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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...)
 
(Minor revisions May 2017)
 
(Не показано одну проміжну версію цього користувача)
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Statement of International
+
Statement of International Cataloguing Principles
Cataloguing Principles
+
 
 
(ICP)
 
(ICP)
 +
 
by IFLA Cataloguing Section and IFLA Meetings of Experts on an
 
by IFLA Cataloguing Section and IFLA Meetings of Experts on an
 
International Cataloguing Code
 
International Cataloguing Code
 +
 
2016 Edition with minor revisions, 2017
 
2016 Edition with minor revisions, 2017
 +
 
by Agnese Galeffi (chair), María Violeta Bertolini, Robert L. Bothmann,
 
by Agnese Galeffi (chair), María Violeta Bertolini, Robert L. Bothmann,
 
Elena Escolano Rodríguez, and Dorothy McGarry
 
Elena Escolano Rodríguez, and Dorothy McGarry
 +
 
December 2016
 
December 2016
 +
 
Approved by IFLA Cataloguing Standing Committee and IFLA Committee of Standards
 
Approved by IFLA Cataloguing Standing Committee and IFLA Committee of Standards
 +
 
Endorsed by IFLA Professional Committee
 
Endorsed by IFLA Professional Committee
 +
 
María Violeta Bertolini, Robert L. Bothmann, Elena Escolano Rodríguez,
 
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
 
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
 
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
 
copy of this license, visit: https://creativecommons.org/licenses/by/4.0
 +
 
IFLA
 
IFLA
 +
 
P.O. Box 95312
 
P.O. Box 95312
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2509 CH Den Haag
 
2509 CH Den Haag
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 +
 
Netherlands
 
Netherlands
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www.ifla.org
 
www.ifla.org
2Table of Contents
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0
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==Introduction==
1
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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
 
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
 
by the International Conference on Cataloguing Principles in 1961. 1 Its goal of serving as a basis
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cataloguing codes that were developed worldwide since that time have followed the Principles
 
cataloguing codes that were developed worldwide since that time have followed the Principles
 
strictly or at least to a high degree.
 
strictly or at least to a high degree.
 +
 
More than fifty years later, having a common set of international cataloguing principles is still
 
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
 
necessary as cataloguers and users around the world use online catalogues as search and discovery
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(published in 2009) applicable to online library catalogues and beyond. The current version has
 
(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.
 
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
 
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
 
Principles from just textual resources to all types of resources, and from just the choice and form
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accessibility of data, features of discovery tools and the significant change of user behaviour in
 
accessibility of data, features of discovery tools and the significant change of user behaviour in
 
general.
 
general.
 +
 
This statement covers:
 
This statement covers:
1. Scope
+
:1. Scope
2. General Principles
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:2. General Principles
3. Entities, Attributes, and Relationships
+
:3. Entities, Attributes, and Relationships
4. Bibliographic Description
+
:4. Bibliographic Description
5. Access Points
+
:5. Access Points
6. Objectives and Functions of the Catalogue
+
:6. Objectives and Functions of the Catalogue
7. Foundations for Search Capabilities
+
:7. Foundations for Search Capabilities
 +
 
 
This statement builds on the great cataloguing traditions of the world, 3 as well as on the conceptual
 
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
 
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
 
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.
 
bibliographic and authority data, and will guide cataloguing rule makers in their efforts.
 +
 
1
 
1
 
International Conference on Cataloguing Principles (Paris : 1961). Report. London: International Federation of Library Associations,
 
International Conference on Cataloguing Principles (Paris : 1961). Report. London: International Federation of Library Associations,
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at the International Conference on Cataloguing Principles, Paris, October, 1961. Annotated edition with commentary and examples
 
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.
 
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.
 
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-
 
(IFLA Series on Bibliographic Control; v. 37). Statement available online <www.ifla.org/publications/statement-of-international-
 
cataloguing-principles>.
 
cataloguing-principles>.
 +
 
3 Cutter, Charles A. Rules for a Dictionary Catalog. 4th ed., rewritten. Washington, D.C.: Government Printing office, 1904;
 
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.
 
