Access points for intellectual entities

1
Access points for intellectual entities

• Authority control

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Technical Processes in Bibliographic Control

• 1. Description
• 2. Name access
• 3. Subject analysis
• 4. Record formatting
• 5. Record organization

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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

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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

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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)

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Access Points Two Aspects

• 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

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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

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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.

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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.

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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

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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

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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 Artists name is main
  entry
• Art accompanies text writers name is main
  entry

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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 bodys 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

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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

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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

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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.

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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

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21.26 Spirit Communications

• Any guesses?

19
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)

20
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

21
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.

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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)

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Goethe
24
John Muir
25
Pauline Cochrane nee Atherton
26
Pauline Cochrane nee Atherton
27
Form of Entry

• Two aspects of Form
• Which name is to be used?
• Which form of the name?

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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

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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
• Womans married name with English first name

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PETER BROWN IN CLIO

• 29 headings
• 9 cross-references
• 18 different people
• 73 titles
• 3 incorrect (two on order records)

31
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

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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

34
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

35
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

36
FORM WHICH FORM OF NAME?

• General rule if a persons 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

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Entry element Surname

• Compound surnames
• Hyphenated surnames
• Other compound surnames
• Nature uncertain
• Surnames with prefixes
• Different rules for different languages/nationalit
  ies

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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 persons home
  country
• In Brazil, the last name of a compound surname is
  used
• In Argentina, the first name of a compound
  surname is used

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Additions to names

• Titles of nobility or Honor
• Saints
• Royalty
• Popes, Bishops, etc.
• Dates
• Distinguishing terms

41
Married name vs. Maiden Name

• Good example
• Elizabeth Taylor

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MARC Authority Record

• 040 DLC b eng c DLC d DLC d Uk
• 100 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
  nna
• 400 1 Taylor, Liz, d 1932-
• 400 1 Warner, Elizabeth, d 1932-
• 670 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)

43
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)

44
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.

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Problems with Corporate Names

• Name change
• Names in different languages
• Variant names
• Brief form of names
• Subordinate and related bodies

46
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.

47
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

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Forms of Names for Corporate Bodies (French)

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

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

49
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

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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.

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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 14a 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

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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.

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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

54
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

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Authority Control

• Catalogers 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.

56
Why Authority Control?

• To fulfill Cutters 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.

57
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

58
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

59
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

60
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

61
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

62
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

63
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

64
Functional Purposes of Authority Work

• To meet Cutters 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 Cutters 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)

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IMPORTANT ELEMENTS IN THE MARC AUTHORITY FORMAT

• 1XX Authorized name access point
• 4XX SEE reference
• 5XX SEE ALSO reference
• X00 Personal name
• X10 Corporate name
• X11 Conference name
• 670 Source found
• 675 Source not found

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