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Створена сторінка: Statement of International Cataloguing Principles (ICP) by IFLA Cataloguing Section and IFLA Meetings of Experts on an International Cataloguing Code 2016 Editi...
Statement of International
Cataloguing Principles
(ICP)
by IFLA Cataloguing Section and IFLA Meetings of Experts on an
International Cataloguing Code
2016 Edition with minor revisions, 2017
by Agnese Galeffi (chair), María Violeta Bertolini, Robert L. Bothmann,
Elena Escolano Rodríguez, and Dorothy McGarry
December 2016
Approved by IFLA Cataloguing Standing Committee and IFLA Committee of Standards
Endorsed by IFLA Professional Committee
María Violeta Bertolini, Robert L. Bothmann, Elena Escolano Rodríguez,
Agnese Galeffi, and Dorothy McGarry, 2016.© 2016 by María Violeta Bertolini, Robert L. Bothmann, Elena Escolano Rodríguez, Agnese
Galeffi, and Dorothy McGarry. This work is licensed under the CC BY 4.0 license. To view a
copy of this license, visit: https://creativecommons.org/licenses/by/4.0
IFLA
P.O. Box 95312
2509 CH Den Haag
Netherlands
www.ifla.org
2Table of Contents
0
1
2
3
4
5
6
7
8
9
10
11
12
Introduction ................................................................................................ 4
Scope ............................................................................................................ 5
General Principles ...................................................................................... 5
Entities, Attributes, and Relationships ................................................... 6
Bibliographic Description ......................................................................... 7
Access Points .............................................................................................. 7
Objectives and Functions of the Catalogue ......................................... 10
Foundations for Search Capabilities ..................................................... 11
Glossary ..................................................................................................... 13
Sources ....................................................................................................... 18
Terms no longer used in 2016 Statement ............................................. 19
Afterword .................................................................................................. 20
Minor revisions May 2017 ...................................................................... 21
3Introduction
The original Statement of Principles - commonly known as the “Paris Principles” - was approved
by the International Conference on Cataloguing Principles in 1961. 1 Its goal of serving as a basis
for international standardization in cataloguing has certainly been achieved: most of the
cataloguing codes that were developed worldwide since that time have followed the Principles
strictly or at least to a high degree.
More than fifty years later, having a common set of international cataloguing principles is still
necessary as cataloguers and users around the world use online catalogues as search and discovery
systems. At the beginning of the 21st century, IFLA produced a new statement of principles 2
(published in 2009) applicable to online library catalogues and beyond. The current version has
been reviewed and updated in 2014 and 2015, and approved in 2016.
The 2009 Statement of Principles replaced and explicitly broadened the scope of the Paris
Principles from just textual resources to all types of resources, and from just the choice and form
of entry to all aspects of bibliographic and authority data used in library catalogues. It included not
only principles and objectives, but also guiding rules that should be included in cataloguing codes
internationally, as well as guidance on search and retrieval capabilities. This 2016 edition takes into
consideration new categories of users, the open access environment, the interoperability and the
accessibility of data, features of discovery tools and the significant change of user behaviour in
general.
This statement covers:
1. Scope
2. General Principles
3. Entities, Attributes, and Relationships
4. Bibliographic Description
5. Access Points
6. Objectives and Functions of the Catalogue
7. Foundations for Search Capabilities
This statement builds on the great cataloguing traditions of the world, 3 as well as on the conceptual
models in the IFLA Functional Requirements family. 4
It is hoped that the principles in this statement will help to increase the international sharing of
bibliographic and authority data, and will guide cataloguing rule makers in their efforts.
1
International Conference on Cataloguing Principles (Paris : 1961). Report. London: International Federation of Library Associations,
1963, p. 91-96. Also available in: Library Resources & Technical Services, v. 6 (1962), p. 162-167; and Statement of principles adopted
at the International Conference on Cataloguing Principles, Paris, October, 1961. Annotated edition with commentary and examples
by Eva Verona. London: IFLA Committee on Cataloguing, 1971.
2 IFLA Cataloguing Principles: Statement of International Cataloguing Principles (ICP) and its Glossary. München: K.G. Saur, 2009.
(IFLA Series on Bibliographic Control; v. 37). Statement available online <www.ifla.org/publications/statement-of-international-
cataloguing-principles>.
3 Cutter, Charles A. Rules for a Dictionary Catalog. 4th ed., rewritten. Washington, D.C.: Government Printing office, 1904;
Ranganathan, S.R. Heading and Canons. Madras [India]: S. Viswanathan, 1955; and Lubetzky, Seymour. Principles of Cataloging.
Final Report. Phase I: Descriptive Cataloging. Los Angeles, Calif.: University of California, Institute of Library Research, 1969.
4 Functional Requirements: the FRBR Family of Models <www.ifla.org/node/2016>. Being currently under a consolidation process,
this statement reflects some uncertainties of the transitional phase.
4Scope
The principles in this statement are intended to guide the development of cataloguing codes and
the decisions that cataloguers make. They apply to bibliographic and authority data, and
consequently to current library catalogues, bibliographies and other datasets created by libraries.
They aim to provide a consistent approach to descriptive and subject cataloguing of bibliographic
resources of all kinds.
General Principles
The following principles direct the construction and development of cataloguing codes, the
decisions that cataloguers make and policies on access to and exchange of data. Of these, the
convenience of the user is the most important, while principles 2.2 through 2.13 are in no particular
order. If there is a conflict among principles 2.2-2.13, the principle of interoperability should be
rated higher than others.
2.1. Convenience of the user. Convenience means that all efforts should be made to keep all
data comprehensible and suitable for the users. The word “user” embraces anyone who
searches the catalogue and uses the bibliographic and/or authority data. Decisions taken in the
making of descriptions and controlled forms of names for access should be made with the user
in mind.
2.2. Common usage. Vocabulary used in descriptions and access points should be in
accordance with that of the majority of users.
2.3. Representation. A description should represent a resource as it appears. Controlled forms
of names of persons, corporate bodies and families should be based on the way an entity
describes itself. Controlled forms of work titles should be based on the form appearing on the
first manifestation of the original expression. If this is not feasible, the form commonly used in
reference sources should be used.
2.4. Accuracy. Bibliographic and authority data should be an accurate portrayal of the entity
described.
2.5. Sufficiency and necessity. Those data elements that are required to: facilitate access for all
types of users, including those with specific needs; fulfil the objectives and functions of the
catalogue; and describe or identify entities, should be included.
2.6. Significance. Data elements should be relevant to the description, noteworthy, and allow
for distinctions among entities.
2.7. Economy. When alternative ways exist to achieve a goal, preference should be given to the
way that best furthers overall expediency and practicality (i.e., the least cost or the simplest
approach).
2.8. Consistency and standardization. Descriptions and construction of access points should
be standardized as far as possible to enable consistency.
2.9. Integration. The descriptions for all types of resources and controlled forms of names of
all types of entities should be based on a common set of rules to the extent possible.
2.10. Interoperability. All efforts should be made to ensure the sharing and reuse of
bibliographic and authority data within and outside the library community. For the exchange
5of data and discovery tools, the use of vocabularies facilitating automatic translation and
disambiguation is highly recommended.
2.11. Openness. Restrictions on data should be minimal in order to foster transparency and
conform to Open Access principles, as declared also in the IFLA Statement on Open Access. 5
Any restriction on data access should be fully stated.
2.12. Accessibility. The access to bibliographic and authority data, as well as searching device
functionalities, should comply with international standards for accessibility as recommended in
the IFLA Code of Ethics for Librarians and other Information Workers. 6
2.13. Rationality. The rules in a cataloguing code should be defensible and not arbitrary. If, in
specific situations, it is not possible to respect all the principles, then defensible, practical
solutions should be found and the rationale should be explained.
Entities, Attributes, and Relationships
The entities are the key objects of interest to users in a particular domain. Each entity can be
described by its primary characteristics, called attributes. The attributes of the entity serve also as
the means by which users formulate queries and interpret responses when seeking information
about a particular entity. The relationships explain the connections between and among entities.
Cataloguing should take into account the entities, attributes, and relationships as defined in
conceptual models of the bibliographic universe. The conceptual models taken into consideration
are Functional Requirements for Bibliographic Records (FRBR), Functional Requirements for Authority Data
(FRAD) and Functional Requirements for Subject Authority Data (FRSAD).