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.
 
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,
 
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.
 
this statement reflects some uncertainties of the transitional phase.
4Scope
+
 
 +
==Scope==
 
The principles in this statement are intended to guide the development of cataloguing codes and
 
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
 
the decisions that cataloguers make. They apply to bibliographic and authority data, and
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They aim to provide a consistent approach to descriptive and subject cataloguing of bibliographic
 
They aim to provide a consistent approach to descriptive and subject cataloguing of bibliographic
 
resources of all kinds.
 
resources of all kinds.
General Principles
+
 
 +
==General Principles==
 +
 
 
The following principles direct the construction and development of cataloguing codes, the
 
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
 
decisions that cataloguers make and policies on access to and exchange of data. Of these, the
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order. If there is a conflict among principles 2.2-2.13, the principle of interoperability should be
 
order. If there is a conflict among principles 2.2-2.13, the principle of interoperability should be
 
rated higher than others.
 
rated higher than others.
 +
 
2.1. Convenience of the user. Convenience means that all efforts should be made to keep all
 
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
 
data comprehensible and suitable for the users. The word “user” embraces anyone who
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making of descriptions and controlled forms of names for access should be made with the user
 
making of descriptions and controlled forms of names for access should be made with the user
 
in mind.
 
in mind.
 +
 
2.2. Common usage. Vocabulary used in descriptions and access points should be in
 
2.2. Common usage. Vocabulary used in descriptions and access points should be in
 
accordance with that of the majority of users.
 
accordance with that of the majority of users.
 +
 
2.3. Representation. A description should represent a resource as it appears. Controlled forms
 
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
 
of names of persons, corporate bodies and families should be based on the way an entity
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first manifestation of the original expression. If this is not feasible, the form commonly used in
 
first manifestation of the original expression. If this is not feasible, the form commonly used in
 
reference sources should be used.
 
reference sources should be used.
 +
 
2.4. Accuracy. Bibliographic and authority data should be an accurate portrayal of the entity
 
2.4. Accuracy. Bibliographic and authority data should be an accurate portrayal of the entity
 
described.
 
described.
 +
 
2.5. Sufficiency and necessity. Those data elements that are required to: facilitate access for all
 
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
 
types of users, including those with specific needs; fulfil the objectives and functions of the
 
catalogue; and describe or identify entities, should be included.
 
catalogue; and describe or identify entities, should be included.
 +
 
2.6. Significance. Data elements should be relevant to the description, noteworthy, and allow
 
2.6. Significance. Data elements should be relevant to the description, noteworthy, and allow
 
for distinctions among entities.
 
for distinctions among entities.
 +
 
2.7. Economy. When alternative ways exist to achieve a goal, preference should be given to the
 
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
 
way that best furthers overall expediency and practicality (i.e., the least cost or the simplest
 
approach).
 
approach).
 +
 
2.8. Consistency and standardization. Descriptions and construction of access points should
 
2.8. Consistency and standardization. Descriptions and construction of access points should
 
be standardized as far as possible to enable consistency.
 
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
 
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.
 
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
 
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
 
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
 
5of data and discovery tools, the use of vocabularies facilitating automatic translation and
 
disambiguation is highly recommended.
 
disambiguation is highly recommended.
 +
 
2.11. Openness. Restrictions on data should be minimal in order to foster transparency and
 
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
 
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.
 
Any restriction on data access should be fully stated.
 +
 
2.12. Accessibility. The access to bibliographic and authority data, as well as searching device
 
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
 
functionalities, should comply with international standards for accessibility as recommended in
 
the IFLA Code of Ethics for Librarians and other Information Workers. 6
 
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
 
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
 
specific situations, it is not possible to respect all the principles, then defensible, practical
 
solutions should be found and the rationale should be explained.
 
solutions should be found and the rationale should be explained.
Entities, Attributes, and Relationships
+
 
 +
==Entities, Attributes, and Relationships==
 +
 
 
The entities are the key objects of interest to users in a particular domain. Each entity can be
 
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
 
described by its primary characteristics, called attributes. The attributes of the entity serve also as
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are Functional Requirements for Bibliographic Records (FRBR), Functional Requirements for Authority Data
 
are Functional Requirements for Bibliographic Records (FRBR), Functional Requirements for Authority Data
 
(FRAD) and Functional Requirements for Subject Authority Data (FRSAD).
 
