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香港中文大學圖書館系統 University Library System. The Chinese University of Hong Kong. By Fanny Chan & Ernest Yik. February 24 , 200 6. A Conceptual Model of Name Access Control for Institutional Repository. Outline. Introduction Traditional personal name authority control

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slide1

香港中文大學圖書館系統

University Library System

The Chinese University of Hong Kong

By Fanny Chan & Ernest Yik

February 24, 2006

A Conceptual Model of Name Access Control for Institutional Repository

outline
Outline
  • Introduction
  • Traditional personal name authority control
  • Proposed conceptual model of name access control for IR
  • How to link to DSpace Repository & supports OAI-PMH integration
  • Limitations & suggestions
introduction
Introduction
  • Why is name access control important for institutional repository?
    • Author search is common for IR.
    • Different name forms of authors resulted in incomplete retrieval.
    • Proper name access control enhances collocation.
traditional personal name authority control for ir
Traditional personal name authority control for IR
  • Unable to achieve complete retrieval:
    • Based on the real existence in bibliographic records.
    • Different name authority records may be created for the same author.
  • Require great effort to establish & maintain the name authority file.
slide7

Established heading

Not-used headings

See-also references

Bibliographic information

the conceptual model of name access control for ir
The conceptual model of name access control for IR
  • Goal
    • Achieve complete retrieval by one stop author search.
    • Require the least effort to establish and maintain the name file.
    • Support cross-institutional search.
features of the conceptual model of name access control
Features of the conceptual model of name access control
  • Focus on personal name.
  • One record for one author.
  • No established names but the display names simply based on the official staff list, etc.
  • All name forms are equally valid and bear the author’s unique number for linking & matching.
features of the conceptual model of name access control cont d
Features of the conceptual model of name access control (Cont’d)
  • Not rely on real existence in bibliographic records but focus on post-coordination.
  • Names are not stored in MARC records but decomposed into components & stored in separate name file.
sample name file
Sample name file

Assuming user may search by any one of the following:

Lau Lai Mei Grace Liu Liwei

Chau Lau Lai Mei Grace Liu Li Wei

Lau Lai Mei Zhou-Liu Liwei

Lau L.M. Zhou-Liu Li Wei

Lau Grace 劉麗薇

Grace Lau周劉麗薇

Grace Lau Lai Mei ……

how the name file is linked to dspace repository
How the name file is linked to Dspace repository
  • The unique author ID in the name file serves as a matching key to map the names on DSpace repository.
  • Each name when input onto DSpace repository would be pre-assigned with the author ID.
  • This unique author ID could then link up all variant name forms of the same author on Dspace repository.
  • No matter which form is searched by, the publications of the same author would be collocated & retrieved.
search mechanism from name file to dspace repository
Search mechanism: from name file to DSpace Repository

N

System searches

name file for

matching names

Any

matches?

User starts a new

author search

N

Y

System presents

the list of matching

authors with details

to the user

One or more

names meet the need of the user?

User checks the

list of authors

Y

User selects

the appropriate

Names from

the list

System converts

the names

into unique

author IDs

System submits

author IDs to

DSpace for

author search

DSpace retrieves

all publications

which contain the

specific author IDs

search mechanism sample search
Search mechanism: Sample search

N

Any

matches?

System searches

name file for

Grace Lau

User searches

by Grace Lau

N

Y

Lau, Lai Mei Grace

Lau, Lai Ming Grace

Lau, Mei Mei Grace

One or more

names meet the need of the user?

User checks the

list of authors

Y

Lau, Lai Mei

Grace

Author ID F123

System searches

author ID F123

on DSpace

DSpace retrieves

all publications

which contain

author ID F123

how the nac conceptual model supports oai pmh integration
How the NAC conceptual model supports OAI-PMH integration
  • In order to work with OAI-PMH harvesters that do not adapt the name access control model, we will need to add a “translation layer” to map author IDs back into their names.
oai pmh integration
OAI-PMH integration

Harvester

DSpace-OAI

“Translation layer” -

Mapping author IDs to

preferred author names

Name files

database

DSpace

Repository

limitations suggestions
Limitations & suggestions
  • The response time is likely longer than the existing direct author search.
  • Author search is confined to CUHK authors.
  • However, the name file is extendable & allows cross-institutional search if other institutions are willing to adopt the similar name access control model & share the IRs & name files.