british library authority control and naco principles of

RDA NACO Authority Records

Principles of Authority Control

© The British Library Board 2014

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The Purpose of the Catalogue

Sir Anthony Panizzi (1797-1879)

British Museum Library

Assistant Librarian (1831–37),

Keeper of Printed Books (1837-56)

Chief Librarian (1856–66)

“Ninety-One Cataloguing Rules" (1841)By Carlo Pellegrini, pencil, watercolour and gouache,

published in Vanity Fair 17 January 1874

© National Portrait Gallery

http://creativecommons.org/licenses/by-nc-nd/3.0/

http://creativecommons.org/licenses/by-nc-nd/3.0/

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• To bring together like items

• To differentiate among similar ones

“Ninety-One Cataloguing Rules" (1841)

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Charles Ammi Cutter (1837-1903)

Boston Athenaeum Library

Librarian (1868-1893)

“Rules for a Dictionary Catalog” (1874))

“Rules for a Dictionary Catalog”

(1874)

Charles Ammi Cutter, librarian by Boston Athenaeum

Usage terms: Free from known copyright restrictions

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• To enable a person to find a book of which either the author, title or subject is known

• To show what the library has by a given author, on a given subject, or in a given kind of literature

• To assist in the choice of a book as to its edition or to its character

“Rules for a Dictionary Catalog” (1874))

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A catalogue has two main functions:

• The finding function

To enable a user to find a book with a known author, title or subject

• The gathering function

To show what the library has by an author, on a subject or in a given kind of literature

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According to the Statement of International Cataloging Principles:

• Controlled access points should be provided for the authorized and variant forms of names

• Controlled access points provide the consistency needed for collocating the bibliographic records for sets of resources

“Statement of International Cataloging Principles” (IFLA, 2009) (IFLA, 2009)

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In RDA, data recorded to reflect attributes of person, family or corporate body enable the user to:

• Find -person, etc.

• Identify -person, etc.

• Understand –relationships between names

• Understand – why a name was chosen

RDA 8.2

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RDA instructions therefore follow these principles:

• Differentiation

Data should differentiate the person, family or corporate body from others

• Representation

Preferred name should be name most commonly found in resources, or otherwise well-accepted formform of name most commonly found in associated resources

RDA 8.2

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Authority Control

This is what Authority Control is for

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Contemporary issues

• VIAF/WorldCat

Matching identities across authority files

• ISNI

Assigning international standard identifiers to names

• BIBFRAME

Transition from MARC 21 format to a linked data model

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Authority Control

Mission Statement:

Authority Control exists to provide consistent access points across the catalogue, so that users can find the material they need.

We enable users to find items with known authors or subjects, and to show all that the library has by an author or on a subject.

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Authority Control

Authority Control achieves this by maintaining an authority file, which regulates the authorised and variant access points used in the catalogue, and provides a standard for cataloguing.

Authority Control works to bring records in the British Library Integrated Catalogue up to this standard.

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Authority Control

Achieved through

• Authority file documenting access points

• Access points applied consistently

• RDA elements recorded for retrieval and matching

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Access Points for Names

Name access points can be for:

• People – Brown, Gordon, 1951-

• Bodies – British Library

• Meetings – Conference on Bats (1999 : Whitby, England)

• Places (Jurisdictions) - France

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Uniqueness and Uniformity

Access points must be

• Unique

By addition of distinguishing data

• Uniform

Used correctly in catalogue records

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Recall and Precision

Authority Control provides

• Recall

works sharing a heading retrieved together

• Precision

unwanted works not retrieved

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Importance of Authority Control

Lack of authority control leads to

• Access points for wrong entity used in catalogue records

Through inadequate checking of authority file, or

Because headings have not been made unique

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Importance of Authority Control

Lack of authority control leads to

• Multiple access points for the same entity

Through inadequate checking of authority file, or

Because catalogue records were derived from different sources, or

Because catalogue records were created at different times, following different rules

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Integrating the BL Catalogue

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Access points were created at different times, to different rules

Gandhi, M. K. Gandhi, M. K. (Mohandas Karamchand)Gandhi, Mahatma, 1869-1948Gandhi, MohandasGandhi, Mohandas Karamchand, 1869-1948Gandi, Muhandas Karamchand