(FRAD) and Functional Requirements for Subject Authority Data (FRSAD).
 +
 
3.1 Entities: The following entities may be represented by bibliographic and authority data: 7
 
3.1 Entities: The following entities may be represented by bibliographic and authority data: 7
 
Work
 
Work
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6
 
6
 
63.2 Attributes: The attributes that identify each entity should be used as data elements.
 
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
 
3.3 Relationships: Bibliographically significant relationships among the entities should be
 
identified.
 
identified.
Bibliographic Description
+
 
 +
==Bibliographic Description==
 +
 
 
4.1 In general, a separate bibliographic description should be created for each manifestation.
 
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
 
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
 
manifestation and may include attributes, or link to attributes, that pertain to the item and to
 
the embodied work(s) and expression(s).
 
the embodied work(s) and expression(s).
 +
 
4.3 Descriptive data should be based on an internationally agreed standard. For the library
 
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
 
community, this standard is the International Standard Bibliographic Description (ISBD). 11
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published mappings between the standard used and the International Standard Bibliographic
 
published mappings between the standard used and the International Standard Bibliographic
 
Description (ISBD), to foster better interoperability and accurate reuse of information.
 
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
 
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
 
catalogue or bibliographic dataset. Information about the level of completeness should be
 
conveyed to the user.
 
conveyed to the user.
Access Points
+
 
 +
==Access Points==
 +
 
 
5.1
 
5.1
 
General
 
General
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the general principles (see 2. General Principles). The access points may be controlled or
 
the general principles (see 2. General Principles). The access points may be controlled or
 
uncontrolled.
 
uncontrolled.
 +
 
5.1.1
 
5.1.1
 
Controlled access points should be provided for the authorized and variant forms
 
Controlled access points should be provided for the authorized and variant forms
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Authority data should be constructed to control the authorized forms of name,
 
Authority data should be constructed to control the authorized forms of name,
 
variant forms of name, and identifiers used as access points.
 
variant forms of name, and identifiers used as access points.
 +
 
5.1.2
 
5.1.2
 +
 
5.2
 
5.2
 
Uncontrolled access points may be provided as bibliographic data for names, titles
 
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
 
(e.g., the title proper as found on a manifestation), codes, keywords, etc., not
 
controlled in authority data.
 
controlled in authority data.
 +
 
Choice of Access Points
 
Choice of Access Points
 +
 
5.2.1
 
5.2.1
 
Authorized access points for works and expressions (controlled) embodied in the
 
Authorized access points for works and expressions (controlled) embodied in the
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even if a person signs the work in the capacity of an officer or servant of the
 
even if a person signs the work in the capacity of an officer or servant of the
 
corporate body.
 
corporate body.
 +
 
5.3
 
5.3
 +
 
5.2.2 Additional authorized access points for persons, families, corporate bodies, and
 
5.2.2 Additional authorized access points for persons, families, corporate bodies, and
 
subjects should be provided to bibliographic data, when deemed important for
 
subjects should be provided to bibliographic data, when deemed important for
 
finding and identifying the bibliographic resource being described.
 
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,
 
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.
 
should be included as access points to authority data.
 +
 
5.2.4 Additional access may be provided through names of related entities.
 
5.2.4 Additional access may be provided through names of related entities.
 
Authorized Access Points
 
Authorized Access Points
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along with identifiers for the entity and variant forms of name. An authorized access point may
 
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.
 
