Access points for intellectual entities

1. Access points for intellectual entities Authority control

2. Technical Processes in Bibliographic Control 1. Description 2. Name access 3. Subject analysis 4. Record formatting 5. Record organization

3. 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

4. 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

5. 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)

6. 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

7. 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

8. 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.

9. 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.

10. 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

11. 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

12. 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

13. 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

14. 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

15. 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

16. 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.

17. 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

18. 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.

22. 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)

23. 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?

28. 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

29. 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 Patterns of Chinese Names

30. PETER BROWN IN CLIO • 29 headings • 9 cross-references • 18 different people • 73 titles • 3 incorrect (two on order records)

31. 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 The Many Faces of Peter Brown

33. 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 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

37. Entry element: Surname • Compound surnames • Hyphenated surnames • Other compound surnames • Nature uncertain • Surnames with prefixes • Different rules for different languages/nationalities

38. 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

40. 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

42. 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.

45. 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. 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 (English)

48. Administration Agence Bureau Cabinet Comite Commissariat Commission Delegation Direction Groupe de … Inspection Mission Office Secreteriat Service Forms of Names for Corporate Bodies (French)

49. Administracion Agencia Asesoria Comisaria Comision Comite Coordinacion Delegacion Diputacion Direccion Directoria Fiscalia Gabinete Gerencia Grupo de … Jefatura Junta Negociado Oficina Secretaria Secretariado Servicio Superintendencia Forms of Names for Corporate Bodies (Spanish)

50. 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.