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 Revisited1. TO ENABLE A PERSON TO FIND A DOCUMENT OF WHICH

THE AUTHOR, ORTHE TITLE, ORTHE SUBJECT IS KNOWN

2. TO SHOW WHAT THE LIBRARY HASBY A GIVEN AUTHORON A GIVEN SUBJECTIN 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 inquiry2) 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 formulation2) signal retrieval3) 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

• 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

• 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

• 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– 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 non-verbal 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• e.g. Ford Madox Ford (real name Ford Madox Hueffer)

– If more than one pseudonym, use name used on work for "separate bibliographic entities"

• 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

• 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

• Titles of nobility or Honor

• Saints

• Royalty

• Popes, Bishops, etc.

• Dates

• Distinguishing terms

Married name vs. Maiden Name

• Good example:

• Elizabeth Taylor

MARC Authority Record040 DLC $b eng $c DLC $d DLC $d Uk100 1 Taylor, Elizabeth, $d 1932-400 1 Hilton, Elizabeth, $d 1932-400 1 Wilding, Elizabeth, $d 1932-400 1 Todd, Elizabeth, $d 1932-400 1 Fisher, Elizabeth, $d 1932-400 1 Burton, Elizabeth, $d 1932-400 1 Jenkins, Elizabeth, $d 1932-400 1 Taylor, Elizabeth Rosemond, $d 1932- $w nna400 1 Taylor, Liz, $d 1932-400 1 Warner, Elizabeth, $d 1932-670 Her Nibbles and me ... 1946670 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)– Thus Munich not München– Name changes, etc.

• Corporate names (official name in pubs.)– 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.

– 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

• 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)

• Administration• Administrative ... (e.g.,

administrative office)• Advisory ... (e.g., advisory

panel)... • Agency• Authority• Board• Branch• Bureau• College (of a university) • Commission• Committee• Department• Division

• Group (e.g., working group)• Office• Panel• School (of a college or university)• Secretariat• Section• Service• Task Force• Working party

• NOT• Council• Program• Project

Forms of Names for Corporate Bodies (French)

• Administration• Agence• Bureau• Cabinet• Comite• Commissariat• Commission• Delegation

• Direction• Groupe de …• Inspection• Mission• Office• Secreteriat• Service

Forms of Names for Corporate Bodies (Spanish)

• Administracion• Agencia• Asesoria• Comisaria• Comision• Comite• Coordinacion• Delegacion• Diputacion• Direccion• Directoria • Fiscalia

• 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

• 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

• Contains the description of an item

• Contains the entries in their official form

• Authority record

• 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

– To meet Cutter’s first objective (the finding objective):

• To find a book when one of the following is known: – 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 Authorized name access point4XX SEE reference5XX SEE ALSO referenceX00 Personal nameX10 Corporate nameX11 Conference name670 Source found675 Source not found