
Commissariat
Commission
Delegation
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Direction
Groupe de …
Inspection
Mission
Office
Secreteriat
Service
Forms of Names for Corporate
Bodies (Spanish)
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Administracion
Agencia
Asesoria
Comisaria
Comision
Comite
Coordinacion
Delegacion
Diputacion
Direccion
Directoria
Fiscalia
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Gabinete
Gerencia
Grupo de …
Jefatura
Junta
Negociado
Oficina
Secretaria
Secretariado
Servicio
Superintendencia
Uniform Titles
• Uniform titles are the means for bringing
together all catalog entries for a work
when various manifestations (editions,
translations, etc) have appeared under
various titles.
• Need to use Uniform titles varies with the
catalog and even with the particular work.
Uniform Titles: Examples
• A work by Dickens with the title The adventures of Oliver
Twist:
– 100; 1 ;a Dickens, Charles, $d 1812-1870.
– 240; 1 ;a Oliver Twist
– 245; 14;a The adventures of Oliver Twist / $c Charles
Dickens
• Bible. [O.T. or N.T.] [individual book or group of
books]. [language]. [version]. [year].
– 130; 0 ;a Bible. $p N.T. $p Luke. $l English. $f 1995.
– 130; 0 ;a Bible. $p O.T. $p Song of Solomon. $l
Spanish. $f 1998
Why So Many Rules?
•
Not so difficult: 66% of all authors write
only one book in one edition. But the
remaining 34% can be very difficult-changing names, variations, translations,
different alphabets, etc.
Authority Control
•
•
•
The process of maintaining consistency
of usage for access points
The method for the enforcement of
standardization of access points
Create syndetic structure (a network of
references). Record variations of the
name with SEE and SEE ALSO
references
SYNDETIC STRUCTURE
• Means “Connective” and is derived from
classical Greek
• Conceived by Charles Cutter who defined
syndetic catalog as “that kind of dictionary
catalog which binds its entries together by
means of cross-references so as to form a
whole.”
• Great cocktail party term
Authority Control
• Cataloger’s decision concerning authorship: “I
know who the author is (from the information
package in hand), but what personal name data
do I enter into the surrogate record?”
– Authority work involves the determination of
authorized forms for entities known by variant forms,
e.g.,:
• Author name changes over time (e.g., pseudonyms)
• Variant spellings of personal names that proliferate over time
• Title changes of a work over time
• Authority records are maintained for personal
names and some titles at the Library of
Congress in various files.
Why Authority Control?
– To fulfill Cutter’s 2nd Objective (The Collocating
Objective):
• Author criterion
• Title criterion
– To deal with the problem of natural language
variation:
• Variation in how individuals “label” themselves (or have been
labeled) over time (e.g., pseudonyms and variant spellings
(see “Khaddafi” as authorities search))
• Variation in how titles change over time (e.g., new editions or
sacred works)
– To enable consistent data entry into cataloging and
metadata records over time.
Authority Work
• Includes the research work and intellectual effort
involved in creating and updating authority records
• Determines if a relationship exists between names or
subject heading terms
• Establishes and links the names that could refer to
the same person
• Establishes relationships between subject heading
terms
• Includes recording the authority data of preferred
form, variants, history, scope, and links to other
authority records
Steps of Authority Work
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Researching for variants
Choosing one among many
Analyzing parts of the term
Adding, omitting or modifying the term
Handling special language cases
Linking the used and the unused
Document the process
Authority Record
• Result of authority work
• A record which shows a heading in the
form established for use in the catalog
• Lists cross-references to be made to and
from the heading
• Cites the sources consulted in establishing
the heading
Bibliographic vs. Authority Record
• Bibliographic record
• Authority record
• Contains the
description of an item
• Contains the entries
in their official form
• Records the official
form used for an entry
• Records alternative
and unused forms
(cross-references)
• Records source of
form decisions
Authority Files
• An authority file consist of authority records.
• Catalogers and other metadata record creators
use authority files for certain data entry tasks.
• Authority files are also an integral part of
integrated library systems
• Common authority files:
– LC Name Authority File – maintained collaboratively
(NACO) according to AACR2 (more info on next slide)
– Getty Vocabularies – artist & geographical names
– International Standard Archival Authority Record –
corporate bodies, persons & families
Four Functions of Authority Files
• Authority function: support consistency of
headings
• Finding function: provide links from
variants and other authorized headings
• Information function: show usage and
scope of headings
• Maintenance function: support manual and
automatic error detection and correction
Advantages of Authority Control
• Collecting, recording and maintaining
authoritative forms of headings
• Linking variant forms of headings together
• Providing consistency and verification upon
creating bibliographic records
• Automatic verification
• Global change and correction
• Shared authority files
• Linkage between authority files and bibliographic
records
Functional Purposes of Authority
Work
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To meet Cutter’s first objective (the finding
objective):
•
To find a book when one of the following is known:
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–
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Author (must distinguish between/among persons or entities
with the same name)
Title (must normalize titles that have proliferated over time)
Subject (must normalize “natural language” variation over
time)
To meet Cutter’s second objective (the collocating
objective):
•
To show what the library has:
–
–
By an author (collocation using author criterion)
On a subject (collocation using subject criterion)
IMPORTANT ELEMENTS IN THE
MARC AUTHORITY FORMAT
1XX
4XX
5XX
X00
X10
X11
670
675
Authorized name access point
SEE reference
SEE ALSO reference
Personal name
Corporate name
Conference name
Source found
Source not found
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Access points for intellectual entities