LIDA, FRBR and FRANAR Workshop, Mljet, FUNCTIONAL REQUIREMENTS AND NUMBERING OF AUTHORITY RECORDS A CONCEPTUAL MODEL Work in Progress Mirna Willer, National and University Library, Croatia

LIDA, FRBR and FRANAR Workshop, Mljet, CONTENT -Background -IFLA Working Group on FRANAR -A conceptual model: work in progress -Open issues -References

LIDA, FRBR and FRANAR Workshop, Mljet, Background (1) 1.FRBR, 1998, p. 5: The model “does not analyse the additional data that are normally recorded in an authority record, nor does it analyse the relationships between and among those entities that are generally reflected in the syndetic apparatus of the catalogue... the study group recognizes the need to extend the model at some future date to cover authority data.”

LIDA, FRBR and FRANAR Workshop, Mljet, Background (2) 2. Work in the field of authority data 2.1. IFLA’s documents, etc. -authority lists (e.g., Anonymous Classics) -rules (e.g., Names of Persons) -guidelines (e.g., GARR, GSAR) -MARC format (i.e., UNIMARC/Authorities) -studies/reports (e.g., Bourdon, Françoise. International Cooperation in the Field of Authority Data, 1993) -conferences (e.g., IC on National Bibliographic Services, 1998) -Working Group on Minimal Level Authority Records and the ISADN

LIDA, FRBR and FRANAR Workshop, Mljet, Background (3) A shift in paradigm: -UBC: establishment of uniform headings and exchange of authority data -user-centred view: a (virtual) shared resource authority file (under the auspices of IFLA) References: -Plassard, Marie-France. IFLA and Authority Control. -Tillett, Barbara. Authority Control: State of the Art and New Perspectives. -Willer, Mirna. Authority Control and ISADN

LIDA, FRBR and FRANAR Workshop, Mljet, Background (4) 2.2. International organisations standardising activities -ISO/TC46 (e.g., International Standard Text Code: ISTC) -ICA, Committee on Descriptive Standards (International Standard Archival Authority Record for Corporate Bodies, Persons, and Families: ISAAR(CPF)) 2.3. International projects -CERL - (interoperability of digital content identification systems and related rights metadata within multi-media e- commerce); INTERPARTY

LIDA, FRBR and FRANAR Workshop, Mljet, Background (5) -MALVINE (manuscripts and letters) -LEAF (linking & exchanging authority files) -Dublin Core Agents WG -MACS (multilingual access to subjects) -AFNOR WG on Authority Metadata (French standardising body) -VIAF (LC, DDB & OCLC: virtual international authority file) -etc.

LIDA, FRBR and FRANAR Workshop, Mljet, IFLA WG on FRANAR (1) IFLA Working Group on Functional Requirements and Numbering of Authority Records, 1999 Terms of reference: -to define functional requirements for authority records; -to study the feasibility of an ISADN, to define possible use and users, to determine for what types of authority records such an ISADN is necessary, to examine the possible structure of the number and the type of management that would be necessary; -to serve as the official IFLA liaison to and work with other interested groups concerning authority files.

LIDA, FRBR and FRANAR Workshop, Mljet, IFLA WG on FRANAR (2) -work in progress: ToR (1) and (3) -Patton, Glenn E. FRANAR: A Conceptual Model for Authority Data (International Conference Authority Control, Florence, February 2003) eng.pdf FRANAR Meeting, Zagreb, May members: F. Bourdon (BnF), C. Hengel-Dittrich (DDB), O. Lavrenova (RSL), A. McEwan (BL), E. Murtomaa (HUL-NLF), G. Patton, chair (OCLC), H. Snyder (UC Riverside), B. Tillett (LC), H. Walravens (ISBN), M. Willer (NSK) -consultant: Tom Delsey (Canada)

LIDA, FRBR and FRANAR Workshop, Mljet, A conceptual model (1) 1. Purpose The conceptual model has been designed to: - provide a clearly defined, structured frame of reference for relating the data that are recorded in authority records to the needs of the users of those records; - clarify the function of identifiers or standard numbers for authority data; - assist in an assessment of the potential for international sharing and use of authority data both within the library sector and beyond.