3.1 Entities: The following entities may be represented by bibliographic and authority data: 7
Work
Expression
Manifestation
Item 8
Person
Family
Corporate Body 9
Thema
Nomen. 10
5
<www.ifla.org/node/8890>
<www.ifla.org/news/ifla-code-of-ethics-for-librarians-and-other-information-workers-full-version>
7 Since the consolidation process involving FRBR, FRAD and FRSAD is currently underway, here are listed all the entities described in
the aforementioned conceptual models. This brings some inconsistencies about Group 3 entities and about nomen in relation to
names and access points.
8 Work, expression, manifestation, and item are the Group 1 entities described in the FRBR and FRAD models.
9 Person, family, and corporate body are the Group 2 entities as described in the FRAD model.
10 Thema (any entity used as a subject of a work) and nomen (any sign or sequence of signs by which a thema is known, referred to,
or addressed as) are the entities introduced and described in the FRSAD model. Within the FRBR framework, thema includes Group
1 and Group 2 entities, and additionally, all others that serve as the subjects of works (i.e., Group 3 concept, object, event, and
place). In FRSAD Nomen is a superclass of the FRAD entities name, identifier, and controlled access point. Being outside of its
purpose, this Statement does not consider Nomen as the superclass of name, identifier and controlled access point.
6
63.2 Attributes: The attributes that identify each entity should be used as data elements.
3.3 Relationships: Bibliographically significant relationships among the entities should be
identified.
Bibliographic Description
4.1 In general, a separate bibliographic description should be created for each manifestation.
4.2 A bibliographic description typically should be based on the item as representative of the
manifestation and may include attributes, or link to attributes, that pertain to the item and to
the embodied work(s) and expression(s).
4.3 Descriptive data should be based on an internationally agreed standard. For the library
community, this standard is the International Standard Bibliographic Description (ISBD). 11
When based on a different standard, all efforts should be made to provide open access to
published mappings between the standard used and the International Standard Bibliographic
Description (ISBD), to foster better interoperability and accurate reuse of information.
4.4 Descriptions may be at several levels of completeness, depending on the purpose of the
catalogue or bibliographic dataset. Information about the level of completeness should be
conveyed to the user.
Access Points
5.1
General
Access points for retrieving bibliographic and authority data should be formulated following
the general principles (see 2. General Principles). The access points may be controlled or
uncontrolled.
5.1.1
Controlled access points should be provided for the authorized and variant forms
of names for such entities as person, family, corporate body, work, expression,
manifestation, item, and thema. Controlled access points provide the consistency
needed for collocating the bibliographic data for sets of resources.
Authority data should be constructed to control the authorized forms of name,
variant forms of name, and identifiers used as access points.
5.1.2
5.2
Uncontrolled access points may be provided as bibliographic data for names, titles
(e.g., the title proper as found on a manifestation), codes, keywords, etc., not
controlled in authority data.
Choice of Access Points
5.2.1
Authorized access points for works and expressions (controlled) embodied in the
resource, the title of the manifestation (usually uncontrolled), and the authorized
11
ISBD : International Standard Bibliographic Description. Consolidated ed. Berlin, München: De Gruyter Saur, 2011.
(IFLA Series on Bibliographic Control; v. 44).
7access points for the creators of works, should be included as access points to
bibliographic data.
A corporate body should be considered as the creator of those works that express
the collective thought or activity of the corporate body, or when the wording of the
title, taken in conjunction with the nature of the work, clearly implies that the
corporate body is collectively responsible for the content of the work. This applies
even if a person signs the work in the capacity of an officer or servant of the
corporate body.
5.3
5.2.2 Additional authorized access points for persons, families, corporate bodies, and
subjects should be provided to bibliographic data, when deemed important for
finding and identifying the bibliographic resource being described.
5.2.3 The authorized form of name for the entity, as well as the variant forms of name,
should be included as access points to authority data.
5.2.4 Additional access may be provided through names of related entities.
Authorized Access Points
The authorized access point for the name of an entity should be recorded as authority data
along with identifiers for the entity and variant forms of name. An authorized access point may
be used as a default form for displays in the catalogue.
5.3.1 Authorized access points must be constructed following a standard.
5.3.2 Language and Script of Authorized Access Points
5.3.2.1
When names have been expressed in several languages and/or scripts,
preference for an authorized access point for the name should be given based on
information found on manifestations of the work expressed in the original language
and script;
5.3.2.1.1
However, if the original language and/or script is not normally
used in the catalogue, the authorized access point may be based on forms found
on manifestations or in reference sources in one of the languages and/or scripts
best suited to the users of the catalogue.
5.3.2.1.2
Access should be provided in the original language and script
whenever possible, through a controlled access point, either the authorized form
of name or a variant form of name.
5.3.2.2
5.3.3
If transliterations are desirable, an international standard for script
conversion should be followed.
Choice of Preferred Name
The name preferred as the authorized access point for an entity should be based on
the name that identifies the entity in a consistent manner, either as most frequently
found on manifestations or a well-accepted name suited to the users of the catalogue
(e.g., ‘conventional name’) as found in reference sources.
5.3.3.1
Choice of Preferred Name for Persons, Families, and Corporate Bodies
8If a person, family, or a corporate body uses variant names or variant forms
of names, one name or one form of name should be chosen as the basis
for the authorized access point.
5.3.3.1.1
When variant forms of the name are found in manifestations
and/or reference sources, and this variation is not based on different
presentations of the same name (e.g., full and brief forms), preference should be
given to:
a) a commonly known (or ‘conventional’) name rather than the official name,
where this is indicated; or
b) the official name, where there is no indication of a commonly known or
conventional name.
5.3.3.1.2
If a corporate body has used different names in successive periods
that cannot be regarded as minor variations of one name, each entity identified
by a significant name change should be considered a new entity. The
corresponding authority data for each entity should be linked, usually by relating
the earlier and later authorized forms of names for the corporate body.
5.3.3.2
Items
Choice of Preferred Title for Works, Expressions, Manifestations, and
When a work has multiple titles, one title should be preferred as the basis
for the authorized access point for the work, expression, manifestation, and
item.
When variant forms of the work title are found in manifestations,
preference should be given to:
a) the title appearing in the first manifestation of the original expression
of the work, usually in the original language; or
b) the title commonly used.
5.3.4
Form of Name for Authorized Access Points
5.3.4.1
Form of Name for Persons
When the name of a person consists of several words, the choice of first
word for the authorized access point should follow conventions of the
country and language most associated with that person, as found in
manifestations or reference sources. 12
5.3.4.2
Form of Name for Families
When the name of a family consists of several words, the choice of first
word for the authorized access point should follow conventions of the
country and language most associated with that family, as found in
manifestations or reference sources.
5.3.4.3
Form of Name for Corporate Bodies
12
Names of persons : national usages for entry in catalogues. 4th revised and enlarged edition. München, K.G. Saur, 1996. (UBCIM
publications ; new series, v. 16) <www.ifla.org/files/assets/cataloguing/pubs/names-of-persons_1996.pdf>. Updated versions of
Name of persons are available online <www.ifla.org/node/4953>.
9For the authorized access point for a corporate body, the name should be
given in direct order, as found in manifestations or reference sources,
except:
5.3.4.3.1
when the corporate body is part of a jurisdiction or territorial
authority, the authorized access point should include the currently used form of
the name of the territory concerned in the language and script best suited to the
needs of the users of the catalogue;
5.3.4.3.2
when the corporate body’s name implies subordination, or
subordinate function, or is insufficient to identify the subordinate body, the
authorized access point should begin with the name of the superior body.
5.3.4.4
Form of Name for Works, Expressions, Manifestations, and Items
An authorized access point for a work, expression, manifestation, or item
may be created either from a title that can stand alone or from a title
combined with the authorized access point for the creator(s) of the work.
5.3.4.5
Distinguishing among Names
If necessary, to distinguish an entity from others of the same name, further
identifying characteristics should be included as part of the authorized
access point for an entity. If desirable, the same identifying characteristics
may be included as a part of the variant forms of name.
5.4
Variant Names and Variant Forms of Name
Whatever name is chosen for the authorized access point, the variant names and variant forms
of name should also be recorded as authority data for controlled access.