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Access points were created at different times, to different rules

Lenin, V. I.Lenin, V. I. (Vladimir Il´ich), 1870-1924Lenin, Vladimir Il´ich

Also in bibliographic records derived from different sources

Trotsky Leon, 1879-1940Trot skii, Lev

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The Authority File

Rôle of the authority file

• Documents authorised access points

• Documents variant access points

• Saves cataloguer time

• Cataloguer looks for an authority file entry

• Does not have to check catalogue records

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The Authority File

Enables sharing of catalogue records

• Libraries contribute to a shared file

• Libraries and utilities use the same file

• Cost of authority control is reduced

• Bibliographic records can be shared

• Cost of cataloguing is reduced

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Authorized Access Points

Preferred name determined by RDA

• Form by which a person is commonly known

• Form by which a body is commonly identified

• Usually form in preferred source of first item

• Different forms recorded as variant names

• In preference to changing the access point(unless name has changed)

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Variant Access Points and Relationships

Crucial in providing access to a catalogue

• Variant access points (See references)

forms not chosen as Authorized access points

• Relationships (See also references)

to related names

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Attributes

Attributes of persons and bodies

• Help to identify the person or body

• Important in future for linked data

• Created following RDA instructions

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Notes

Notes in authority records

• Help to identify the person or body

• Titles of works they have written

• Information from reference sources

• Notes for cataloguers

• Public notes

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LC/NACO Authority File

Library of Congress/Name Authorities Cooperative Authority File

• Maintained by Library of Congress

• Created by Name Authorities Co-operative

• Over 785 NACO institutions

• BL joined NACO in 1994

• more than 8 million authority records.

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BLNAL

British Library Name Authority List

• The British Library's former authority file

• Created in 1981 for BNB

• Converged with LC/NAF in 1990s (AAAF project)

• Replaced by LC/NAF in 2004

• Around 1 million records in Aleph BLL12

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Name Authorities Co-operative (NACO)

LC/NAF is created by NACO members

• Create new records• Amend existing records

Helps global library community

• Work more efficiently and effectively• Maximise resources

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Name Authorities Co-operative (NACO)

Common standards

• Resource Description and Access (RDA)• LC-PCC Policy Statements• MARC 21 Format for Authority Data• Subject Headings Manual (H 405)• LC Descriptive Cataloging Manual: Z1

Local guidance

• BL Guide to RDA Name Authority Records Records• British Library Authority Control Manual• Guide to Aleph: Authority Control

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Resource Description and Access

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LC-PCC Policy Statements

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MARC 21 Format for Authority Data

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Subject Headings Manual

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Subject Headings Manual: H 405

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Descriptive Cataloging Manual (LC)

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Descriptive Cataloging Manual: Z1

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British Library Guide to RDA Name Authority Records

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Local BL Documentationhttp://intranet.ad.bl.uk/suppservices/policy/acmanual/index.html

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Local BL Documentationhttp://intranet.ad.bl.uk/suppservices/libsystems/ils/howtouseils/authcontrolman/index.html

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PCC Home Pagehttp://www.loc.gov/aba/pcc

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NACO Home Pagehttp://www.loc.gov/aba/pcc/naco/

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NACO Contribution Guidelines

When creating certain types of NARs, other related NARs must be established

• Parent bodies of subordinate bodies

• Parent bodies in variant access points

• Related entities in see-also references

• Names of places or bodies used as qualifiers

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Parent Bodies of Subordinate Bodies

For this NAR:

110 2 _ $a British Library. $b Operations

Another NAR is needed for:

110 2 _ $a British Library

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Parent Bodies in Variant Access Points

For this NAR:

110 2 _ $a Essex County Library410 2 _ $a Essex (England). $b Essex

County Library


151 _ _ $a Essex (England)

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Related Entities in See-also References

For this NAR:

110 2 _ $a British Broadcasting Corporation510 2 _ $w r $i Predecessor: $a British

Broadcasting Company


110 2 _ $a British Broadcasting Company

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Names of Places or Bodies as Qualifiers