be used as a default form for displays in the catalogue.
 +
 
5.3.1 Authorized access points must be constructed following a standard.
 
5.3.1 Authorized access points must be constructed following a standard.
 +
 
5.3.2 Language and Script of Authorized Access Points
 
5.3.2 Language and Script of Authorized Access Points
 +
 
5.3.2.1
 
5.3.2.1
 
When names have been expressed in several languages and/or scripts,
 
When names have been expressed in several languages and/or scripts,
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information found on manifestations of the work expressed in the original language
 
information found on manifestations of the work expressed in the original language
 
and script;
 
and script;
 +
 
5.3.2.1.1
 
5.3.2.1.1
 
However, if the original language and/or script is not normally
 
However, if the original language and/or script is not normally
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on manifestations or in reference sources in one of the languages and/or scripts
 
on manifestations or in reference sources in one of the languages and/or scripts
 
best suited to the users of the catalogue.
 
best suited to the users of the catalogue.
 +
 
5.3.2.1.2
 
5.3.2.1.2
 
Access should be provided in the original language and script
 
Access should be provided in the original language and script
 
whenever possible, through a controlled access point, either the authorized form
 
whenever possible, through a controlled access point, either the authorized form
 
of name or a variant form of name.
 
of name or a variant form of name.
 +
 
5.3.2.2
 
5.3.2.2
 +
 
5.3.3
 
5.3.3
 
If transliterations are desirable, an international standard for script
 
If transliterations are desirable, an international standard for script
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found on manifestations or a well-accepted name suited to the users of the catalogue
 
found on manifestations or a well-accepted name suited to the users of the catalogue
 
(e.g., ‘conventional name’) as found in reference sources.
 
(e.g., ‘conventional name’) as found in reference sources.
 +
 
5.3.3.1
 
5.3.3.1
 
Choice of Preferred Name for Persons, Families, and Corporate Bodies
 
Choice of Preferred Name for Persons, Families, and Corporate Bodies
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of names, one name or one form of name should be chosen as the basis
 
of names, one name or one form of name should be chosen as the basis
 
for the authorized access point.
 
for the authorized access point.
 +
 
5.3.3.1.1
 
5.3.3.1.1
 
When variant forms of the name are found in manifestations
 
When variant forms of the name are found in manifestations
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b) the official name, where there is no indication of a commonly known or
 
b) the official name, where there is no indication of a commonly known or
 
conventional name.
 
conventional name.
 +
 
5.3.3.1.2
 
5.3.3.1.2
 
If a corporate body has used different names in successive periods
 
If a corporate body has used different names in successive periods
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corresponding authority data for each entity should be linked, usually by relating
 
corresponding authority data for each entity should be linked, usually by relating
 
the earlier and later authorized forms of names for the corporate body.
 
the earlier and later authorized forms of names for the corporate body.
 +
 
5.3.3.2
 
5.3.3.2
 
Items
 
Items
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of the work, usually in the original language; or
 
of the work, usually in the original language; or
 
b) the title commonly used.
 
b) the title commonly used.
 +
 
5.3.4
 
5.3.4
 
Form of Name for Authorized Access Points
 
Form of Name for Authorized Access Points
 +
 
5.3.4.1
 
5.3.4.1
 
Form of Name for Persons
 
Form of Name for Persons
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country and language most associated with that person, as found in
 
country and language most associated with that person, as found in
 
manifestations or reference sources. 12
 
manifestations or reference sources. 12
 +
 
5.3.4.2
 
5.3.4.2
 
Form of Name for Families
 
Form of Name for Families
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country and language most associated with that family, as found in
 
country and language most associated with that family, as found in
 
manifestations or reference sources.
 
manifestations or reference sources.
 +
 
5.3.4.3
 
5.3.4.3
 
Form of Name for Corporate Bodies
 
Form of Name for Corporate Bodies
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given in direct order, as found in manifestations or reference sources,
 
given in direct order, as found in manifestations or reference sources,
 
except:
 
except:
 +
 
5.3.4.3.1
 
5.3.4.3.1
 
when the corporate body is part of a jurisdiction or territorial
 
when the corporate body is part of a jurisdiction or territorial
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the name of the territory concerned in the language and script best suited to the
 
the name of the territory concerned in the language and script best suited to the
 
needs of the users of the catalogue;
 
needs of the users of the catalogue;
 +
 
5.3.4.3.2
 
5.3.4.3.2
 
when the corporate body’s name implies subordination, or
 
when the corporate body’s name implies subordination, or
 
subordinate function, or is insufficient to identify the subordinate body, the
 
subordinate function, or is insufficient to identify the subordinate body, the
 
authorized access point should begin with the name of the superior body.
 