Objectives and Functions of the Catalogue
The catalogue should be an effective and efficient instrument that enables a user:
6.1 to find bibliographic resources in a collection as the result of a search using attributes or
relationships of the entities:
to find a single resource or sets of resources representing:
all resources realizing the same work
all resources embodying the same expression
all resources exemplifying the same manifestation
all resources associated with a given person, family, or corporate body
all resources on a given thema
all resources defined by other criteria (language, place of publication, publication
date, content form, media type, carrier type, etc.), usually as a secondary limiting
of a search result;
6.2 to identify a bibliographic resource or agent (that is, to confirm that the described entity
corresponds to the entity sought or to distinguish between two or more entities with similar
characteristics);
106.3 to select a bibliographic resource that is appropriate to the user’s needs (that is, to choose
a resource that meets the user’s requirements with respect to medium, content, carrier, etc., or
to reject a resource as being inappropriate to the user’s needs);
6.4 to acquire or obtain access to an item described (that is, to provide information that will
enable the user to acquire an item through purchase, loan, etc., or to access an item
electronically through an online connection to a remote source); or to access, acquire, or obtain
authority data or bibliographic data;
6.5
to navigate and explore
within a catalogue, through the logical arrangement of bibliographic and authority
data and the clear presentation of relationships among entities
beyond the catalogue, to other catalogues and in non-library contexts.
Foundations for Search Capabilities
7.1
Searching
Access points 1) provide reliable retrieval of bibliographic and authority data and their
associated bibliographic resources and 2) collocate and limit search results.
7.1.1
Searching Devices
Names should be searchable and retrievable by means of any device available in the
given library catalogue or bibliographic file (by full forms of names, by keywords, by
phrases, by truncation, by identifiers, etc.). Data should be open and searchable even
by non-library devices in order to increase interoperability and reuse.
7.1.2
Essential Access Points
Essential access points are those based on the main attributes and relationships of
each entity in a bibliographic description.
7.1.2.1
Essential access points in bibliographic data include:
authorized access point for the name of the creator or first named
creator of the work when more than one is named
authorized access point for the work/expression (this may include the
authorized access point for the creator)
title proper or supplied title for the manifestation
dates of publication or issuance of the manifestation
subject access points and/or classification numbers for the work
standard numbers, identifiers, and ‘key titles’ for the described entity.
7.1.2.2
Essential access points in authority data include:
authorized name of the entity
11variant names and variant forms of name for the entity
identifiers for the entity
controlled names (e.g. subject access points and/or classification
numbers) for the work.
7.1.3
Additional Access Points
Other attributes from bibliographic data or authority data may serve as optional
access points or as filtering or limiting devices for a search.
7.1.3.1
Such attributes in bibliographic data include, but are not limited to:
names of creators beyond the first
names of persons, families, or corporate bodies in roles other than
creators (e.g., performers)
variant titles (e.g., parallel titles, caption titles)
authorized access point for the series
bibliographic data identifiers
language of the expression embodied in the manifestation
place of publication
content form
media type
carrier type.
7.1.3.2
Such attributes in authority data include, but are not limited to:
names or titles of related entities
authority data identifiers.
7.2
Retrieval
When searching retrieves a large number of bibliographic data with the same access point,
results should be displayed in some logical order convenient to the catalogue user, preferably
according to a standard relevant to the language and/or script of the access point. The user
should be able to choose among different criteria: date of publication, alphabetical order,
relevance ranking, etc.
When possible, preference should be given to a display showing entities and the relationships
among them.
12Glossary
This Glossary includes terms found in the Statement of International Cataloguing Principles (ICP)
that are being used in a specific way (not simply the usual dictionary definition). A few terms
important for the comprehension of the Statement are also listed. At the end are terms used in the
2009 ICP version that are no longer used.
BT = Broader term; NT = Narrower term; RT = Related term
Access point: A name, term, code, etc., by means of which bibliographic or authority data is
searched and identified. Access points allow also the collocating function of the catalogue.
See also Additional access point [NT], Authority data [RT], Authorized access point [NT],
Controlled access point [NT], Essential access point [NT], Name [RT], Nomen [RT],
Uncontrolled access point [NT], Variant form of name [NT].
Sources: FRAD, IME ICC, ICP WG.
Additional access point: An access point that may be used in addition to the essential access points
to enhance the retrieval of bibliographic or authority data.
See also Access point [BT], Essential access point [RT].
Sources: IME ICC.
Agent: An entity (person, family or corporate body) that has a responsibility relationship relating
to works, expressions, manifestations, or items.
See also Corporate body [NT], Creator [RT], Entity [BT], Family [NT], Person [NT].
Sources: ICP rev WG.
Attribute: Characteristic of an entity. An attribute can be inherent in an entity or
externally imputed. Attributes may be recorded as mere literals or as URIs.
See also Conceptual model [BT], Entity [RT], Relationship [RT].
Sources: FRBR, ICP rev WG.
Authority data: Aggregate of information about a person, family, corporate body, work,
expression, manifestation, item, or thema. Authority data should be constructed to control the
authorized forms of names, nomens, variant forms of name, and identifiers used as access points.
See also Access point [RT], Bibliographic data [RT], Controlled access point [RT],
Identifier [RT].
Sources: FRAD, ICP rev WG.
Authorized access point: The preferred controlled access point for an entity, established and
constructed according to rules or standards.
See also Access point [BT], Authorized form of name [RT], Controlled access point [BT],
Essential access point [RT], Name [RT], Preferred name [RT], Variant form of name [RT].
Sources: IME ICC.
Authorized form of name: The form of name chosen as the authorized access point for an entity.
See also Authorized access point [RT], Conventional name [RT], Name [BT], Preferred
name [RT], Variant form of name [RT].
13Sources: IME ICC.
Bibliographic data: Data elements that describe and provide access to a bibliographic resource.
See also Authority data [RT], Bibliographic description [NT].
Sources: IME ICC, ICP rev WG.
Bibliographic description: A set of bibliographic data recording and identifying a resource.
See also Bibliographic data [BT], Descriptive cataloguing [RT].
Sources: ISBD cons.
Bibliographic resource: An entity, tangible or intangible, that comprises intellectual and/or artistic
content.
Sources: ISBD cons.
Bibliographic universe: The realm related to the collections of libraries. In a broader sense, it may
include collections of other information communities such as archives, museums, and so on.
Sources: IME ICC, ICP rev WG.
Bibliographically significant: A quality of an entity or attribute or relationship that has special
meaning or value in the context of bibliographic resources.
Sources: IME ICC.
Carrier type: A designation that reflects the format of the storage medium and housing of a carrier
in combination with the type of intermediation device required to render, view, run, etc., the
content of a resource.
See also Content form [RT], Expression [RT].
Sources: IME ICC.
Conceptual model: A model that conceptualizes the realm of the bibliographic universe using an
analysis technique, such as entity/relationship modelling.
See also Attribute [NT], Entity [NT], Relationship [NT].
Sources: ICP rev WG.
Content form: The fundamental form or forms in which the content of a resource is expressed.
See also Carrier type [RT], Expression [RT].
Sources: ISBD cons.
Controlled access point: An access point recorded in authority data. Controlled access points
include authorized forms of names as well as those designated as variant forms.
See also Access point [BT], Authority data [RT], Authorized access point [NT], Essential
access point [RT], Name [RT], Nomen [RT], Uncontrolled access point [RT], Variant form
of name [NT].
Sources: IME ICC.
Conventional name: A name, other than the official name, by which an entity has come to be
known.
See also Authorized form of name [RT], Name [BT], Preferred name [RT], Variant form
of name [RT].
14Sources: modified from AACR2 Revision 2002, Glossary, ICP rev WG.
Corporate body: An organisation or group of persons and/or organisations that is identified by a
particular name acting as a unit.
See also Agent [BT], Creator [RT], Entity [RT], Family [RT], Person [RT].
Sources: FRAD.
Creator: A person, family, or corporate body responsible for the intellectual or artistic content of
a work.
See also Agent [RT], Corporate body [RT], Family [RT], Person [RT], Relationship [BT].
Sources: IME ICC.
Descriptive cataloguing: The part of cataloguing that provides both descriptive data and non-
subject access points.
See also Bibliographic description [RT], Subject cataloguing [RT].
Sources: IME ICC.
Entity: An abstract category of conceptual objects.
See also Agent [NT], Attribute [RT], Conceptual model [BT], Corporate body [RT],
Expression [NT], Family [RT], Item [NT] Manifestation [NT], Nomen [NT], Person
[RT], Relationship [RT], Thema [NT], Work [NT].
Sources: FRBR Consolidation Group, modified by ICP Rev WG.
Essential access point: An access point based on a main attribute or relationship of an entity
recorded in bibliographic or authority data that ensures retrieval and identification of those data.