LIDA, FRBR and FRANAR Workshop, Mljet, A conceptual model (2) 2. Scope -at a high level, the model encompasses authority records of all types: -name (personal, family, corporate, geographic, trademark) -title (uniform titles and collective uniform titles) -name-title -subject (subject headings, thesaurus terms, classification schedules) -identifiers (code lists, etc.) -the detailed analysis focuses on library authority records for -name headings associated with persons, families, corporate bodies -name-title and title headings associated with works, expressions, manifestations, and items

LIDA, FRBR and FRANAR Workshop, Mljet, A conceptual model (3) -users of authority records: -librarians -library patrons -database management and applications software -user tasks: -resource discovery: find; identify, control, relate -data management: process, sort, display, integrate

LIDA, FRBR and FRANAR Workshop, Mljet, A conceptual model (4) 3. Authority files in a library context Three broad, interrelated stages in the cataloguing process: (1)creation of bibliographic description (2)formulation of headings and references: the choice and form of headings (3)registration of headings and references: order and form in which headings and their associated reference structures are to be presented in an authority record, and what additional information to record Stages (1) and (2)  incorporated into bibliographic file Stage (3)  incorporated into authority file: serves as a vehicle for recording the form that has been established for individual headings used in the catalogue and the reference structure associated with each heading The primary function of the authority file: to control the access points used in the bibliographic file

LIDA, FRBR and FRANAR Workshop, Mljet,

LIDA, FRBR and FRANAR Workshop, Mljet, A conceptual model (5) 4. Entity-Relationship Diagrams and Definitions The model is focused on the “library universe;” the “hooks” to link the model to the “real world,” i.e., entities defined in other communities (e.g., archives, rights management: entities), will be dealt with in the next phase. -Figure 2: Entity Names and Identifiers; entities (FRBR entities & family) associated with the names and identifiers that are registered in authority files -Figure 3: Access Points and Authority Records; formal or structural entities  a name or identifier is used to formulate an access point  access point is registered in an authority file as an authorized/variant heading in an authority/reference record or explanatory heading in a general explanatory record; entities rules and agency determine the form and content of authority records

LIDA, FRBR and FRANAR Workshop, Mljet,

LIDA, FRBR and FRANAR Workshop, Mljet,

LIDA, FRBR and FRANAR Workshop, Mljet, A conceptual model (6) 5. Attributes -defined at a “logical level,” i.e., as characteristics of the entities to which they pertain, not as specifically defined data elements -definitions derived from: FRBR, UNIMARC/Authorities, MLAR (Mandatory Data Elements for Internationally Shared Resource Authority Records), ISAAR(CPF) -e.g.; Attributes of a Person: -dates of person, title of person, other designation associated with the person, gender, place of birth, place of death, citizenship, place of residence, affiliation, address, language of person, field of activity, profession/occupation, biography/history

LIDA, FRBR and FRANAR Workshop, Mljet, A conceptual model (7) 6. Relationships 6.1 Relationships Depicted in the High-Level Diagrams Figure 2: -associations between “bibliographic” entities and the names by which those entities are known (in the “library universe”) and the identifiers assigned to those names  “known by” & “identified by” -generic relationships between FRBR entities: e.g., a person associated with a work (author), expression (translator), manifestation (printer), item (owner)  “associated with”

LIDA, FRBR and FRANAR Workshop, Mljet, A conceptual model (8) Figure 3: -functional associations between names and identifiers and access points, authorized/variant/explanatory headings, authority/reference/explanatory records, rules that govern them and the agencies that create, transcribe, modify and issue them  “basis for,” “registered as,” “referenced from,” “registered in,” “registered as,” “governed by,” “applied by,” & “created/transcribed/modified/issued by” -e.g., a name is a basis for an access point which is registered as an authorized heading, which as such is registered in an authority record; the creation of an authorized heading is governed by rules which are applied by an agency; that agency creates etc. authority records

LIDA, FRBR and FRANAR Workshop, Mljet, A conceptual model (9) 6.2 Reference Structure Relationships Relationships within authority files: -relationships between specific instances of entities of the same type: -person to person: pseudonymous, attributive and collaborative relationships -corporate body to corporate body: predecessor/successor, separation, amalgamation, subordinate, sequential, other relationships -family to family: genealogical relationships -work to work: whole/part, adaptation, other types of relationships

