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ICMP 2016-draft

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Statement of InternationalCataloguing 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 Contents0123456789101112==Introduction ................................................................................................ 4Scope ............................................................................................................ 5General Principles ...................................................................................... 5Entities, Attributes, and Relationships ................................................... 6Bibliographic Description ......................................................................... 7Access Points .............................................................................................. 7Objectives and Functions of the Catalogue ......................................... 10Foundations for Search Capabilities ..................................................... 11Glossary ..................................................................................................... 13Sources ....................................................................................................... 18Terms no longer used in 2016 Statement ............................................. 19Afterword .................................................................................................. 20Minor 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
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
(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
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,
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==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
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
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
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
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
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
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
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
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
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
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
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,
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
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
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
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
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
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
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
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
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
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
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
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
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:
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
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
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
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:
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:
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:
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
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==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
See also Entity [BT], Expression [RT], Item [RT], Manifestation [RT].
Sources: FRAD, FRBR, as modified by IME ICC.
17Sources==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/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.
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 ==Terms no longer used in 2016 Statement== 
Authority record See Authority data
Bibliographic record See Bibliographic data
Reference See Variant form of 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
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
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
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== 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