See also Access point [BT], Additional access point [RT], Authorized access point [RT],
Controlled access point [RT].
Sources: IME ICC.
Expression: The intellectual or artistic realization of a work in the form of alpha-numeric, musical,
or choreographic notation, sound, image, object, movement, etc., or any combination of such
forms.
See also Carrier type [RT], Content form [RT], Entity [BT], Item [RT], Manifestation [RT],
Work [RT].
Sources: FRBR.
Family: Two or more persons related by birth, marriage, adoption, or similar legal status, or
otherwise presenting themselves as a family.
See also Agent [BT], Corporate body [RT], Creator [RT], Entity [RT], Person [RT].
Sources: FRAD, as modified by IME ICC.
Form of content See Content form
Identifier: A number, code, word, phrase, logo, device, etc., that is associated with an entity, and
serves to differentiate that entity from other entities within the domain in which the identifier is
assigned.
See also Authority data [RT]
Sources: FRAD.
15Item: A single exemplar of a manifestation.
See also Entity [BT], Expression [RT], Manifestation [RT], Work [RT].
Sources: FRBR.
Key title: The unique name assigned to a continuing resource by the ISSN Network and
inseparably linked with its ISSN.
Sources: ISBD cons.
Manifestation: The physical embodiment of an expression of a work. A manifestation may embody
a collection of works, an individual work, or a component part of a work. Manifestations may
appear in one or more physical units.
See also Entity [BT], Expression [RT], Item [RT], Work [RT].
Sources: FRAD, FRBR, IME ICC.
Name: A character, word, or group of words and/or characters by which an entity is known.
Includes the words/characters designating a person, family, or corporate body; includes the title
given to a work, expression, manifestation, or item. Used as the basis for an access point.
See also Access point [RT], Authorized access point [RT], Authorized form of name [NT],
Controlled access point [RT], Conventional name [NT], Nomen [RT], Preferred name
[NT], Variant form of name [NT].
Sources: FRBR as modified in FRAD.
Nomen: Any sign or sequence of signs by which a thema is known, referred to, or addressed as.
A thema may have one or more nomens and a nomen may refer to more than one thema. Used as
the basis for an access point.
See also Access point [RT], Controlled access point [RT], Entity [BT], Name [RT].
Sources: FRSAD.
Person: An individual or a single identity established or adopted by an individual or group.
See also Agent [BT], Corporate body [RT], Creator [RT], Entity [RT], Family [RT].
Sources: FRBR as modified in FRAD, modified by IME ICC.
Preferred name: The name for an entity chosen according to rules or standards, used as the basis
for constructing an authorized access point for the entity.
See also Authorized access point [RT], Authorized form of name [RT], Conventional name
[RT], Name [BT].
Sources: IME ICC.
Relationship: A specific connection between entities or their instances.
See also Attribute [RT], Conceptual model [BT], Creator [NT], Entity [RT].
Sources: based on FRBR.
Subject cataloguing: The part of cataloguing that identifies themas and nomens used to refer to
them.
See also Descriptive cataloguing [RT], Thema [RT].
Sources: IME ICC, ICP rev WG.
16Thema: Any entity used as a subject of a work. Themas can vary substantially in complexity. Simple
themas may be combined or aggregated, resulting in more complex themas.
See also Entity [BT], Subject cataloguing [RT].
Sources: FRSAD.
Type of carrier See Carrier type.
Uncontrolled access point: An access point that is not controlled in authority data.
See also Access point [BT], Controlled access point [RT].
Sources: IME ICC, ICP rev WG.
User: Any person, family, corporate body or automaton that searches the catalogue and uses the
bibliographic and/or authority data.
Sources: ICP rev WG.
Variant form of name: A form of name not chosen as the authorized access point for an entity. It
may be used to access the authority data for the entity or be presented as a link to the authorized
access point.
See also Access point [BT], Authorized access point [RT], Authorized form of name [RT],
Controlled access point [BT], Conventional name [RT], Name [BT].
Sources: IME ICC.
Work: A distinct intellectual or artistic creation (i.e., the intellectual or artistic content).
See also Entity [BT], Expression [RT], Item [RT], Manifestation [RT].
Sources: FRAD, FRBR, as modified by IME ICC.
17Sources
FRAD – Functional Requirements for Authority Data: A Conceptual Model. München : K.G.
Saur, 2009. (IFLA Series on Bibliographic Control; v. 34). Available online at:
www.ifla.org/files/assets/cataloguing/frad/frad_2013.pdf
FRBR – Functional Requirements for Bibliographic Records: Final Report. – Munich : Saur,
1998. (IFLA UBCIM publications new series; v. 19). Available online at:
www.ifla.org/publications/ifla-series-on-bibliographic-control-19 (Sept. 1997, as amended and
corrected through February 2008)
Functional Requirements for Subject Authority Data (FRSAD): Final Report. – Berlin, München
: De Gruyter Saur, 2011. (IFLA Series on Bibliographic Control; v. 43). Available online at:
www.ifla.org/files/assets/classification-and-indexing/functional-requirements-for-subject-
authority-data/frsad-final-report.pdf
GARR – Guidelines for Authority Records and References. 2nd ed., rev. – Munich : Saur, 2001.
(IFLA UBCIM publications new series; v. 23). Available online at:
www.ifla.org/files/assets/hq/publications/series/23.pdf
IME ICC – IFLA Meeting of Experts on an International Cataloguing Code (1st-5th : 2003-
2007), recommendations from the participants.
Introducing the FRBR Library Reference Model / Pat Riva, Maja Žumer.– Paper presented at:
IFLA WLIC 2015 - Cape Town, South Africa in Session 207 - Cataloguing. Available online at:
http://library.ifla.org/1084
ISBD – International Standard Bibliographic Description. Consolidated edition. – Berlin,
München : De Gruyter Saur, 2011. (IFLA Series on Bibliographic Control; v. 44).
Webster’s 3rd – Webster’s Third New International Dictionary. – Springfield, Mass. : Merriam,
1976.
18Terms no longer used in 2016 Statement
Authority record See Authority data
Bibliographic record See Bibliographic data
Collection
Concept See Thema
Content type See Content form
Event See Thema
Object See Thema
Place See Thema
Terms no longer used in 2009 Statement
Bibliographical unit See Manifestation
Heading See Authorized access point, Controlled access point
Reference See Variant form of name
Uniform title See Authorized access point, Authorized form of name, Name
19Afterword
This revision of the Statement of International Cataloguing Principles is a goal defined in the
Cataloguing Section’s Action Plan for 2012. 13 Through the Meeting reports, it is possible to follow
the decisions taken by the Working Group and approved by the Standing Committee.
In this Afterword some issues that affect the revision in general are mentioned:
1. the 2009 Statement of International Cataloguing Principles’ structure has been kept, even
though it is acknowledged that the Statement doesn’t refer just to principles;
2. the ongoing harmonization of FRBR, FRAD and FRSAD has largely affected the revision.
In 2010, FRSAD has substituted the FRBR entities “concept”, “object”, “event” and
“place” with “thema” and has created the superclass “nomen”. Many efforts have been
made to merge in the Statement all the entities in use avoiding conceptual overlapping and
misunderstandings;
3. Principles Interoperability, Openness, and Accessibility have been introduced;
4. the sequence of sections has been modified: former §4. Objectives and Functions of the Catalogue
is moved to §6;
5. in the introduction, the mention of the International Cataloguing Code has been removed
according to the IFLA Cataloguing Standing Committee’s decision; 14
6. in §1 Scope, the mention of “archives, museums, and other communities” has been omitted.
The Statement is based on library activities, conceptual models, standards, and tools. Even
if the other communities’ participation in data creation, management and sharing is always
welcome, the cooperation doesn’t imply the adoption of the same principles or definitions;
7. the §7 Foundations for Search Capabilities has been extended and terms “code”, “catalogues”,
“opac” has been replaced using terms that comprise extended forms of collocated
bibliographic information;
8. the word and concept of “record” (either bibliographic or authority) has been modified to
“data” taking into consideration that the “record” is one way the data can be aggregated
and visualized.
13
www.ifla.org/publications/cataloguing-section-action-plan
2012 Minutes, Appendix IV Expansion of the ICP to form an international cataloguing code?
www.ifla.org/files/assets/cataloguing/reports/meeting_2012.pdf
14
2012 Minor revisions May 2017
In §5.1.1 themas becomes thema.
