Cataloguing Codes and Conceptual Models:RDA and the Influence of FRBR and other IFLA Initiatives

by Dr. Barbara B. TillettChief, Cataloging Policy & Support Office

Library of Congress for “Back to the Basics”

February 1, 2007

Overview Conceptual models

FRBR Cataloging principles

IME ICC Statement

Virtual International Authority File (VIAF)

New cataloging code

Work

Expression

Manifestation

Item

IFLA Initiatives ISBD

International Standard Bibliographic Description

FRBR Functional Requirements for Bibliographic Records

VIAF Virtual International Authority File

IME ICC IFLA Meeting of Experts on an International

Cataloguing Code replacing ‘Paris Principles’ of 1961

Functional Requirements for Bibliographic Records (FRBR) Entity-relationship model

• Entities: Group 1, 2, 3• Relationships• Attributes

National level bibliographic record elements (mandatory & optional data)

User tasks• find, identify, select, obtain

Collocation at the work/expression level

Vocabulary

“Book”

–Door prop(item)

–“publication” at bookstore any copy

(manifestation)

Vocabulary

“Book”

–Who translated?(expression)

–Who wrote?

(work)

Expression

Manifestation

Item

Work

Physical -recording ofcontent

Intellectual/artistic content

is realized through

is embodied in

is exemplified by

Group 1 - Relationships Inherent to the Entities Work “is realized by” an expression

Expression “is embodied in” a manifestationManifestation “is exemplified by” an item

Item

FRBR

Relationships

Inherent among the entities

Content relationships among works

Work

Expression

Manifestation

Item

Whole-Part

Accompanying

EQUIVALENT

Cataloging Rulescut-off point

Same work New work

DERIVATIVE DESCRIPTIVE

Parody

Revision

Translation

Criticism

Variations or versions

Editions SummaryAbstractDigest

Annotated edition

Expurgatededition

DramatizationNovelization

Freetranslation

Imitations

Evaluation

Review

Casebook

Commentary

Abridgededition

Arrangement

ScreenplayLibrettoIllustrated

edition

Slightmodifications Adaptations

Change of genre

Original

Same style or thematic content

Microformreproduction

Copy

Exactreproduction

Facsimile

Reprint

Simultaneous“publication”

Same Expression New Expression

Family of Works

New Work B. TillettDec. 2001

Group 1 Entities’ Attributes Work

ID Title Date etc.

Expression ID Title Form Date Language etc.

Manifestation ID Title Statement of responsibility Edition Imprint (place, publisher,

date) Form/extent of carrier Terms of availability Mode of access etc.

Item ID Provenance Location etc.

FRBR

Work

Expression

Manifestation

Item

Group 2

many

Person

Corporate Body

is owned by

is produced by

is realized by

is created by

FRBR

DRAFT FRAD extension to FRBRFRBR

Entities:PersonFamilyCorporate BodyWorkExpressionManifestationItemConceptObjectEventPlace

NameIdentifier

Access Point

Rules

Agency

December 2006

Work Group 3

many

has as subject

Expression

Manifestation

Item

Person

Corporate Body

Work

Concept

Object

Event

Place

has as subject

has as subject

FRBR

FRBR and MARC

MARC bibliographic, authority, and holdings records

FRBR and MARC crosswalk and analysis: http://www.loc.gov/marc/marc-functional-analysis/frbr.html

FRBR-ize MARC records

OCLC’s algorithm

http://www.oclc.org/research/software/frbr/

LC’s display tool

http://www.loc.gov/marchttp://www.loc.gov/marc/marc-functional-analysis/tool.html

Possible FRBR applicationsScenario A - NowAuthority

Bibliographic

Holding Item

Work/Expression

UniformTitle Concept

Manifestation

Person

Series (work/expression)

UniformTitle

Scenario B

Work/ExpressionUniform

Title

Manifestation

Authority

Bibliographic

Holding Item

Concept

Person/Corporate

body

Series (work/expression)

UniformTitle

Person/Corporate

body

• CollocationBetter organization to catalog

• Easier cataloging• Reduction in cataloging load

Work only cataloged once for all expressions of itExpression only cataloged once for all manifestations of itItem cataloging (already simple) remains the same

FRBR Benefits

Circulation: Place holds at “Work” or “Expression” level rather than only at manifestation level

(VTLS and OCLC demonstrate this)

FRBR Benefits

Applications of conceptual model

FRBR is conceptual model No application is

prescribed Opportunities for the

future in new systems designs Greater connection

with a&i, digital aggregators

Keep user foremost in mind

Cataloguing Principles

1961 – IFLA’s “Paris Principles”

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

IME ICC Regional Meetings IME ICC1 – Europe/Anglo-American

IME ICC2 – Latin America-Caribbean

IME ICC3 – Middle East

IME ICC4 – Asia

http://www.ddb.de/standardisierung/afs/imeicc_index.htm

http://www.loc.gov/imeicc2

http://www.loc.gov/loc/ifla/imeicc/

http://www.nl.go.kr/icc/icc/main.php

Next/Final Meeting – IME ICC5

2007 August 15-16 subSaharan AfricaHosted by the

National Library of South Africa, Pretoria, South Africa

Statement of International Cataloguing Principles (2003-2007)1. Scope2. Entities, Attributes, Relationships3. Functions of the Catalogue4. Bibliographic Description5. Access Points6. Authority Records7. Foundations for Search Capabilities

Objectives for Construction of 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.

