Access points in catalogues

and bibliographies

INTRODUCTION

This chapter draws together strands from earlier chapters. Chapter 3 examined
document representatioz, including record formats, bibliographic description and
the structure of the MARC record. This chapter examines document access
in the context of catalogues and bibliographies. Access points, called headings, in
catalogues and bibliographies use a special kind of controlled language: one that
is confined to proper names and is governed not by a thesaurus but by cata-
loguing rules. Cataloguing rules are quite different in structure and appearance
from thesauri; and whereas there exists a large range of special purpose thesauri,
in most of the world there is just one cataloguing code: the Anglo-American
Cataloguing Rules,first published in 1967, extensively revised in 1978 (AACR2),
and reissued with minor revisions in 1988 and 1998. As was explained in Chapter
3, Part 1 of AACM addresses document description. Part 2, entitled 'Headings,
Uniform Titles, and References', addresses document access.
This chapter, then, aims to give you a critical awareness of cataloguing rules
governing access points. You will learn:

r the functions of catalogues, and the conflict between the 'direct' or 'flnding
list' and'collocative' or'bibliographic' functions
o the structure of Anglo-American Cataloguing Rules
o the'cases' and'conditions' approaches to catalogue rule construction
o the principles of main and added entries
o how headings for persons, corporate bodies and uniform titles are structured
o how to make and use references in catalogues.

245
ACC]I,]SS

Mystic Meg
Mystic frieg's lucky numbers : for life, love and the loltery / illustrations by Caroline Smith. - London
:Warner, 1996. - 289 p: ill ; 18 cm. ISBN 0-7515-1875-1
-
133.335

Figure 9.1 Sample calalogue enlry

WHAT IS A CATALOGUE?

A catalogue is a list of the documents in a library, with the entries representing

the documents arranged for access in some systematic order. Catalogues, todal',
are often held as a computer database, usually called an OPAC. Otherwise, a
catalogue may be held as a card catalogue, or on microform, or as a printed
book.
A catalogue comprises a number of entries, each of which is an access point
for a document. A document may have several entries, or just one.
The entry shown in Figure 9.1 has, like all catalogue entries, three sections:
o heading: this is the access point, the element under which the record is flled
o description, identilying and further characterizing the item
o shelfmark: a mark identifying the physical location of the item within the
collection.

The presence or absence of a shelfmark is the most obvious distinguishing

feature between a record in a catalogue and one in a bibliography. Bibliographies
are not normally limited to items in one collection, and so the records in a
bibliography do not carry shelfmarks.
The entry is derived from a MARC record: the same record that was used in
Figure 3.8, and is displayed again in Figure 9.2.
In this MARC record, the access points are determined as follows:
100.00:0/0 the 100 field determines a personal author main entry heading.
245.10:0/0 1 in the first indicator position of. a245 (title) field indicates that
an entry is required under the title.
900.00:0/0 This fleld shows that references are required. The first reference
is from an inverted form of the author's name. The second is
from her real name to her given name.
The MARC record also gives subject access points (fleld 650), which were
described in Chapter 6.
In an author/title catalogue or bibliography, entries for persons, corporate
bodies, and titles are filed alphabetically, together with references from unused