In the Glossary, some See also are changed (in Agent, Corporate body, Creator, Entity, Family,
Person, and Relationship).
21
Cataloguing Principles
(ICP)
by IFLA Cataloguing Section and IFLA Meetings of Experts on an
International Cataloguing Code
2016 Edition with minor revisions, 2017
by Agnese Galeffi (chair), María Violeta Bertolini, Robert L. Bothmann,
Elena Escolano Rodríguez, and Dorothy McGarry
December 2016
Approved by IFLA Cataloguing Standing Committee and IFLA Committee of Standards
Endorsed by IFLA Professional Committee
María Violeta Bertolini, Robert L. Bothmann, Elena Escolano Rodríguez,
Agnese Galeffi, and Dorothy McGarry, 2016.© 2016 by María Violeta Bertolini, Robert L. Bothmann, Elena Escolano Rodríguez, Agnese
Galeffi, and Dorothy McGarry. This work is licensed under the CC BY 4.0 license. To view a
copy of this license, visit: https://creativecommons.org/licenses/by/4.0
IFLA
P.O. Box 95312
2509 CH Den Haag
Netherlands
www.ifla.org
2Table of Contents
0
1
2
3
4
5
6
7
8
9
10
11
12
Introduction ................................................................................................ 4
Scope ............................................................................................................ 5
General Principles ...................................................................................... 5
Entities, Attributes, and Relationships ................................................... 6
Bibliographic Description ......................................................................... 7
Access Points .............................................................................................. 7
Objectives and Functions of the Catalogue ......................................... 10
Foundations for Search Capabilities ..................................................... 11
Glossary ..................................................................................................... 13
Sources ....................................................................................................... 18
Terms no longer used in 2016 Statement ............................................. 19
Afterword .................................................................................................. 20
Minor revisions May 2017 ...................................................................... 21
3Introduction
The original Statement of Principles - commonly known as the “Paris Principles” - was approved
by the International Conference on Cataloguing Principles in 1961. 1 Its goal of serving as a basis
for international standardization in cataloguing has certainly been achieved: most of the
cataloguing codes that were developed worldwide since that time have followed the Principles
strictly or at least to a high degree.
More than fifty years later, having a common set of international cataloguing principles is still
necessary as cataloguers and users around the world use online catalogues as search and discovery
systems. At the beginning of the 21st century, IFLA produced a new statement of principles 2
(published in 2009) applicable to online library catalogues and beyond. The current version has
been reviewed and updated in 2014 and 2015, and approved in 2016.
The 2009 Statement of Principles replaced and explicitly broadened the scope of the Paris
Principles from just textual resources to all types of resources, and from just the choice and form
of entry to all aspects of bibliographic and authority data used in library catalogues. It included not
only principles and objectives, but also guiding rules that should be included in cataloguing codes
internationally, as well as guidance on search and retrieval capabilities. This 2016 edition takes into
consideration new categories of users, the open access environment, the interoperability and the
accessibility of data, features of discovery tools and the significant change of user behaviour in
general.
This statement covers:
1. Scope
2. General Principles
3. Entities, Attributes, and Relationships
4. Bibliographic Description
5. Access Points
6. Objectives and Functions of the Catalogue
7. Foundations for Search Capabilities
This statement builds on the great cataloguing traditions of the world, 3 as well as on the conceptual
models in the IFLA Functional Requirements family. 4
It is hoped that the principles in this statement will help to increase the international sharing of
bibliographic and authority data, and will guide cataloguing rule makers in their efforts.
1
International Conference on Cataloguing Principles (Paris : 1961). Report. London: International Federation of Library Associations,
1963, p. 91-96. Also available in: Library Resources & Technical Services, v. 6 (1962), p. 162-167; and Statement of principles adopted
at the International Conference on Cataloguing Principles, Paris, October, 1961. Annotated edition with commentary and examples
by Eva Verona. London: IFLA Committee on Cataloguing, 1971.
2 IFLA Cataloguing Principles: Statement of International Cataloguing Principles (ICP) and its Glossary. München: K.G. Saur, 2009.
(IFLA Series on Bibliographic Control; v. 37). Statement available online <www.ifla.org/publications/statement-of-international-
cataloguing-principles>.
3 Cutter, Charles A. Rules for a Dictionary Catalog. 4th ed., rewritten. Washington, D.C.: Government Printing office, 1904;
Ranganathan, S.R. Heading and Canons. Madras [India]: S. Viswanathan, 1955; and Lubetzky, Seymour. Principles of Cataloging.
Final Report. Phase I: Descriptive Cataloging. Los Angeles, Calif.: University of California, Institute of Library Research, 1969.
4 Functional Requirements: the FRBR Family of Models <www.ifla.org/node/2016>. Being currently under a consolidation process,
this statement reflects some uncertainties of the transitional phase.
4Scope
The principles in this statement are intended to guide the development of cataloguing codes and
the decisions that cataloguers make. They apply to bibliographic and authority data, and
consequently to current library catalogues, bibliographies and other datasets created by libraries.
They aim to provide a consistent approach to descriptive and subject cataloguing of bibliographic
resources of all kinds.
General Principles
The following principles direct the construction and development of cataloguing codes, the
decisions that cataloguers make and policies on access to and exchange of data. Of these, the
convenience of the user is the most important, while principles 2.2 through 2.13 are in no particular
order. If there is a conflict among principles 2.2-2.13, the principle of interoperability should be
rated higher than others.
2.1. Convenience of the user. Convenience means that all efforts should be made to keep all
data comprehensible and suitable for the users. The word “user” embraces anyone who
searches the catalogue and uses the bibliographic and/or authority data. Decisions taken in the
making of descriptions and controlled forms of names for access should be made with the user
in mind.
2.2. Common usage. Vocabulary used in descriptions and access points should be in
accordance with that of the majority of users.
2.3. Representation. A description should represent a resource as it appears. Controlled forms
of names of persons, corporate bodies and families should be based on the way an entity
describes itself. Controlled forms of work titles should be based on the form appearing on the
first manifestation of the original expression. If this is not feasible, the form commonly used in
reference sources should be used.
2.4. Accuracy. Bibliographic and authority data should be an accurate portrayal of the entity
described.
2.5. Sufficiency and necessity. Those data elements that are required to: facilitate access for all
types of users, including those with specific needs; fulfil the objectives and functions of the
catalogue; and describe or identify entities, should be included.
2.6. Significance. Data elements should be relevant to the description, noteworthy, and allow
for distinctions among entities.
2.7. Economy. When alternative ways exist to achieve a goal, preference should be given to the
way that best furthers overall expediency and practicality (i.e., the least cost or the simplest
approach).
2.8. Consistency and standardization. Descriptions and construction of access points should
be standardized as far as possible to enable consistency.
2.9. Integration. The descriptions for all types of resources and controlled forms of names of
all types of entities should be based on a common set of rules to the extent possible.
2.10. Interoperability. All efforts should be made to ensure the sharing and reuse of
bibliographic and authority data within and outside the library community. For the exchange
5of data and discovery tools, the use of vocabularies facilitating automatic translation and
disambiguation is highly recommended.
2.11. Openness. Restrictions on data should be minimal in order to foster transparency and
conform to Open Access principles, as declared also in the IFLA Statement on Open Access. 5
Any restriction on data access should be fully stated.
2.12. Accessibility. The access to bibliographic and authority data, as well as searching device
functionalities, should comply with international standards for accessibility as recommended in
the IFLA Code of Ethics for Librarians and other Information Workers. 6
2.13. Rationality. The rules in a cataloguing code should be defensible and not arbitrary. If, in
specific situations, it is not possible to respect all the principles, then defensible, practical
solutions should be found and the rationale should be explained.
Entities, Attributes, and Relationships
The entities are the key objects of interest to users in a particular domain. Each entity can be
described by its primary characteristics, called attributes. The attributes of the entity serve also as
the means by which users formulate queries and interpret responses when seeking information
about a particular entity. The relationships explain the connections between and among entities.
Cataloguing should take into account the entities, attributes, and relationships as defined in
conceptual models of the bibliographic universe. The conceptual models taken into consideration
are Functional Requirements for Bibliographic Records (FRBR), Functional Requirements for Authority Data
(FRAD) and Functional Requirements for Subject Authority Data (FRSAD).