For this NAR:

110 2 _ $a Galleria d’arte contemporanea (Turin, Italy)


151 _ _ $a Turin (Italy)

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Deleting NARs

• Only LC can delete NARs

• Email Authority Control when deletions are needed (usually duplicates)

• NACO participants can create and change NARs

• Email Authority Control if a new NAR is createdfor a person formerly on an undifferentiated NAR

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NACO Normalization

• Text string converted to normalized form

• Removes diacritics and most punctuation

• Converts letters to upper case

• Ignores MARC 21 tags

• Text strings that normalize to the sameform are considered duplicates

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NACO NormalizationDescriptive Cataloging Manual: Z1

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NACO Normalization

Catalogue entry form:

151 _ _ $a Île-de-Montréal (Québec)

Normalized form:

151 _ _ ILE DE MONTREAL QUEBEC

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NACO Normalization

Conflicts that are not allowed:

1XX vs. 1XX

4XX vs. 1XX & 5XX

4XX vs. 4XX in same record

But

5XX must normalize to 1XX

4XX may match 4XX in a different record

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NACO Normalization

A 1XX may not normalize to the same string as another 1XX

100 1_ $a Smith-Jones, Barb

and

100 1_ $a Smith Jones, Barb

This is a conflict

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NACO Normalization

A 4XX may not normalize to the same string as a 1XX or a 5XX

100 1_ $a O’Brien, John400 1_ $a O’Brien, Jack

and

100 1_ $a O’Brien, Jack

This is a conflict

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NACO Normalization

A 4XX may not normalize to the same string as another 4XX in the same record

110 2 _ $a Winston-Salem Sunrise Hiking Club

410 2 _ $a Winston-Salem Hiking Club410 2 _ $a Winston/Salem Hiking Club

This is a conflict

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NACO Normalization

A 4XX may normalize to the same string as a 4XX in another record

100 1 _ $a Potter, Harold400 1 _ $a Potter, Harry

and

100 1 _ $a Potter, Henry400 1 _ $a Potter, Harry

This is not a conflict

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NACO Normalization

MARC 21 tags are ignored

110 2 _ $a Smithville Music Archives

and

130 _0 $a Smithville music archives

This is a conflict

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FRBR and FRAD

Functional Requirements for Bibliographic Records(IFLA, 1998)

Functional Requirements for Authority Data(IFLA ,2009)

• FRBR and FRAD are the bedrock of RDA

• Entity-relationship Model

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Entity-Relationship Model

• Entity: Something that can be distinctly identified

• Relationship: An association between two or more entities

• Attribute: A characteristic that may identify instances of entities or relationships

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FRBR Entities

Group 1: The products of intellectual or artistic endeavor. Sometimes called “the primary entities.”

• Work: a distinct intellectual or artistic creation

• Expression: the intellectual or artistic realization of a work in some form (e.g. alpha-numeric, musical notation)

• Manifestation: the physical embodiment of an expression (e.g. a print publication)

• Item: a copy of a manifestation

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FRBR/FRAD Entities

Group 2: Entities responsible for Group 1

• Person

• Family

• Corporate body

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NACO Authority Records – Where in RDA?

Recording Attributes of...

Section 3: Person, Family & Corporate Body

Ch. 8: General Guidelines

Ch. 9: Identifying Persons

Ch. 10: Identifying Families

Ch. 11: Identifying Corporate Bodies

Section 4: Concept, Object, Event & Place

Ch. 16: Identifying Places

6666


Recording Relationships between...

Section 9: Persons, Families & Corporate Bodies

Ch. 29: General Guidelines

Ch. 30: Related Persons

Ch. 31: Related Families

Ch. 32: Related Corporate Bodies

Section 10: Concepts, Objects, Events & Places

Ch. 37: Related Places [not yet written]

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Appendix A: Capitalization

Appendix B: Abbreviations

Appendix E: Record Syntaxes for Access Point Control [i.e. punctuation]

Appendix F: Additional Instructions on Names of Persons [i.e. languages]

Appendix K: Relationship Designators [...] between Persons, Families and Corporate Bodies

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• 0XX – control fields, numbers and codes