authorized access point should begin with the name of the superior body.
 +
 
5.3.4.4
 
5.3.4.4
 
Form of Name for Works, Expressions, Manifestations, and Items
 
Form of Name for Works, Expressions, Manifestations, and Items
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may be created either from a title that can stand alone or from a title
 
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.
 
combined with the authorized access point for the creator(s) of the work.
 +
 
5.3.4.5
 
5.3.4.5
 
Distinguishing among Names
 
Distinguishing among Names
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access point for an entity. If desirable, the same identifying characteristics
 
access point for an entity. If desirable, the same identifying characteristics
 
may be included as a part of the variant forms of name.
 
may be included as a part of the variant forms of name.
 +
 
5.4
 
5.4
 
Variant Names and Variant Forms of Name
 
Variant Names and Variant Forms of Name
 
Whatever name is chosen for the authorized access point, the variant names and variant forms
 
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.
 
of name should also be recorded as authority data for controlled access.
Objectives and Functions of the Catalogue
+
 
 +
==Objectives and Functions of the Catalogue==
 +
 
 
The catalogue should be an effective and efficient instrument that enables a user:
 
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
 
6.1 to find bibliographic resources in a collection as the result of a search using attributes or
 
relationships of the entities:
 
relationships of the entities:
Рядок 350: Рядок 406:
 
date, content form, media type, carrier type, etc.), usually as a secondary limiting
 
date, content form, media type, carrier type, etc.), usually as a secondary limiting
 
of a search result;
 
of a search result;
 +
 
6.2 to identify a bibliographic resource or agent (that is, to confirm that the described entity
 
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
 
corresponds to the entity sought or to distinguish between two or more entities with similar
Рядок 356: Рядок 413:
 
a resource that meets the user’s requirements with respect to medium, content, carrier, etc., or
 
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);
 
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
 
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
 
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
 
electronically through an online connection to a remote source); or to access, acquire, or obtain
 
authority data or bibliographic data;
 
authority data or bibliographic data;
 +
 
6.5
 
6.5
 
to navigate and explore
 
to navigate and explore
Рядок 365: Рядок 424:
 
data and the clear presentation of relationships among entities
 
data and the clear presentation of relationships among entities
 
beyond the catalogue, to other catalogues and in non-library contexts.
 
beyond the catalogue, to other catalogues and in non-library contexts.
Foundations for Search Capabilities
+
 
 +
==Foundations for Search Capabilities==
 +
 
 
7.1
 
7.1
 
Searching
 
Searching
 
Access points 1) provide reliable retrieval of bibliographic and authority data and their
 
Access points 1) provide reliable retrieval of bibliographic and authority data and their
 
associated bibliographic resources and 2) collocate and limit search results.
 
associated bibliographic resources and 2) collocate and limit search results.
 +
 
7.1.1
 
7.1.1
 
Searching Devices
 
Searching Devices
Рядок 376: Рядок 438:
 
phrases, by truncation, by identifiers, etc.). Data should be open and searchable even
 
phrases, by truncation, by identifiers, etc.). Data should be open and searchable even
 
by non-library devices in order to increase interoperability and reuse.
 
by non-library devices in order to increase interoperability and reuse.
 +
 
7.1.2
 
7.1.2
 
Essential Access Points
 
Essential Access Points
 
Essential access points are those based on the main attributes and relationships of
 
Essential access points are those based on the main attributes and relationships of
 
each entity in a bibliographic description.
 
each entity in a bibliographic description.
 +
 
7.1.2.1
 
7.1.2.1
 
Essential access points in bibliographic data include:
 
Essential access points in bibliographic data include:
Рядок 390: Рядок 454:
 
subject access points and/or classification numbers for the work
 
subject access points and/or classification numbers for the work
 
standard numbers, identifiers, and ‘key titles’ for the described entity.
 