246

-,-- . :-t
r'S representins
- i50,00:0i0 $aNumerology#
- .rralogues, toclar
- :-r,. Otherwise. :,
-:- 1)r' as a printec
I > an aCCeSS pOin:
: ]lc.
:::. three sections:
:, ..t recofd is fiiec
.:
:. :rem within thr
" .-. distinguishing
r .. Bibliographies
" .:.e records in a
' :tat was used in
-.lo"vs:
...r entry heading.
-..ri indicates that
-': hrst reference
, . The second is
' r, which were
-:i{JnS, Cofpofate
' ' .s fi'om unusecl
ACCESS POINTS IN CAIALO(;UES ANi) BIBI-IOGILAPHIES
,,t1 0751518751#
-tB 9701 3$as 996$ben$e0$f0$q0$h0$i
1 1 1 $leng$nb$oa$pW#
,r5 00:0/0 $ab9686568#
,2r.1 0:0/0 $a0751 51 8751 $bm#
:j0 00:0/0 $a0I7U-1#
182.00:0/0 $a133.335$c21#
-31 00:0i0 $a0504391639#
'10.00:0/0 $aMystic Meg#
215.10:0/0 $aMystic Meg's lucky numbers$bfor fife, love and the lottery$eillustrations by Caroline
Smith#
260.00:0/0 $aLondon$bWarner$c1 996#
:00.00:0/0 $a2BQ p$bill$c18 cm$epbk#
:50.00:0/0 $ai4.99 : Formerly CIP#
i50.00:0/1 $aDivination#
300.00:0/0 $aMeg$fMystic$xSee$aMystic Meg$2100#
y00.10:0/1 $aMarkova$hMeg$xSee$aMystic Meg$2100
Figure 9.2 MARC record lrom which the calalogue entry in Figure 9.1 was derived
rames or forms of a name. Figure 9.3 shows a mini-catalogue containing just
-r\-e works, all taken from the example in Figure 3.6. (For simplicity, kvel 1
.lescriptions have been used for the added entries):
FUNCTIONS OF CATALOGUES
-\s explained in Chapter 6, the functions of a catalogue were systematically
lefined over a century ago by Charles Ammi Cutter, whose Rulesfor a Dictionary
Catalogue (fourth edition, 1904) is one of the seminal works of the information
and library profession - and remains highly readable today. Cutter's is the classic:
analysis, and is still widely accepted, at least as the starting-point for a definition
,f the functions of a catalogue:
1. To enable a person to find a book of which either
the auttror
the title is known
the subject
Cr"rtter oversimplifies.No single one of these attributes (except sometimes the
title) can be relied on to find a book. In practice two are needed: author + title,
or author + subject, or title + subject. With the increased availability of keywords
as iclentilying elements in oniine searches, it is no longer necessary to know
the first word of an author, title or subject heading.
Otherwise, Cutter's basic definition of the catalogue as a finding list to the
247
ACCI]SS

.1
Caslles and palaces map of the Briiish lsles. - Edinburgh: Barlholomew, l19B-1. - wall chad; cot.;
101 x 75 cm (fold to 26 x 16 cm) 728.810941

English madrigals / The King's Singers. - HMV C{assics. c1995. - 1 s0und drsc. - 1 leafler. *
C0mpact disc. - HIMV 5 6S009 2 782.543
Frink / Edrvard Lucie-Smith and Eljsabeth Frink. - Bloomsbury, 1994. - 138p. - ISBN 0*7475-1572*Z
730.92

Geoll Hamiltons [sic] 3D garden designer. Computer program - St lves, Cambs: GSP c1998. * 1
-
c0mpuier optical disc: 4'a tr.i. - System requi-ements: Win0ows 95 or higher. - Summary: Plant
encyclopedia and graphic editor producing plans for gardens and parks. - GSPCD125
712.6
Hamilton. Geofl Geoff Harl torrs [sic] 3D garden desrgner. - Comp-ter program. - GSD. clgg8. - 1
computer oplical disc; 4%in. - System requirements: Windows g5 or higher * GSPCDl25 712.6
King's singers Englisn madrigals / r1e King's Singers. lL0ndonl: HMV Classics. c1995. - 1 sound
-
djsc (73 min.) :digltal, st€reo.; 4%in. + 1 leaflef (6 p.: col. ill., 13 cm.). - (Hl\llV Classics; 145) . -
Compact disc. - "The principal composers in this collection are Thomas Morley and Thomas Weelkes"
- accompanying notes. - HMV 5 69009 2 782.543
Lucie-Smifh, Edward Frink : a pcrtrait / Edward Lucie-Smith and Elisabeth Frink. - London:
Bloomsbury, 1994. - 138p, [16]p of plates: ill (some col.).ports :22x23cm. * lll. on lining
papers. - ISBN 0-7475-1572-7. 730.S2