3.1 Entities: The following entities may be represented by bibliographic and authority data: 7
Work
Expression
Manifestation
Item 8
Person
Family
Corporate Body 9
Thema
Nomen. 10
5
<www.ifla.org/node/8890>
<www.ifla.org/news/ifla-code-of-ethics-for-librarians-and-other-information-workers-full-version>
7 Since the consolidation process involving FRBR, FRAD and FRSAD is currently underway, here are listed all the entities described in
the aforementioned conceptual models. This brings some inconsistencies about Group 3 entities and about nomen in relation to
names and access points.
8 Work, expression, manifestation, and item are the Group 1 entities described in the FRBR and FRAD models.
9 Person, family, and corporate body are the Group 2 entities as described in the FRAD model.
10 Thema (any entity used as a subject of a work) and nomen (any sign or sequence of signs by which a thema is known, referred to,
or addressed as) are the entities introduced and described in the FRSAD model. Within the FRBR framework, thema includes Group
1 and Group 2 entities, and additionally, all others that serve as the subjects of works (i.e., Group 3 concept, object, event, and
place). In FRSAD Nomen is a superclass of the FRAD entities name, identifier, and controlled access point. Being outside of its
purpose, this Statement does not consider Nomen as the superclass of name, identifier and controlled access point.
6
63.2 Attributes: The attributes that identify each entity should be used as data elements.
3.3 Relationships: Bibliographically significant relationships among the entities should be
identified.
Bibliographic Description
4.1 In general, a separate bibliographic description should be created for each manifestation.
4.2 A bibliographic description typically should be based on the item as representative of the
manifestation and may include attributes, or link to attributes, that pertain to the item and to
the embodied work(s) and expression(s).
4.3 Descriptive data should be based on an internationally agreed standard. For the library
community, this standard is the International Standard Bibliographic Description (ISBD). 11
When based on a different standard, all efforts should be made to provide open access to
published mappings between the standard used and the International Standard Bibliographic
Description (ISBD), to foster better interoperability and accurate reuse of information.
4.4 Descriptions may be at several levels of completeness, depending on the purpose of the
catalogue or bibliographic dataset. Information about the level of completeness should be
conveyed to the user.
Access Points
5.1
General
Access points for retrieving bibliographic and authority data should be formulated following
the general principles (see 2. General Principles). The access points may be controlled or
uncontrolled.
5.1.1
Controlled access points should be provided for the authorized and variant forms
of names for such entities as person, family, corporate body, work, expression,
manifestation, item, and thema. Controlled access points provide the consistency
needed for collocating the bibliographic data for sets of resources.
Authority data should be constructed to control the authorized forms of name,
variant forms of name, and identifiers used as access points.
5.1.2
5.2
Uncontrolled access points may be provided as bibliographic data for names, titles
(e.g., the title proper as found on a manifestation), codes, keywords, etc., not
controlled in authority data.
Choice of Access Points
5.2.1
Authorized access points for works and expressions (controlled) embodied in the
resource, the title of the manifestation (usually uncontrolled), and the authorized
11
ISBD : International Standard Bibliographic Description. Consolidated ed. Berlin, München: De Gruyter Saur, 2011.
(IFLA Series on Bibliographic Control; v. 44).
7access points for the creators of works, should be included as access points to
bibliographic data.
A corporate body should be considered as the creator of those works that express
the collective thought or activity of the corporate body, or when the wording of the
title, taken in conjunction with the nature of the work, clearly implies that the
corporate body is collectively responsible for the content of the work. This applies
even if a person signs the work in the capacity of an officer or servant of the
corporate body.
5.3
5.2.2 Additional authorized access points for persons, families, corporate bodies, and
subjects should be provided to bibliographic data, when deemed important for
finding and identifying the bibliographic resource being described.
5.2.3 The authorized form of name for the entity, as well as the variant forms of name,
should be included as access points to authority data.
5.2.4 Additional access may be provided through names of related entities.
Authorized Access Points
The authorized access point for the name of an entity should be recorded as authority data
along with identifiers for the entity and variant forms of name. An authorized access point may
be used as a default form for displays in the catalogue.
5.3.1 Authorized access points must be constructed following a standard.
5.3.2 Language and Script of Authorized Access Points
5.3.2.1
When names have been expressed in several languages and/or scripts,
preference for an authorized access point for the name should be given based on
information found on manifestations of the work expressed in the original language
and script;
5.3.2.1.1
However, if the original language and/or script is not normally
used in the catalogue, the authorized access point may be based on forms found
on manifestations or in reference sources in one of the languages and/or scripts
best suited to the users of the catalogue.
5.3.2.1.2
Access should be provided in the original language and script
whenever possible, through a controlled access point, either the authorized form
of name or a variant form of name.
5.3.2.2
5.3.3
If transliterations are desirable, an international standard for script
conversion should be followed.
Choice of Preferred Name
The name preferred as the authorized access point for an entity should be based on
the name that identifies the entity in a consistent manner, either as most frequently
found on manifestations or a well-accepted name suited to the users of the catalogue
(e.g., ‘conventional name’) as found in reference sources.
5.3.3.1
Choice of Preferred Name for Persons, Families, and Corporate Bodies
8If a person, family, or a corporate body uses variant names or variant forms
of names, one name or one form of name should be chosen as the basis
for the authorized access point.
5.3.3.1.1
When variant forms of the name are found in manifestations
and/or reference sources, and this variation is not based on different
presentations of the same name (e.g., full and brief forms), preference should be
given to:
a) a commonly known (or ‘conventional’) name rather than the official name,
where this is indicated; or
b) the official name, where there is no indication of a commonly known or
conventional name.
5.3.3.1.2
If a corporate body has used different names in successive periods
that cannot be regarded as minor variations of one name, each entity identified
by a significant name change should be considered a new entity. The
corresponding authority data for each entity should be linked, usually by relating
the earlier and later authorized forms of names for the corporate body.
5.3.3.2
Items
Choice of Preferred Title for Works, Expressions, Manifestations, and
When a work has multiple titles, one title should be preferred as the basis
for the authorized access point for the work, expression, manifestation, and
item.
When variant forms of the work title are found in manifestations,
preference should be given to:
a) the title appearing in the first manifestation of the original expression
of the work, usually in the original language; or
b) the title commonly used.
5.3.4
Form of Name for Authorized Access Points
5.3.4.1
Form of Name for Persons
When the name of a person consists of several words, the choice of first
word for the authorized access point should follow conventions of the
country and language most associated with that person, as found in
manifestations or reference sources. 12
5.3.4.2
Form of Name for Families
When the name of a family consists of several words, the choice of first
word for the authorized access point should follow conventions of the
country and language most associated with that family, as found in
manifestations or reference sources.
5.3.4.3
Form of Name for Corporate Bodies
12
Names of persons : national usages for entry in catalogues. 4th revised and enlarged edition. München, K.G. Saur, 1996. (UBCIM
publications ; new series, v. 16) <www.ifla.org/files/assets/cataloguing/pubs/names-of-persons_1996.pdf>. Updated versions of
Name of persons are available online <www.ifla.org/node/4953>.
9For the authorized access point for a corporate body, the name should be
given in direct order, as found in manifestations or reference sources,
except:
5.3.4.3.1
when the corporate body is part of a jurisdiction or territorial
authority, the authorized access point should include the currently used form of
the name of the territory concerned in the language and script best suited to the
needs of the users of the catalogue;
5.3.4.3.2
when the corporate body’s name implies subordination, or
subordinate function, or is insufficient to identify the subordinate body, the
authorized access point should begin with the name of the superior body.
5.3.4.4
Form of Name for Works, Expressions, Manifestations, and Items
An authorized access point for a work, expression, manifestation, or item
may be created either from a title that can stand alone or from a title
combined with the authorized access point for the creator(s) of the work.
5.3.4.5
Distinguishing among Names
If necessary, to distinguish an entity from others of the same name, further
identifying characteristics should be included as part of the authorized
access point for an entity. If desirable, the same identifying characteristics
may be included as a part of the variant forms of name.
5.4
Variant Names and Variant Forms of Name
Whatever name is chosen for the authorized access point, the variant names and variant forms
of name should also be recorded as authority data for controlled access.