• 1XX – authorized access point (not repeatable)

• 3XX – RDA entity attributes

• 4XX – variant access points (see references)

• 5XX – relationships (see also references)

• 6XX – notes

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0XX – Control Fields, Numbers and Codes

• 001 – Control Number (Aleph system number)

• 005 – Date and Time of Latest Transaction

• 008 – Fixed Length Data Elements

• 010 – Library of Congress Control Number (LCCN)

• 040 – Cataloguing Source

Other 0XX fields not used by the British Library

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001 – Control Number

• At the BL, this is the Aleph system number

• In LC’s master file, this is the LCCN

• Swapped around when we export and import NARs

001 000986696

001 n 83003784

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005 – Date and Time of Latest Transaction

• When record was most recently saved at LC

• Enables version control

• Many NACO participants may change the same NAR

• Uses ISO 8601 format

005 20090114063457.0

(2009-01-14-0634-57.0)

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008 – Fixed Length Data Elements

008/10 – Descriptive Cataloguing Rules

a,b,c,d = earlier rules, including AACR2z = RDA

008/11 – Subject Heading System/Thesaurus

a = LCSHn = not applicable

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008/15 – Heading Use – Subject Added Entry

a = appropriateb = not appropriate

008/29 – Reference evaluation

a = 4XX or 5XX fields presentb = includes 4XX fields that are not evaulatedn = no 4XX or 5XX fields present

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008/32 – Undifferentiated Personal Name

a = Differentiated personal nameb = Undifferentiated personal namen = Not applicable

008/33 – Level of Establishment

a = fully establishedc = provisional

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010 – Library of Congress Control Number

$a – LC control number

$z – Incorrect/cancelled LC control number

• Check pre-2000 LCCNs beginning with “n”

• Correct the LCCN if it has become corrupted

n 98006677^ is wrong

n^^98006677^ is right

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040 – Cataloguing Source

$a – Original cataloguing agency

$b – Language of cataloguing

$c – Transcribing agency

$d – Modifying agency

$e – Description conventions

040 $a Uk $b eng $e rda $c Uk $d DLC

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046 – Special Coded Dates

$f – Birth date

$g – Death date

$s – Start period

$t – End period

$2 – Source of date scheme

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Generally follow ISO 8601 format:

yy (century): 20

[the first two digits of the year, i.e., 21st century]

yyyy (year alone): 2012

yyyy-mm (year and month): 2012-01

yyyymmdd (year, month, and day): 20120113

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• Dates below 1000 Use zeroes

0951 = 951 A.D.

01 = 2nd century A.D.

00 = 1st century A.D.

• BC dates

Precede with a minus sign

Subtract one year, as there was no year zero

-0046 = 47 B.C.

-00 = 1st century B.C.

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1XX – Authorized Access Point

• 1001 – Person with surname

• 1000 – Person without surname

• 1003 – Family

• 1101 – Corporate body (recorded under jurisdiction)

• 1102 – Corporate body

• 1112 – Meeting (etc.)

• 130 Work/expression with no explicit creator

• 151 – Jurisdiction

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3XX – RDA Elements

• 368 – Other Attributes of Person or Corporate Body

• 370 – Associated Place

• 371 – Address

• 372 – Field of Activity

• 373 – Associated group

• 374 – Occupation

• 375 – Gender

• 376 – Family Information

• 377 – Language

• 378 – Fuller Form of Name

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4XX – Variant Access Point



• 4003 – Family






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5XX – Links to Related Entities



• 5003 – Family






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6XX - Notes

• 663 – Complex See Also Reference

• 667 – Cataloguer’s Note

• 670 – Source Consulted

• 675 – Source Data Not Found

• 678 – Biographical or Historical Data

8585

BL Guidelines

Extent of research

Do research required for 1XX, 4XX and 5XX

Include 046/3XX where information is readily ascertainable

Do not do further research to complete 046/3XX

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The Authority Control Process at the BL

• Create new NACO record for BLL10• Create appropriate cross-references• Delete any BLNAL record in BLL12• Align variant access points on the catalogue

RDA Authority Records

Principles of Authority Control

THE END