Abstract
This full-day preconference offered a comprehensive study of Resource Description and Access (RDA) and the cataloging of serials and related issues. It discussed RDA guidelines that covered identifying entities and making relationships in the context of Functional Requirements for Bibliographic Records (FRBR), Functional Requirements for Authority Data (FRAD), and the Statement of International Cataloguing Principles. In addition to reviewing changes between Anglo-American Cataloguing Rules, Second Edition (AACR2) and RDA, Kuhagen introduced new RDA elements and machine-readable cataloging (MARC) coding. Finally, the speaker gave a preview of possible changes in RDA affecting serials.
“Serials and RDA: An Ongoing Relationship” was chosen as the title of the pre-conference because relationships are an important aspect of both Resource Description and Access (RDA) and serials. Also, the need for better coverage of seriality was one of the topics of the 1997 International Conference on the Principles and Future Development of Anglo-American Cataloguing Rules (AACR) held in Toronto. The 2002 revised AACR2 Chapter 12 resulted from this conference. The Toronto conference also began the road that has brought serialists this far to RDA.
A wealth of information was given during this preconference. Not everything in the presentation is described below. For this report, only the highlights have been covered, and the primary focus is on what impacts serials cataloging.
BACKGROUND
The first logical question to ask is why AACR2 was not simply amended as had been done in the past. In other words, why was RDA needed at all? During the 1990s, concerns were raised about how difficult AACR2 was to use after all of the amendments and updates. Users complained that the cataloging code was too complex, and that it had no logical structure. It mixed up content and carrier terms. It was missing hierarchical and other relationships important to the materials libraries catalog, and it did not adequately cover electronic resources. The Joint Steering Committee (JSC), who is responsible for the cataloging rules, also received requests to remove the Anglo-American biases so the cataloging code could be used more globally.
At the 1997 Toronto conference, experts from around the world were invited to share in developing an action plan for the future of AACR. Some of the recommendations from the conference have guided the thinking about new directions, such as the desire to document the basic principles underlying the rules and explorations into content versus carrier and developing a logical structure not present in AACR. Some recommendations from the conference have been implemented, like the views of seriality with continuing resources and harmonization of serials cataloging standards including the International Standard Bibliographic Description (ISBD), International Standard Serial Number (ISSN), and AACR communities. Other recommendations from the conference are goals for RDA, like further internationalization of the rules. In 2002, work began on a draft version of AACR2 called AACR3. By April 2005, the plan had changed because the need to move to a closer alignment with the Functional Requirements for Bibliographic Records (FRBR) model and to build an element set was apparent. The new cataloging code's name changed to RDA: Resource Description and Access to emphasize the two tasks of description and access. The words “Anglo-American” were not included as part of the title to help give the new code a more international emphasis.
RDA inherits some of its structures and principles from work done by the International Federation of Library Associations and Institutions (IFLA). RDA is based on two conceptual models: FRBR and Functional Requirements for Authority Data (FRAD), developed by IFLA working groups. A third model for subject data (Functional Requirements for Subject Authority Data, or FRSAD) has now been published. In the future, subject data chapters will be added to RDA. From the FRBR and the FRAD conceptual models, RDA gets the entities, identifying attributes for each entity, the relationships, and the user tasks. Another IFLA activity from 2003–2008 resulted in the Statement of International Cataloguing Principles (ICP), which replaced the 1961 Paris Principles. From ICP, RDA gets the principle of representation, used for the transcription of data, and the principle of convenience of the user, for including the information users need. RDA uses different terminology than AACR2, in part reflecting the turn away from the card catalog environment. For example, a heading referred to its position on a 3 × 5 card and is now more accurately called an authorized access point. Other changes reflect terminology in the Functional Requirement models and the International Cataloguing Principles. The General Material Description (GMD) was an inconsistent presentation of different categories of information. It has been replaced by three elements: content type, media type, and carrier type. The change from chief source to preferred sources for information is an indication the sources have been expanded. contains additional examples of changes in terminology from AACR2 to RDA.