Frink. Elisabeth Erinkr Edward Luc:e-Smith drd Elsabeth Frrnk. - Bioomsbu.y 1994 - l3Bp -
lsBN 0-7475-1572-7 730.92

Markova, Meg see lVlyslic Meg

Meg, Mystic see Mystic Meg

Morley. Thomas Englisr madrigals / rne K'ng's S ngers. * r-lMV Classics. c1995 - 1 sound disc. *
1 leaflet. - C0mpact disc. - HMV 5 6S009 2 782.543
Myslic Meg Mystic Meg's lucky numbers : ior life. love and the iottery / iilustrations by Carotine
Smith. - London :Warnet 1996. - 289 p: ill ; 1B cm. - ISBN 0-7515-1875-1

Mysltc Meg's lucky numbers. - Warner, 1996. - 2Bg p - ISBN 0*7515-1875-1

Smrth, Eoward Lucie- see Lucie-Snrth, Edvrard

M/eelkes, Thomas Englrsn madrigars / Tre Kirg s Singe's. - HIMV Classics, c1995. - 1 s0und disc
- 1 leaf'et. Compact disc. - HMV 5 6900S 2 782.543

Figure 9.3 Author/title catal0gue

c-onlents of a librar-v or library sy'sterr still holds goocl, but with the reservation
lhat in recent -u-ears attitucles to retrieval have becorne access based rather than
collection basecl, so that uranl- catalogues range more lvidcly than thcir orvn
collections. Also, tnost iibrarl, catalogues norv include not only books but otherr
materials as wel1, particuiarly auciiovisual materials (films, vicleos, tapes, siides.
etc.); onl1. occasionally are there separate catalogues for these. Calalogr"res rlid
not ancl clo not normally iist the contenls of books or serials. For serials nonnal1l'
only the titlc of thc serial as a whole is catalogued, and other indexes iclentif,,'
the indiviclual articles.

248
 ACCESS I)OIN]S IN CATALO(]T]ES AND BIi]LIO(;RAPHIES

-'- is primarily a finding list for known-item searches. It gives

Fl. - 1 wall chart: col -'atalogue
- , ,:ice SS to a specific document, details of which are known to the searcher,
. - :he past often constituted a iibrary's administrative record of its stock.
- .'-ri of catalogue has been variously labelled a direct catalogue, findinglist
- SBN 0-7475*1572-r -'-re, or inuentory catalogue. This group of functions is valid for both manual
730.92 : :.:chine-searchable catalogues. 'fhe latter usually offer extended facilities
r:s: GSR cJggB. - j - -.:r \\'n-item searches (e.g., author/title acronym; title keywords; control
* Siimmary: plant -
Pft125 712 a
-. .1:f).
- .: -i catalogues in the UK traditionally only provided title access points for a
l':. - GSP, c19g8. *i
, :sPcD125 ,-- proportion of their stock. Many UK catalogues were described as name
712.6
ics,c19g5.*lsound -',. gues, containing entries under authors and under personal names as
!',' l;assics; 145) .
- -. :.'IS.
5 =:d Thomas Weelkes, -. search is not usually a known-item search, unless the subject is the
782.543 ' ', =ubject
:-ctrievable fact known about a half-forgotten item (' . . . a slim green volume
w- London: - --, -fishing, written by J. R. somebody-or-other . . .'). Since Cutter's day, subject
- j i. on lining
. author approaches have come to be contrasted. In the one, the requester
730.s2
...,.111'has a specific item in mind. In the other, there is only an infbrmation
I :394. - 138p. - .. j. and no specific item or items can be identified until a selection of hopefully
rca.s2
-::\'zlflt items has been found. Cataiosue codes after Cutter have excluded the
--:iect approach.
2. To show what the library has:
782.543 by a given author. . .
n:-s by Caraline
133.335 -:is has caused, and continues to cause, endless confusion in catalogues. Many
| , ::hors use or are known by variants on their name (George Bernard Shaw;
1$.335
::rnard Shaw; G. B. Shaw; even G.B.S.) or even by two or more completely
.lerent names (Anthony Eclen; Earl of Avon). Cutter implies that all the works
F-- - Isounddisc.
, a given author must appear in a catalogue under a single unique and uniform
782.543
,.rading.
A catalogue that sets out to fulfil these functions is called a collocatiue or
:bliographic catalogue. 'fhis group of functions has long been recognized as
::e ing far subordinate to the finding-lzs/ function (Figure 9.4). Advances in biblio-
. lhe reservation .raphy over the past century have meant that there is now far less need for a
' ,,S€d rather tharr ,'atalogue to provide this kind of service than there was in Cutter's time.
, ' Ihan their own However, much networked cataiogue copy is produced by national bibliographic
' 'rooks but other agencies (e.g., the British Library), whose primary function is to produce a
_r i. tapes, slides, national bibliography which will correctly and uniquel1, ascribe each work to its
. . Catalogues dicl author.
: :r.rizls normall1, Current cataioguing rules (AACR2) try to reconcile this tension (see the
- .:rdexes
identif;. discussion at the end of this chapter); but essentially the bibliographic tail
continues to wag the finding-list dog in the majoritv of our catalogues.