Objectives and Functions of the Catalogue
The catalogue should be an effective and efficient instrument that enables a user:
6.1 to find bibliographic resources in a collection as the result of a search using attributes or
relationships of the entities:
to find a single resource or sets of resources representing:
all resources realizing the same work
all resources embodying the same expression
all resources exemplifying the same manifestation
all resources associated with a given person, family, or corporate body
all resources on a given thema
all resources defined by other criteria (language, place of publication, publication
date, content form, media type, carrier type, etc.), usually as a secondary limiting
of a search result;
6.2 to identify a bibliographic resource or agent (that is, to confirm that the described entity
corresponds to the entity sought or to distinguish between two or more entities with similar
characteristics);
106.3 to select a bibliographic resource that is appropriate to the user’s needs (that is, to choose
a resource that meets the user’s requirements with respect to medium, content, carrier, etc., or
to reject a resource as being inappropriate to the user’s needs);
6.4 to acquire or obtain access to an item described (that is, to provide information that will
enable the user to acquire an item through purchase, loan, etc., or to access an item
electronically through an online connection to a remote source); or to access, acquire, or obtain
authority data or bibliographic data;
6.5
to navigate and explore
within a catalogue, through the logical arrangement of bibliographic and authority
data and the clear presentation of relationships among entities
beyond the catalogue, to other catalogues and in non-library contexts.
Foundations for Search Capabilities
7.1
Searching
Access points 1) provide reliable retrieval of bibliographic and authority data and their
associated bibliographic resources and 2) collocate and limit search results.
7.1.1
Searching Devices
Names should be searchable and retrievable by means of any device available in the
given library catalogue or bibliographic file (by full forms of names, by keywords, by
phrases, by truncation, by identifiers, etc.). Data should be open and searchable even
by non-library devices in order to increase interoperability and reuse.
7.1.2
Essential Access Points
Essential access points are those based on the main attributes and relationships of
each entity in a bibliographic description.
7.1.2.1
Essential access points in bibliographic data include:
authorized access point for the name of the creator or first named
creator of the work when more than one is named
authorized access point for the work/expression (this may include the
authorized access point for the creator)
title proper or supplied title for the manifestation
dates of publication or issuance of the manifestation
subject access points and/or classification numbers for the work
standard numbers, identifiers, and ‘key titles’ for the described entity.
7.1.2.2
Essential access points in authority data include:
authorized name of the entity
11variant names and variant forms of name for the entity
identifiers for the entity
controlled names (e.g. subject access points and/or classification
numbers) for the work.
7.1.3
Additional Access Points
Other attributes from bibliographic data or authority data may serve as optional
access points or as filtering or limiting devices for a search.
7.1.3.1
Such attributes in bibliographic data include, but are not limited to:
names of creators beyond the first
names of persons, families, or corporate bodies in roles other than
creators (e.g., performers)
variant titles (e.g., parallel titles, caption titles)
authorized access point for the series
bibliographic data identifiers
language of the expression embodied in the manifestation
place of publication
content form
media type
carrier type.
7.1.3.2
Such attributes in authority data include, but are not limited to:
names or titles of related entities
authority data identifiers.
7.2
Retrieval
When searching retrieves a large number of bibliographic data with the same access point,
results should be displayed in some logical order convenient to the catalogue user, preferably
according to a standard relevant to the language and/or script of the access point. The user
should be able to choose among different criteria: date of publication, alphabetical order,
relevance ranking, etc.
When possible, preference should be given to a display showing entities and the relationships
among them.
12Glossary
This Glossary includes terms found in the Statement of International Cataloguing Principles (ICP)
that are being used in a specific way (not simply the usual dictionary definition). A few terms
important for the comprehension of the Statement are also listed. At the end are terms used in the
2009 ICP version that are no longer used.
BT = Broader term; NT = Narrower term; RT = Related term
Access point: A name, term, code, etc., by means of which bibliographic or authority data is
searched and identified. Access points allow also the collocating function of the catalogue.
See also Additional access point [NT], Authority data [RT], Authorized access point [NT],
Controlled access point [NT], Essential access point [NT], Name [RT], Nomen [RT],
Uncontrolled access point [NT], Variant form of name [NT].
Sources: FRAD, IME ICC, ICP WG.
Additional access point: An access point that may be used in addition to the essential access points
to enhance the retrieval of bibliographic or authority data.
See also Access point [BT], Essential access point [RT].
Sources: IME ICC.
Agent: An entity (person, family or corporate body) that has a responsibility relationship relating
to works, expressions, manifestations, or items.
See also Corporate body [NT], Creator [RT], Entity [BT], Family [NT], Person [NT].
Sources: ICP rev WG.
Attribute: Characteristic of an entity. An attribute can be inherent in an entity or
externally imputed. Attributes may be recorded as mere literals or as URIs.
See also Conceptual model [BT], Entity [RT], Relationship [RT].
Sources: FRBR, ICP rev WG.
Authority data: Aggregate of information about a person, family, corporate body, work,
expression, manifestation, item, or thema. Authority data should be constructed to control the
authorized forms of names, nomens, variant forms of name, and identifiers used as access points.
See also Access point [RT], Bibliographic data [RT], Controlled access point [RT],
Identifier [RT].
Sources: FRAD, ICP rev WG.
Authorized access point: The preferred controlled access point for an entity, established and
constructed according to rules or standards.
See also Access point [BT], Authorized form of name [RT], Controlled access point [BT],
Essential access point [RT], Name [RT], Preferred name [RT], Variant form of name [RT].
Sources: IME ICC.
Authorized form of name: The form of name chosen as the authorized access point for an entity.
See also Authorized access point [RT], Conventional name [RT], Name [BT], Preferred
name [RT], Variant form of name [RT].
13Sources: IME ICC.
Bibliographic data: Data elements that describe and provide access to a bibliographic resource.
See also Authority data [RT], Bibliographic description [NT].
Sources: IME ICC, ICP rev WG.
Bibliographic description: A set of bibliographic data recording and identifying a resource.
See also Bibliographic data [BT], Descriptive cataloguing [RT].
Sources: ISBD cons.
Bibliographic resource: An entity, tangible or intangible, that comprises intellectual and/or artistic
content.
Sources: ISBD cons.
Bibliographic universe: The realm related to the collections of libraries. In a broader sense, it may
include collections of other information communities such as archives, museums, and so on.
Sources: IME ICC, ICP rev WG.
Bibliographically significant: A quality of an entity or attribute or relationship that has special
meaning or value in the context of bibliographic resources.
Sources: IME ICC.
Carrier type: A designation that reflects the format of the storage medium and housing of a carrier
in combination with the type of intermediation device required to render, view, run, etc., the
content of a resource.
See also Content form [RT], Expression [RT].
Sources: IME ICC.
Conceptual model: A model that conceptualizes the realm of the bibliographic universe using an
analysis technique, such as entity/relationship modelling.
See also Attribute [NT], Entity [NT], Relationship [NT].
Sources: ICP rev WG.
Content form: The fundamental form or forms in which the content of a resource is expressed.
See also Carrier type [RT], Expression [RT].
Sources: ISBD cons.
Controlled access point: An access point recorded in authority data. Controlled access points
include authorized forms of names as well as those designated as variant forms.
See also Access point [BT], Authority data [RT], Authorized access point [NT], Essential
access point [RT], Name [RT], Nomen [RT], Uncontrolled access point [RT], Variant form
of name [NT].
Sources: IME ICC.
Conventional name: A name, other than the official name, by which an entity has come to be
known.
See also Authorized form of name [RT], Name [BT], Preferred name [RT], Variant form
of name [RT].
14Sources: modified from AACR2 Revision 2002, Glossary, ICP rev WG.
Corporate body: An organisation or group of persons and/or organisations that is identified by a
particular name acting as a unit.
See also Agent [BT], Creator [RT], Entity [RT], Family [RT], Person [RT].
Sources: FRAD.
Creator: A person, family, or corporate body responsible for the intellectual or artistic content of
a work.
See also Agent [RT], Corporate body [RT], Family [RT], Person [RT], Relationship [BT].
Sources: IME ICC.
Descriptive cataloguing: The part of cataloguing that provides both descriptive data and non-
subject access points.
See also Bibliographic description [RT], Subject cataloguing [RT].
Sources: IME ICC.
Entity: An abstract category of conceptual objects.
See also Agent [NT], Attribute [RT], Conceptual model [BT], Corporate body [RT],
Expression [NT], Family [RT], Item [NT] Manifestation [NT], Nomen [NT], Person
[RT], Relationship [RT], Thema [NT], Work [NT].
Sources: FRBR Consolidation Group, modified by ICP Rev WG.
Essential access point: An access point based on a main attribute or relationship of an entity
recorded in bibliographic or authority data that ensures retrieval and identification of those data.
See also Access point [BT], Additional access point [RT], Authorized access point [RT],
Controlled access point [RT].