TABLE 1 AACR2 to RDA Vocabulary
RDA STRUCTURE
The structure of AACR2 is very different from RDA. AACR2 has chapters for classes of materials (such as sound recordings) and modes of issuance (such as serials). RDA is principle-based and organized around the FRBR and FRAD user tasks to identify and relate resources to their collections. The RDA instructions are divided into two main groups: those about identifying entities and those about making relationships.
Core elements are listed in RDA 0.6. The assignment of core status in RDA was based on attributes deemed mandatory for a national level record during the worldwide review of FRBR and FRAD. Some of the elements are always core if applicable and the information is available. Others are core only in certain situations. Agencies can identify additional elements as core for their cataloging.
Identifying Manifestations: Bibliographic Records
Kuhagen focused on the core elements used by the Library of Congress during the United States RDA test. She presented the elements as RDA is currently written. This summary only lists the core elements where a change occurred between AACR2 and RDA.
Title Proper (RDA 2.3.2)
Titles proper will not be corrected for monographs, following the representation principle (known informally as take what you see). Latin abbreviations [sic] and [i.e.] will no longer be used to show errors in monograph titles proper. The corrected version of the title is recorded as an alternate title in MARC field 246. For serials and integrating resources, errors will continue to be corrected. The incorrect title is recorded as an alternate title in MARC field 246.
Parallel Title Proper (RDA 2.3.3)
Parallel titles will be enclosed in square brackets only if they do not appear on the resource at all.
Replacement for GMD 245 $h
The GMD has been replaced with content, media, and carrier types. The content and carrier types are RDA core elements, but media type is not. They were developed by the JSC and the Online Information Exchange (ONIX) publishing community. Content type (RDA 6.9) is recorded in new MARC field 336. In other words, what form of communication and which human sense is used? Media type (RDA 3.2) is a broad categorization of what type of device, if any, is needed to be able to see, hear, or otherwise interact with the content of the resource. Media type is recorded in field 337. Carrier type (RDA 3.3) gives more specific information than the media type term does about the format, housing, and type of device needed, if any, and is recorded in field 338.
Statements of Responsibility Relating to Title Proper (RDA 2.4.2)
The statement of responsibility can now be taken from any source in or outside of the resource. Square brackets are used only if the information comes from outside the resource. AACR2's Rule of 3 is no longer the basic instruction when transcribing a single statement of responsibility naming more than one entity. Instead, the information can be transcribed how it is found. Another option is to transcribe the first name and add a bracketed statement about the others. The Latin abbreviation [et al.] is no longer used. All names do not have to be included in the statement of responsibility to justify giving additional access points in MARC 7XX fields.
Designation of Edition (RDA 2.5.2)
The designation of edition is transcribed as found on the resource. In other words, there is no abbreviating of found information or converting of numerals.
Numbering of Serials (RDA 2.6.1)
For MARC field 362, terms and months can be transcribed as they appear on the resource. Numbering can be giving as a formatted or unformatted note.
Publication, Distribution, and Manufacture Elements
The MARC 260 field is made up of multiple RDA elements. RDA has separate statements for production, publication, distribution and manufacture elements, including place, name, and date. Publication date and copyright date are considered separate elements.
Place of Publication (RDA 2.8.2)
Place of publication is the first of three core elements related to publication. If more than one place is mentioned, only the first has to be recorded. RDA does not have a home country provision.
If a resource lacks a place of publication, RDA encourages trying to supply a probable place, even if it is just the country. If there is not probable place, [Place of publication not identified] is used instead of [S.l.]. Higher jurisdictions are not supplied for local place.
Publisher's Name (RDA 2.8.4)
Publisher's name is the second core element. If more than one name is listed, only the first one is required to be recorded. Names are to be recorded as found, another example of the principle take as you see it. Corporate hierarchy can be omitted from the name. Use the phrase [publisher not identified] instead of [s.n.].