249
ACCESS

Characteristics oI a direct ot finding list catalogue include:

r Authors' names jn headings are as {ound in the item.

o Forenames may be shortened to initials.
r No more descriptive detail ls required than is necessary for identification.

Characteristics ol a collautive or bibliographic catalogue include:

r Authors are given a single uniform heading irrespective o{ the way in which their names appeaf -
catalogued items.
o To avoid the possibility of one heading being used for more than one author, additional dis: -.
guishing features may be appended t0 headings most commonly, unused forenames and dates :-
birth and death.
r Uniform titles are used to bring together works where different editions, translations e{c. na.:
appeared under various titles.
c Descriptive detail may be expanded io include relerence ts related works.

Figure 9,4 Direcl and collocalive calalogues

. . . on a given subject. . .

Nearly all catalogues offer a subject approach. 'On a given subject' is a del:. -

fully simple phrase, implying that the subject of a published item car.
adequately summed up in a single word or short phrase. This might :._
sufficed a century ago, but it is ill equipped to express the complexitir.
current publishing and scholarship. However, such is the weight of trad:
that it is largely through Cutter's influence that the subject approaches avail..'
in library catalogues today are simplistic, crude and superficial. (Notice. as
that AACR2 does not deal with the subject approach.)

... in a given kind of literature.

Catalogues are mostly well equipped to tell the user if a book is prose of pot.-
or even (say) German poetry. In other respects (e.g., all books writte:.
German; all humorous books; all biographies) catalogues today are less hel, -
'fhe MARC record format does however provide fcir these (and 0t1 ."
approaches.

3. To assist in the choice of a book:

as to its edition . . .

It is basic to the function of a catalogue to be able to identify each item uniqu=

and the need for catalogues to indicate the edition of a work is undisput.
Beyond this, full descriptive cataloguing (AACR2's kvels 2 and 3) provides
considerably more detail than is needed for identification. Such elements ,
subtitle, series title, physical description (pagination etc.) and (usually) n,. .

250
 ACCI.]SS POIN]S IN CAI'ALOGL]ES AND I]IL}LIOGRAPHIES

. :'.'i to characterize rather than to identify, and some library catalogues exclude
'r. as a rnatter of policy.