LIDA, FRBR and FRANAR Workshop, Mljet, A conceptual model (10) -relationships between a specific instance of an entity type and a specific instance of a different entity type: -person to family: membership relationship -person to corporate body: membership relationship -relationships may be made explicit by means of information notes, instruction phrases or coded data that is used to generate display constants

LIDA, FRBR and FRANAR Workshop, Mljet, A conceptual model (11) EX 1: Person to Person: pseudonymous relationship Authorized heading: Metz, Barbara Information notes/see also references: Barbara Metz also writes under the pseudonyms Barbara Michaels and Elizabeth Peters. For works written under those pseudonyms, search under: >> Michaels, Barbara, >> Peters, Elizabeth See also reference tracings: << Michaels, Barbara, << Peters, Elizabeth

LIDA, FRBR and FRANAR Workshop, Mljet, A conceptual model (12) EX 2: Person to Family: membership relationship Authorized heading: Wulz, Wanda ( ) Information note: Photographe italienne née et morte à Trieste See also references/reference tracings: >><< Wulz (famille)

LIDA, FRBR and FRANAR Workshop, Mljet, A conceptual model (13) 6.3 Linking Structure Relationships Relationships that are reflected in the linking structures between specific records and between specific fields in records: Type of heading  relationships -authorized heading to authorized heading; variant heading to variant heading; explanatory heading to explanatory heading  parallel language, alternate script, different rules relationships Type of record  relationships -Authority record to authority record; reference record to reference record; explanatory record to explanatory record  parallel language, alternate script, different rules relationships

LIDA, FRBR and FRANAR Workshop, Mljet, A conceptual model (14) EX 1: Authorized heading to Authorized heading: parallel language relationship Authorized heading: National Library of Canada Parallel heading: = Bibliothèque nationale du Canada EX 2: Authority record to Authority record: parallel language relationship Authority record in English: National Library of Canada = Bibliothèque nationale du Canada NLC/BNC ; AACR2, D-5331E Parallel authority record in French: Bibliothèque nationale du Canada = National Library of Canada NLC/BNC ; AACR2, D-5331F

LIDA, FRBR and FRANAR Workshop, Mljet, A conceptual model (15) 7. User tasks -users of authority records: -librarians: cataloguers and reference librarians -library patrons: use authority information either through direct access to authority files or indirectly through the headings and references in library catalogues, national bibliographies, etc. -database management and applications software: support creation, maintenance, search, retrieval and display of data contained in bibliographic and authority files

LIDA, FRBR and FRANAR Workshop, Mljet, A conceptual model (16) -user tasks associated with -resource discovery: -find: find an entity corresponding to stated criteria -identify: identify an entity -control: control the form of heading used for entries in the catalogue, bibliography, etc. -relate: establish or clarify the relationship between one entity and another -data management: -process: a record/heading by means of standard computer operations -sort: a record/heading for purposes of alphabetic or numeric arrangement -display: entry, heading or data field -integrate: a record, entry or heading in an existing authority file

LIDA, FRBR and FRANAR Workshop, Mljet, Open issues -the consolidation of the model -the feasibility of an ISADN: -the need for a standard number to help in the exchange process (e.g., IS in Vilnius, 1994; IC NBS, Copenhagen, 1998; CERL) -IFLA WG on MLAR and the ISADN: the link with publishing and rights management sectors -FRANAR: not create a new number but look into existing numbers automatically assigned by library systems or adopt ISO standard numbers (ISAN, ISWC, ISRC)? -the question: what exactly are we attempting to number? -an entity, a heading or a record?

LIDA, FRBR and FRANAR Workshop, Mljet, References FRANAR: references 1. Functional requirements for bibliographic records : final report / IFLA Study group on the Functional Requirements for Bibliographic Records. München : K.G. Saur, Guidelines for authority records and references / revised by the Working Group on GARE Revision. 2 nd ed. München : K.G. Saur, UNIMARC manual : authorities format. 2 nd revised and enlarged ed. München : K.G. Saur, Mandatory data elements for internationally shared resource authority records : report of the IFLA UBCIM Working Group on Minimal Level Authority Records and ISADN. Frankfurt am Main, International standard archival authority record for corporate bodies, persons and families. Ottawa : Secretariat of the ICA Commission on Descriptive Standards, 1996.