standard numbers, identifiers, and ‘key titles’ for the described entity.
 +
 
7.1.2.2
 
7.1.2.2
 
Essential access points in authority data include:
 
Essential access points in authority data include:
Рядок 397: Рядок 462:
 
controlled names (e.g. subject access points and/or classification
 
controlled names (e.g. subject access points and/or classification
 
numbers) for the work.
 
numbers) for the work.
 +
 
7.1.3
 
7.1.3
 
Additional Access Points
 
Additional Access Points
 
Other attributes from bibliographic data or authority data may serve as optional
 
Other attributes from bibliographic data or authority data may serve as optional
 
access points or as filtering or limiting devices for a search.
 
access points or as filtering or limiting devices for a search.
 +
 
7.1.3.1
 
7.1.3.1
 
Such attributes in bibliographic data include, but are not limited to:
 
Such attributes in bibliographic data include, but are not limited to:
Рядок 414: Рядок 481:
 
media type
 
media type
 
carrier type.
 
carrier type.
 +
 
7.1.3.2
 
7.1.3.2
 
Such attributes in authority data include, but are not limited to:
 
Such attributes in authority data include, but are not limited to:
 
names or titles of related entities
 
names or titles of related entities
 
authority data identifiers.
 
authority data identifiers.
 +
 
7.2
 
7.2
 
Retrieval
 
Retrieval
Рядок 425: Рядок 494:
 
should be able to choose among different criteria: date of publication, alphabetical order,
 
should be able to choose among different criteria: date of publication, alphabetical order,
 
relevance ranking, etc.
 
relevance ranking, etc.
 +
 
When possible, preference should be given to a display showing entities and the relationships
 
When possible, preference should be given to a display showing entities and the relationships
 
among them.
 
among them.
12Glossary
+
 
 +
==Glossary==
 +
 
 
This Glossary includes terms found in the Statement of International Cataloguing Principles (ICP)
 
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
 
that are being used in a specific way (not simply the usual dictionary definition). A few terms
Рядок 600: Рядок 672:
 
See also Entity [BT], Expression [RT], Item [RT], Manifestation [RT].
 
See also Entity [BT], Expression [RT], Item [RT], Manifestation [RT].
 
Sources: FRAD, FRBR, as modified by IME ICC.
 
Sources: FRAD, FRBR, as modified by IME ICC.
17Sources
+
 
 +
==Sources==
 +
 
 
FRAD – Functional Requirements for Authority Data: A Conceptual Model. München : K.G.
 
FRAD – Functional Requirements for Authority Data: A Conceptual Model. München : K.G.
 
Saur, 2009. (IFLA Series on Bibliographic Control; v. 34). Available online at:
 
Saur, 2009. (IFLA Series on Bibliographic Control; v. 34). Available online at:
 
www.ifla.org/files/assets/cataloguing/frad/frad_2013.pdf
 
www.ifla.org/files/assets/cataloguing/frad/frad_2013.pdf
 +
 
FRBR – Functional Requirements for Bibliographic Records: Final Report. – Munich : Saur,
 
FRBR – Functional Requirements for Bibliographic Records: Final Report. – Munich : Saur,
 
1998. (IFLA UBCIM publications new series; v. 19). Available online at:
 
1998. (IFLA UBCIM publications new series; v. 19). Available online at:
Рядок 612: Рядок 687:
 
www.ifla.org/files/assets/classification-and-indexing/functional-requirements-for-subject-
 
www.ifla.org/files/assets/classification-and-indexing/functional-requirements-for-subject-
 
authority-data/frsad-final-report.pdf
 
authority-data/frsad-final-report.pdf
 +
 
GARR – Guidelines for Authority Records and References. 2nd ed., rev. – Munich : Saur, 2001.
 
GARR – Guidelines for Authority Records and References. 2nd ed., rev. – Munich : Saur, 2001.
 