Date of Publication (RDA 2.8.6) and Copyright Date (RDA 2.11)
The date of publication is the last core element in the publication statement. Copyright date is not a type of date of publication, but is instead a separate element. To identify it in the 260 $c, it is preceded by the appropriate symbol, © or ℗.
Extent (RDA 3.4 - MARC 300 $a)
Extent is included in the record if the resource is complete or if the total extent is known. Extent is also now given for online resources. An alternative says to omit the extent completely for an incomplete resource, and during the test, Library of Congress's policy was to apply this alternative. Abbreviations are not used for terms (e.g., volumes) in MARC 300 $a.
MARC 300 $b (RDA Chapter 7)
Many of RDA's Chapter 7 attributes about expressions now end up in the single subfield $b in the MARC 300 field. These elements were not LC core elements during the U.S. RDA Test. Abbreviations are not used in subfield $b of the MARC 300 field.
Dimensions (RDA 3.5 -- MARC 300 $c)
When describing dimensions (MARC 300 $c), continue to use cm, since it is a symbol rather than an abbreviation. If ISBD punctuation is being used in the record, a period is used after the symbol if the record includes a 490.
Series and Subseries (RDA 2.12.8 and 2.12.6)
Subfield x is now repeatable in MARC 490, a change which will provide a means of identifying subseries. Guidelines for numbering within series are generally the same as those for numbering of serials.
Identifying Works and Expressions
Kuhagen next examined the guidelines for choosing and recording preferred and variant titles for works, and on recording other identifying attributes of the work or expression. Identifying works and expressions is also called naming the work and naming the expression.
Works
For works, the preferred title for the work is the basis for the authorized access point. It is preceded by the authorized access point for the creator if applicable. The preferred title for a work created after 1500 is the most common form of the title. The usual source for a work is the first received manifestation. There is no longer a preference for the title found on the resource published in the home country when a resource is published simultaneously with different titles in the same language. When the same resource is published simultaneously with different titles in different languages, there is no longer a priority order of languages when selecting the preferred title. For example, if a serial was simultaneously published in German and English versions and the German language version was received first, the preferred title would be the title from the German-language version.
Form of work, date of the work, place of origin of the work and other distinguishing characteristics of the work can be added to the preferred title to break a conflict. There is no priority order for additions. These characteristics are core if needed to differentiate a work. Form of work includes a class or a genre to which a work belongs. RDA 6.3 does not have a controlled vocabulary for form of work. Genre/form terms under development by the Library of Congress with other communities could be used. Date of work (RDA 6.4) is the date the work was created, first published, or released. Place of origin (RDA 6.5) is given in its form as an authorized access point. Other distinguishing characteristics of the work (RDA 6.6) is whatever characteristic breaks a conflict when the other elements do not differentiate.
Entity Responsible for Work
The instructions for identifying the entity responsible for a work are in RDA Chapter 19. They specify that only statements appearing prominently can be used from sources beyond the preferred sources of information. This restriction coincides with paying attention to how the resource represents the responsibility for the work. Some serials are strongly tied to one person, and would likely not continue if that person is no longer associated with that serial. The general U.S. practice for AACR2, documented by a Library of Congress Rule Interpretation (LCRI) for AACR2 21.2A2, is not to give a person as the main entry for a serial. The LCRI was not converted to a Library of Congress Policy Statement for the U.S. RDA Test. Hopefully, it will be at a future date.
Corporate bodies, though, can be creators. For the categories of works given in RDA 19.2.1.1, which are very similar to the categories in AACR2 rule 21.1B2, responsible corporate bodies are considered to be creators. For these categories of resources, the corporate body as creator takes precedence over a first-named person as creator.
