Cataloguing Codes and Conceptual Models: RDA and the Influence of FRBR and other IFLA Initiatives by Dr. Barbara B. Tillett Chief, 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)

Group 1 - Relationships Inherent to the Entities Work “is realized by” an expression  Expression “is embodied in” a manifestation Manifestation “is exemplified by” an item  Item FRBR

Relationships Inherent among the entities Content relationships among works Work Expression Manifestation Item Whole-Part Accompanying

Same Expression New Expression Family of Works New Work B. Tillett Dec. 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 FRBR FRBR Entities: Person Family Corporate Body Work Expression Manifestation Item Concept Object Event Place Name Identifier 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 FRBR

FRBR and MARC MARC bibliographic, authority, and holdings records FRBR and MARC crosswalk and analysis: analysis/frbr.html analysis/frbr.html

FRBR-ize MARC records OCLC’s algorithm LC’s display tool

Possible FRBR applications Scenario A - Now Authority Bibliographic Holding Item Work/ Expression Uniform Title Concept Manifestation Person Series (work/expression) Uniform Title

Scenario B Work/ Expression Uniform Title Manifestation Authority Bibliographic Holding Item Concept Person/ Corporate body Series (work/expression) Uniform Title Person/ Corporate body

Collocation Better organization to catalog Easier cataloging Reduction in cataloging load Work only cataloged once for all expressions of it Expression only cataloged once for all manifestations of it Item 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

Next/Final Meeting – IME ICC August subSaharan Africa  Hosted by the National Library of South Africa, Pretoria, South Africa

Statement of International Cataloguing Principles ( ) 1. Scope 2. Entities, Attributes, Relationships 3. Functions of the Catalogue 4. Bibliographic Description 5. Access Points 6. Authority Records 7. 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 controlled vocabularies (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

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 judgment  Encourage application of FRBR/FRAD

Why not just keep revising AACR2? AACR2  1978  1988  1998  2002

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 tasks  Find, 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 Reach out to other communities 3. 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 Introduction 1. General guidelines for resource description 2. Identification of the resource 3. 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: Works Expressions Manifestations Items Chapter 6: Relationships between FRBR Group 1 and Group 2 entities: Persons Corporate bodies Families FRBR user task “Find”

Part B Access Point Control  Choice of access points  General 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 terms Heading Authority control Authorized heading Main Entry Added Entry Uniform title RDA terms Access 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 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 inaccuracies  Facilitating 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!

Commenting on RDA drafts RDA drafts available at: Informal discussion: subscribe to RDA-L (link on page above) Formal comments: within Europe, contact the JSC Chair, Deirdre Kiorgaard at:

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!