, . . as to its character (literary or topical)

. . :cr had annotations in mind when he wrote this. A century ago, libraries
.:--: their stock on closed access, and every item had to be individually
f: ::arr names appear in "-.'-rested. Under these conditions, suitably annotated catalogue entries were
o- -:r additional distin- :sidered well worth while in giving readers some better idea of what they
| ': ''rames and dates of ::-c reeuesting, and so saving the time and shoeleather of library clerks
- -''lrrying to and fro in the stacks. Open access and plastic jackets have removed
& :-arslations etc. have '.: necd to annotate catalogue entries routinely. The practice survived sporad-
..11r- into the 1960s, but is now confined to special subject lists in libraries, and
' catalogue entries for videos, CD-ROMs and similar non-browsable materials.
-\ccess to items of information by the names of the persons responsible for
...tir intellectual content has a long and complex history. The need for a code
- practice was powerfully established a century and a half ago by Antonio
tnizzi, who as Keeper of Printed Books in the British Museum Library had to
'
. , -rsuade the trustees of the need for the complex rules he was proposing
'iect'is a delight.
. , introduce. This he did by sendirig each of them off separately with copies of
r:--r(1 item can b.
:-: his might .:e same books, to catalogue them; and on their return he pointed out to them
- har-e
.-.(rw each of them had done it quite differently.
' -- : complexities rr,
The problems of personal names, as of corporate bodies, are, as Pan\zzi toTd
* .:qht of traditior.
ris trustees, essentially two: agreeing on the name to be used, and establishing
i^: -r aches available
its entry element and other factors affecting its filing position in an alphabetical
: . (Notice, again.
,ist. (In these respects the rules governing the author approach are the standard
ihesaural rules of vocabulary control extended to proper names.) These prob-
lems are as real today as they were in Panizzi's day, though societal and
technological changes have emphasized different aspects of them. With personal
u. - :_rose or poetr]'.
narnes, the problems addressed by Panizzi and his successors as compilers of
rr- rks written in
catalogue codes for a full century were predominantly historical: what name to
h: - ..re less helpful
use for a nobleman: how to enter classical writers; whether to use the vernacular
: i: (and other)
or latinized form of name of writers like Linnaeus, and so on. We today tend to
be more occupied with the problems of reconciling all the varied traditions of
contemporary personal names in the global society. In the case of factors
affecting filing, technology has removed many of the old problems. With ke1'word
access, the liling element of Muhammad Ali or Chiang Kai-shek is no longer an
item uniquell., issue.
.: undisputed. lltrhile the author approach is traditionally associated with library catalogues,
provides for listings other than author indexes or catalogues also involve the arranging of
r elements as entries according to the names of persons or organizations. Telephone direct-
.:sually) notes ories are an obvious example. and there are many trade directories and similar

zJl
ACCESS

publications that are alphabetically arranged. Even in this era of machine

searching, there is still a significant place for manually searched, alphabeticallv
arranged databases.

ANGLO.AMERICAN CATALOGUING RULES

Two early sets of cataloguing rules have been mentioned so far:. Panizzi's British
Museum Rules of 1841, and Cutter's Rules for a Dictionary Catalog, first pub . .:::
lished in 1876. Other significant codes of rules have included the Anglo-American
Code of 1908 (AA1908), and the American Library Association Code of 194! r -: a'
GrA1949).
These codes were all based on the'cases' approach whereby speciic proce- _:
dures were ordained to deal with specific problems (see Figure 9.5), and : ::
cataloguers faced with a problem that was not specifically covered by a rule had
to proceed as best they could by analogy - there were even published special
interleaved editions of the rules for cataloguers to add their marginal glosses.
I
The futility of the 'cases' approach was exposed in detail in 1953 by Seymour
Lubetzky. He proposed instead a simpler set of 'conditions' or principles to guide
the cataloguer. These were debated in detail by an International Conference on
Cataloguing Principles held in Paris in 1961 - a landmark in the history ot

Early codes. such as AA190B and A1A1949. provided rules on specific problems case by case, as the
following extracts from ALA1949 show: 46. Married women. Enter a married woman under the latest
name unless, as specified below, she has consistently written under another name...