Expression
Chapter 6 covers titles of works but there are no instructions for titles of expressions because title of expression as a concept does not exist in the FRBR and FRAD models. The expression access point is constructed by the addition of identifying attributes to the authorized access point for the work. Content type, date, language and/or other distinguishing characteristics are the identifying attributes which can be added to the authorized access point for the work to identify the expression. There is no prescribed order; more than one can be added. Content type (RDA 6.9) is the “fundamental form of communication in which the content is expressed and the human sense through which it is intended to be perceived.” It is recorded in the MARC 336 field. Date of expression (RDA 6.10) is “the earliest date associated with an expression.” If that date is not available, the date of the earliest manifestation can be used as a substitute. Date of expression is a core element if needed to break a conflict between two expressions of the same work. Language of expression (RDA 6.11) is the “language in which a work is expressed.”
Kuhagen provided several examples, including works which were translations and works which have content in more than one language. For a work that was written originally in Spanish but translated into English, the language of expression is English and that information is given after the preferred title for the work in the 130 field, subfield $l to create the authorized access point for the expression.
A single expression can have content in more than one language. The Library of Congress has had a policy for AACR2 not to give subfield $l information unless the resource is a translation. Language of content is listed in MARC 041 field.
is an example of a resource with multiple language expressions. Because this resource contains a translation, LC practice during the US RDA Test was to include subfield $l in the access points for both expressions. Only the first 710 field is required.
TABLE 2 Bibliographic Record with Multiple Languages of Expression
Other distinguishing characteristic of the expression is the fourth element that can be used to differentiate between expressions of the same work. Edition statements and frequency are examples of other characteristics that can be used to differentiate between expressions of the same serial work.
Persons, Families, and Corporate Bodies: Elements and Authorized Access Points
FRBR and FRAD Group 2 entities cover access points based on persons, families, and corporate bodies. General guidelines are in RDA Chapter 8, with separate chapters for each category of the Group 2 entities. In RDA Chapter 9, a person can be an individual, an entity established by one individual alone, or an identity established in collaboration with one or more other individuals. Fictitious entities are included as persons. Unlike AACR2, when a person's name has variant spellings, RDA dictates that the form found on the first resource received is used. Words and numbers indicating relationships (e.g., Jr., Sr., IV) are included as part of the preferred name and not just to break a conflict. RDA does not have any restrictions on time period for giving period of activity information. Abbreviations cent., ca., b., d., and fl. are no longer used.
Families (RDA Chapter 10) were not included in AACR2 as creators and contributors. Considering families as creators and contributors, not just subjects, is part of expanding the application of RDA beyond libraries to other information communities such as archives and museums. There will be authority records for specific families in the Library of Congress Name Authority File; family headings in Library of Congress Subject Headings will continue to be for general family names.
A corporate body (RDA Chapter 11) is defined as “an organization or group of persons and/or organizations that is identified by a particular name and that acts, or may act, as a unit.” For now, RDA continues the AACR2 inclusion of events in the scope of corporate bodies, but because the IFLA conceptual model for subject authority data (FRSAD) considers events to be subjects, this may change. Possible additions to the corporate body's preferred name have a prescribed order. They include addition if name does not convey the idea of body, date or place associated with the body, associated institution, type of jurisdiction, and other designation; number, date, and location are additions for a conference. When a corporate body's name has variant spellings, the form found on the first resource received is chosen, even if this one is not the predominant spelling. Another change noted is to write out the word department in a preferred name rather than abbreviating it.
The names of a conference, exhibition, etc. will retain frequency words. For monographs, year will be omitted from names. The year will appear in the authorized access point (in subfield $d, not in subfield $a) for the conference, and so on, if the resource is not cataloged as a serial.
RELATIONSHIPS IN BIBLIOGRAPHIC RECORDS AND IN AUTHORITY RECORDS
Relationships are an important part of RDA, although only a few of the relationships were LC core elements during the U.S. RDA Test. Kuhagen described several types of relationships, including those among contributors, works, expressions, manifestations, and items, as well as persons, families, and/or corporate bodies.