Virtual International Authority File (VIAF)

Semantic Web Building Blocks

End-user

A&I controlledvocabularies

(Library) authority files

Other controlled vocabularies

“Ontologies”

What is the VIAF? System

Links between files Web browser access Multi-lingual and multi-scripts

Allow national or regional variations in authorized form to co-exist

Support needs for variations in preferred language, script, and spelling

Maintenance National agencies control their records Records harvested from national systems

Scalable Any number of national authority files

Project Stages Stage 1: Retrospective Link

Phase 1: Build enhanced authority files for both PND and LC person names

Phase 2: Match PND and LC enhanced authority records to create the initial version of the VIAF

Stage 2: Ongoing Maintenance Phase 3: Build OAI Server Phase 4: Ongoing maintenance and metadata

harvesting using OAI protocols

Stage 3: Searchable system Stage 4: End user interface with Unicode displays

IFLA

FRBR

Cataloging principles IME ICC Statement

Virtual International Authority File (VIAF)

Work

Expression

Manifestation

Item

International Cataloguing Code

AACR: Supporting Organizational Structure

Committee of

Principals

AACR FundTrustees/Publishers

Joint SteeringCommittee

ALACC:DA

ACOC BL CCC CILIP LC

JSC, Editor, Project Manager

1997 International Conference on the Principles and Future Development

of AACR Toronto, Canada JSC invited

worldwide experts Issues leading to

RDA

Principles Content vs. carrier Logical structure of

AACR Seriality Internationalization

Why a new standard? Simplify rules

Encourage use as a content standard for metadata schema

Encourage international applicability Provide more consistency Address current problems Principle-based

Build on cataloger’s judgmentEncourage application of FRBR/FRAD

Why not just keep revising AACR2?

AACR21978198819982002

A new cataloging environment

Wide range of information carriers: wider depth and complexity of content

Metadata created by a wider range of personnel

Many new metadata formats

RDA will be… A new standard for resource description

and access Designed for the digital environment

Developed as a web-based product Description and access of all digital resources

(and analog)Resulting records usable in the digital

environment (Internet, Web OPACs, etc.)

RDA will be… Multinational content standard for a variety

of media and formats collected by libraries today

Developed for use in English language environment; also be used in other language communities

Independent of the communication format (e.g., MARC 21)

RDA will…

Support FRBR user tasksFind, identify, select, obtain

Enable users of library catalogues, etc. to find and use resources appropriate to their information needs

Targets of Strategic Plan

1. New edition – early 20092. Reach out to other communities3. Web-based product/tool, plus a print paper

product

RDA Structure (Proposed) General introduction Part A – Description and access Part B – Authority control (Access point

control) Appendices

Capitalization, Numerals, Initial articles, Abbreviations

Presentation (ISBD display, OPAC display, etc.)

Glossary Index

Part A Chapters 0-5

0. Introduction1. General guidelines for resource

description2. Identification of the resource3. Carrier - FRBR “Select”4. Content - FRBR “Select”5. Acquisition and access information -

FRBR “Obtain”

Part A, Chapters 6-7“Relationships”

Chapter 7: Relationships between FRBR Group 1 entities:WorksExpressionsManifestationsItems

Chapter 6: Relationships between FRBR Group 1 and Group 2 entities:

PersonsCorporate bodiesFamilies

FRBR user task “Find”

Part B Access Point Control

Choice of access pointsGeneral guidelines for access point control Access points (preferred forms and variants) for:

Persons, Families, Corporate bodies, Places Works, Expressions, etc.

Other information used in access point control (entity identifiers, sources, etc.)

New Terminology

AACR2 termsHeading

Authority control

Authorized heading

Main Entry

Added Entry

Uniform title

RDA termsAccess point

Access point control

Preferred access point

Primary Access point

Secondary Access point

Preferred title

RDA Draft Reviews

Mar.-June 2007: Chapter 3 “Carrier” July–Sept. 2007: Chapters 6 and 7

“Relationships” Dec. 2007-Mar. 2008: Part B “Access

Point Control” July-Sept. 2008: Complete draft of RDA Early 2009: First release of RDA

Content vs. display RDA will be a content standard not a

display standard RDA records can still be displayed in an

ISBD display if desired

Transcription “Take what you see”

Correction of inaccuraciesFacilitating automated data capture

Other issues Terms for Content and Carrier

RDA/ONIX framework for resource categorization

JSC GMD/SMD Working Group Mandatory (“Required”) Elements Mapping Data Elements

RDA/MARC 21 Dublin Core

Ongoing work Mode of Issuance Internationalization Persistent Identifiers and URLs Appendices Access Points for Families Examples Glossary

Preparing for RDA…

Coding RDA records in MARC 21 – and DC?

Most RDA data elements can be incorporated into MARC 21

A few changes: New data elements to replace GMDs Possibly some other modifications necessary to

MARC 21 RDA and DC: mappings, further discussions

Making decisions about RDA

RDA will offer many alternatives, options Only a few required data elements Who decides how to apply RDA?

National libraries Other governing bodies: OCLC, PCC

Training for RDA Catalogers will need some training in RDA Groups that provide training are beginning

to make plans Online product will assist with learning

RDA Online Prototype

View/listen to a 3-minute demo. of RDA Online

Complete a brief survey – we want your feedback!

www.rdaonline.org

Commenting on RDA drafts

RDA drafts available at: www.collectionscanada.ca/jsc/rda.html

Informal discussion: subscribe to RDA-L (link on page above)

Formal comments: within Europe, contact the JSC Chair, Deirdre Kiorgaard at: dkiorgaa@nla.gov

Summary User-oriented models (FRBR) Internationalization

Global sharing Cost reduction

Across information communities/memory institutions

Principle-based rules (IME ICC) Cataloger’s judgment

Take descriptive metadata Add controlled vocabularies for precision of

searching (VIAF)

Takk fyrir!

Thank you!