Sources: IME ICC.
Expression: The intellectual or artistic realization of a work in the form of alpha-numeric, musical,
or choreographic notation, sound, image, object, movement, etc., or any combination of such
forms.
See also Carrier type [RT], Content form [RT], Entity [BT], Item [RT], Manifestation [RT],
Work [RT].
Sources: FRBR.
Family: Two or more persons related by birth, marriage, adoption, or similar legal status, or
otherwise presenting themselves as a family.
See also Agent [BT], Corporate body [RT], Creator [RT], Entity [RT], Person [RT].
Sources: FRAD, as modified by IME ICC.
Form of content See Content form
Identifier: A number, code, word, phrase, logo, device, etc., that is associated with an entity, and
serves to differentiate that entity from other entities within the domain in which the identifier is
assigned.
See also Authority data [RT]
Sources: FRAD.
15Item: A single exemplar of a manifestation.
See also Entity [BT], Expression [RT], Manifestation [RT], Work [RT].
Sources: FRBR.
Key title: The unique name assigned to a continuing resource by the ISSN Network and
inseparably linked with its ISSN.
Sources: ISBD cons.
Manifestation: The physical embodiment of an expression of a work. A manifestation may embody
a collection of works, an individual work, or a component part of a work. Manifestations may
appear in one or more physical units.
See also Entity [BT], Expression [RT], Item [RT], Work [RT].
Sources: FRAD, FRBR, IME ICC.
Name: A character, word, or group of words and/or characters by which an entity is known.
Includes the words/characters designating a person, family, or corporate body; includes the title
given to a work, expression, manifestation, or item. Used as the basis for an access point.
See also Access point [RT], Authorized access point [RT], Authorized form of name [NT],
Controlled access point [RT], Conventional name [NT], Nomen [RT], Preferred name
[NT], Variant form of name [NT].
Sources: FRBR as modified in FRAD.
Nomen: Any sign or sequence of signs by which a thema is known, referred to, or addressed as.
A thema may have one or more nomens and a nomen may refer to more than one thema. Used as
the basis for an access point.
See also Access point [RT], Controlled access point [RT], Entity [BT], Name [RT].
Sources: FRSAD.
Person: An individual or a single identity established or adopted by an individual or group.
See also Agent [BT], Corporate body [RT], Creator [RT], Entity [RT], Family [RT].
Sources: FRBR as modified in FRAD, modified by IME ICC.
Preferred name: The name for an entity chosen according to rules or standards, used as the basis
for constructing an authorized access point for the entity.
See also Authorized access point [RT], Authorized form of name [RT], Conventional name
[RT], Name [BT].
Sources: IME ICC.
Relationship: A specific connection between entities or their instances.
See also Attribute [RT], Conceptual model [BT], Creator [NT], Entity [RT].
Sources: based on FRBR.
Subject cataloguing: The part of cataloguing that identifies themas and nomens used to refer to
them.
See also Descriptive cataloguing [RT], Thema [RT].
Sources: IME ICC, ICP rev WG.
16Thema: Any entity used as a subject of a work. Themas can vary substantially in complexity. Simple
themas may be combined or aggregated, resulting in more complex themas.
See also Entity [BT], Subject cataloguing [RT].
Sources: FRSAD.
Type of carrier See Carrier type.
Uncontrolled access point: An access point that is not controlled in authority data.
See also Access point [BT], Controlled access point [RT].
Sources: IME ICC, ICP rev WG.
User: Any person, family, corporate body or automaton that searches the catalogue and uses the
bibliographic and/or authority data.
Sources: ICP rev WG.
Variant form of name: A form of name not chosen as the authorized access point for an entity. It
may be used to access the authority data for the entity or be presented as a link to the authorized
access point.
See also Access point [BT], Authorized access point [RT], Authorized form of name [RT],
Controlled access point [BT], Conventional name [RT], Name [BT].
Sources: IME ICC.
Work: A distinct intellectual or artistic creation (i.e., the intellectual or artistic content).
See also Entity [BT], Expression [RT], Item [RT], Manifestation [RT].
Sources: FRAD, FRBR, as modified by IME ICC.
17Sources
FRAD – Functional Requirements for Authority Data: A Conceptual Model. München : K.G.
Saur, 2009. (IFLA Series on Bibliographic Control; v. 34). Available online at:
www.ifla.org/files/assets/cataloguing/frad/frad_2013.pdf
FRBR – Functional Requirements for Bibliographic Records: Final Report. – Munich : Saur,
1998. (IFLA UBCIM publications new series; v. 19). Available online at:
www.ifla.org/publications/ifla-series-on-bibliographic-control-19 (Sept. 1997, as amended and
corrected through February 2008)
Functional Requirements for Subject Authority Data (FRSAD): Final Report. – Berlin, München
: De Gruyter Saur, 2011. (IFLA Series on Bibliographic Control; v. 43). Available online at:
www.ifla.org/files/assets/classification-and-indexing/functional-requirements-for-subject-
authority-data/frsad-final-report.pdf
GARR – Guidelines for Authority Records and References. 2nd ed., rev. – Munich : Saur, 2001.
(IFLA UBCIM publications new series; v. 23). Available online at:
www.ifla.org/files/assets/hq/publications/series/23.pdf
IME ICC – IFLA Meeting of Experts on an International Cataloguing Code (1st-5th : 2003-
2007), recommendations from the participants.
Introducing the FRBR Library Reference Model / Pat Riva, Maja Žumer.– Paper presented at:
IFLA WLIC 2015 - Cape Town, South Africa in Session 207 - Cataloguing. Available online at:
http://library.ifla.org/1084
ISBD – International Standard Bibliographic Description. Consolidated edition. – Berlin,
München : De Gruyter Saur, 2011. (IFLA Series on Bibliographic Control; v. 44).
Webster’s 3rd – Webster’s Third New International Dictionary. – Springfield, Mass. : Merriam,
1976.
18Terms no longer used in 2016 Statement
Authority record See Authority data
Bibliographic record See Bibliographic data
Collection
Concept See Thema
Content type See Content form
Event See Thema
Object See Thema
Place See Thema
Terms no longer used in 2009 Statement
Bibliographical unit See Manifestation
Heading See Authorized access point, Controlled access point
Reference See Variant form of name
Uniform title See Authorized access point, Authorized form of name, Name
19Afterword
This revision of the Statement of International Cataloguing Principles is a goal defined in the
Cataloguing Section’s Action Plan for 2012. 13 Through the Meeting reports, it is possible to follow
the decisions taken by the Working Group and approved by the Standing Committee.
In this Afterword some issues that affect the revision in general are mentioned:
1. the 2009 Statement of International Cataloguing Principles’ structure has been kept, even
though it is acknowledged that the Statement doesn’t refer just to principles;
2. the ongoing harmonization of FRBR, FRAD and FRSAD has largely affected the revision.
In 2010, FRSAD has substituted the FRBR entities “concept”, “object”, “event” and
“place” with “thema” and has created the superclass “nomen”. Many efforts have been
made to merge in the Statement all the entities in use avoiding conceptual overlapping and
misunderstandings;
3. Principles Interoperability, Openness, and Accessibility have been introduced;
4. the sequence of sections has been modified: former §4. Objectives and Functions of the Catalogue
is moved to §6;
5. in the introduction, the mention of the International Cataloguing Code has been removed
according to the IFLA Cataloguing Standing Committee’s decision; 14
6. in §1 Scope, the mention of “archives, museums, and other communities” has been omitted.
The Statement is based on library activities, conceptual models, standards, and tools. Even
if the other communities’ participation in data creation, management and sharing is always
welcome, the cooperation doesn’t imply the adoption of the same principles or definitions;
7. the §7 Foundations for Search Capabilities has been extended and terms “code”, “catalogues”,
“opac” has been replaced using terms that comprise extended forms of collocated
bibliographic information;
8. the word and concept of “record” (either bibliographic or authority) has been modified to
“data” taking into consideration that the “record” is one way the data can be aggregated
and visualized.
13
www.ifla.org/publications/cataloguing-section-action-plan
2012 Minutes, Appendix IV Expansion of the ICP to form an international cataloguing code?
www.ifla.org/files/assets/cataloguing/reports/meeting_2012.pdf
14
2012 Minor revisions May 2017
In §5.1.1 themas becomes thema.
In the Glossary, some See also are changed (in Agent, Corporate body, Creator, Entity, Family,
Person, and Relationship).
21