Contributors (RDA Chapter 20) are those persons, families, or corporate bodies that are associated with expressions. Translators, editors, editors of compilations, performers, illustrators, arrangers of music and compilers are examples of the more specific roles for contributors at the expression level. RDA refers to roles of contributors as relationship designators. In the MARC format, contributors are included as authorized access points in 7XX fields in the bibliographic record. The relationship designator is listed in subfield $e of the 7XX field; the terms used in this subfield are found in RDA's Appendix I. Designators are optional.
Related works (RDA Chapter 25) are relationships between a work and other works. One example is whole–part relationships (e.g., works in a compilation, works in series). Supplements and sequential (for instance, earlier and later serial titles) relationships are two other types. The three RDA possibilities for expressing the relationship between works are an identifier (not used alone during the U.S. RDA test), an authorized access point, and either a structured or unstructured description. The relationship designators for related works are in RDA Appendix J.2.
Kuhagen's examples () show two ways to express the relationship of a supplement of a serial. The first example uses a MARC 77X field; the relationship designators from Appendix J are unnecessary because the relationship is expressed in the MARC tag. The second example uses a relationship designator from Appendix J. The word (work) is part of the relationship designator because most of the relationships can exist at the different levels of the Group 1 entities.
TABLE 3 Examples of Related Works
Related expressions (RDA Chapter 26) are relationships between an expression and other expressions. One example is whole–part relationships (for instance, translations in a compilation). Other examples include revisions, editions, translations, language editions, and abridgements. The same three RDA possibilities for expressing the relationship between works exist for relationships between expressions with the same guidance: an identifier, an authorized access point, and either a structured or unstructured description. The relationship designators, for this category are in RDA Appendix J.3. Kuhagen presented examples showing an English-language edition of a serial and an abridgement of an annual survey.
Manifestations can also be related to other manifestations. Examples include reproductions, different formats (book vs. CD, or print book vs. PDF), and special issues. RDA's Chapter 27 discusses related manifestations, and instructs catalogers to use an identifier and/or a structured or unstructured description to show the relationship. An authorized access point is not one of the methods available to give relationships to other manifestations because RDA does not yet have instructions for authorized access points for manifestations; they will be added in the future. The relationship designators, for this category are in RDA Appendix J.4.
Relationships between an item and other items are also possible. Examples include reproductions of a specific copy, bound-withs, and an individual copy of a manifestation with special annotations in a special collection. An identifier and/or a structured or unstructured description can be used to show the relationship. An authorized access point is not one of the methods available to give relationships to other items. More details regarding related items are found in RDA Chapter 28, and the relationship designators for this category are in RDA Appendix J.5.
Related persons, families, and/or corporate body relationships would be included in an authority record as extensions of the 5XX fields. Relationship designators from Appendix K in the MARC subfield $i could be used to specify what the relationship is. For more detail, see RDA Chapters 30–32 and the examples presented in . The examples show the earlier and later relationships for two corporate names. The first example uses relationship designators from Appendix K. The second example uses codes in subfield $w: a for earlier name and b for later name.
TABLE 4 Examples of Related Corporate Names
FUTURE CHANGES TO RDA
Kuhagen shared some of the topics that LC's Policy and Standards Division will be considering as proposals for the JSC's November 2011 meeting, including adding an exception for serials to restrict use of person as creator and adding an instruction about noting changes over time of expression attributes (e.g., script). After wrapping up with a question-and-answer period, attendees left this preconference with a wealth of information about RDA and how it will impact cataloging of continuing resources. The exercises Kuhagen led along the way, the table of LC Core Elements, the descriptions of Common Relationship Designators for Serials, and her list of additional resources were all coveted handouts for attendees.
WEBSITE CONSULTED
RDA Toolkit (Chicago: American Library Association, 2010), http://www.rdatoolkit.org/ (accessed July 17, 2011).