(IFLA UBCIM publications new series; v. 23). Available online at:
 
(IFLA UBCIM publications new series; v. 23). Available online at:
 
www.ifla.org/files/assets/hq/publications/series/23.pdf
 
www.ifla.org/files/assets/hq/publications/series/23.pdf
 +
 
IME ICC – IFLA Meeting of Experts on an International Cataloguing Code (1st-5th : 2003-
 
IME ICC – IFLA Meeting of Experts on an International Cataloguing Code (1st-5th : 2003-
 
2007), recommendations from the participants.
 
2007), recommendations from the participants.
Рядок 620: Рядок 697:
 
IFLA WLIC 2015 - Cape Town, South Africa in Session 207 - Cataloguing. Available online at:
 
IFLA WLIC 2015 - Cape Town, South Africa in Session 207 - Cataloguing. Available online at:
 
http://library.ifla.org/1084
 
http://library.ifla.org/1084
 +
 
ISBD – International Standard Bibliographic Description. Consolidated edition. – Berlin,
 
ISBD – International Standard Bibliographic Description. Consolidated edition. – Berlin,
 
München : De Gruyter Saur, 2011. (IFLA Series on Bibliographic Control; v. 44).
 
München : De Gruyter Saur, 2011. (IFLA Series on Bibliographic Control; v. 44).
 
Webster’s 3rd – Webster’s Third New International Dictionary. – Springfield, Mass. : Merriam,
 
Webster’s 3rd – Webster’s Third New International Dictionary. – Springfield, Mass. : Merriam,
 
1976.
 
1976.
18Terms no longer used in 2016 Statement
+
 
 +
==Terms no longer used in 2016 Statement==
 +
 
 
Authority record See Authority data
 
Authority record See Authority data
 
Bibliographic record See Bibliographic data
 
Bibliographic record See Bibliographic data
Рядок 638: Рядок 718:
 
Reference See Variant form of name
 
Reference See Variant form of name
 
Uniform title See Authorized access point, Authorized form of name, Name
 
Uniform title See Authorized access point, Authorized form of name, Name
19Afterword
+
 
 +
==Afterword==
 +
 
 
This revision of the Statement of International Cataloguing Principles is a goal defined in the
 
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
 
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.
 
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:
 
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
 
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;
 
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.
 
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
 
In 2010, FRSAD has substituted the FRBR entities “concept”, “object”, “event” and
Рядок 650: Рядок 734:
 
made to merge in the Statement all the entities in use avoiding conceptual overlapping and
 
made to merge in the Statement all the entities in use avoiding conceptual overlapping and
 
misunderstandings;
 
misunderstandings;
 +
 
3. Principles Interoperability, Openness, and Accessibility have been introduced;
 
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
 
4. the sequence of sections has been modified: former §4. Objectives and Functions of the Catalogue
Рядок 670: Рядок 755:
 
www.ifla.org/files/assets/cataloguing/reports/meeting_2012.pdf
 
www.ifla.org/files/assets/cataloguing/reports/meeting_2012.pdf
 
14
 
14
2012 Minor revisions May 2017
+
2012  
 +
 
 +
==Minor revisions May 2017==
 +
 
 
In §5.1.1 themas becomes thema.
 
In §5.1.1 themas becomes thema.
 +
 
In the Glossary, some See also are changed (in Agent, Corporate body, Creator, Entity, Family,
 
In the Glossary, some See also are changed (in Agent, Corporate body, Creator, Entity, Family,
 
Person, and Relationship).
 
Person, and Relationship).
21
+
 
 +
== Див. також==
 +
* [[Декларація про міжнародні принципи каталогізації (2009)]]
 +
* https://www.ifla.org/files/assets/cataloguing/icp/icp_2009-en.pdf (International cataloguing principles (ICP), 2009)
 +
* https://www.ifla.org/best-practice-for-national-bibliographic-agencies-in-a-digital-age/node/8913
 +
* https://www.ifla.org/publications/node/11015 Statement of International Cataloguing Principles (ICP) 2016
 +
* https://www.ifla.org/files/assets/cataloguing/icp/icp_2016-en.pdf Statement of International Cataloguing Principles (ICP) 2016

Поточна версія на 16:18, 28 листопада 2019

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

Introduction

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.

Scope

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.

Glossary

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.

Sources

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.

Terms 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

Afterword

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).

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