A, When a woman uses her husband's lorenames or initials in place of her own . . . enter under her
ownname...
B. Omit the name of an earlier husband in the heading unless it continues t0 appear in the lorm of
name which the author customarily uses. (An exception t0 an exceptionl)

C. Enter a married woman who continues t0 write under her maiden name under ihe maiden name...

D. Enter a woman who remarries but continues to write under the name of a former husband . . .

E. When a divorced woman resumes her maiden name, enter under the matden name . . .

names consisting ol a combination of the surnames of husband and wlfe are trequently
:-: t

iJnoflTr.O
What was not appreciated was that all these specifics. and many others (rule 47 has twO pages 0n
Saints: followed by Popes. Patriarchs. Cardinals. Ecclesiastical princes. Bishops. and more besides) are
simply instances of the condition ol a name that has changed. The circumstances are irrelevant. and
need not be listed. AACR2 recognizes the condition of having to ch00se am0ng different names (rule
22.2\, and despatches the problem in just ten lines.

Figure 9.5 The 'cases' approach t0 catal0gue code compilation

252
 ACCESS POIN]S IN CAIA],OGUES AND BIBLIO(;RAPHIES

r :tis era of maclrr . - .:r's?l bibliographic control. The code which eventually emerged - the Anglo-
::.:';hed, alphabetica_ --: :ican Cataloguing Rules of 1967 (AACRI) - is based on the 'conditions'
- -'- : ,ach. The Anglo-American Cataloguing Rules received a thorough revision
- -,', 8 (AACR2), and was reissued with minor revisions in 1988 (MCMR) and
: This last is available in print (AACR2R2) and CD-ROM (AACR2e). A
- ,iise AACR2 is also published. AACR2R2 incorporates a number of correc-
-.s and changes authorized by the
Joint Steering Committee of AACR since
:: .:tr: Panizzi's Brrt:. . 1988 revision. (The acronym becomes more and more unwieldy with each
w.- . Catalog, first pu,- ---'.'rssive issue. We shall refer simply to AACR2.)
, ,re Anglo-Americ.
F , =:ion Code of 1!,=,
S-RUCTURE OF AACR2
m. .::by specific proc:- -.:oughout this section, Concise AACR2 equivalent rules are given in italics.
-.. Figure 9.5), a; - . -.:s section will be easier to understand if a copy of AACR2 is to hand.
'.
ll? , :red by a rule ha, fte rules follow the sequence of cataloguers' operations, and proceed
- published spec:. ,:'rrughout from general to specific. The sequence is:
L . ::targinal glosses.
lj_ .. 1953 by Seymc,u. t Description:The first step is to create a description based on the chief source
:s ' :rrinciples to guic.- of information (e.g., title page) of the item being catalogued. The description
fl :ral Conference r :. ivill normally contain enough information to explain the access points
!n]: -.. in the historl, , (headings) under which it is filed.
t Choice of access points thus follows description. An access point may be a
person, a corporate body, or a title. A work is likely to have more than one
F -. :ase by caSe, as the
access point, typically two or three.
|t __;an under ths latest
l- o Headings. The cataloguer may have to choose between different names, or
i'
t,
- entsr under her variant forms of the same name, or between different entry (filing) elements
for any of the chosen access points.
b,t ::t.ar in the lorm of o References. Finally, references are needed for the guidance of catalogue users
t who approach the catalogue under a name or flling element other than the
I _-: maidan nrma
IE: : ' one that has been used.
h
i
hF
t
CHOICE OF ACCESS POINTS
b': ,,;ife are frequently
I

Ibr .
-:
13S tlvo pages 0n
:rore besides) are
The concept of the access point belongs to manually searched indexes, and is
arguably irrelevant to databases with search systems allowing ke1'word access.
lE" :. :r'e ilrelevant, and In manual indexes where every access point requires physical space, it is econ-
p : ":rent names {tule
omically only possible to list a work in a limited number of places - very seldom
nrore than five or six. The general principle is to provide access points under
the significant persons and corporate bodies, and under titles, shown in the
mJ- : :: ln description.

253
ACCESS

One of these access points is traditionally designated the main entry, and a.,
other approaches are by definition added entries. The original concept of mai:
entry was partly administrative, partly intellectual. Administratively, the mari
entry in a card catalogue might carry 'tracings'- notes at the foot, or on th.
reverse, of the card, showing where the added entries were filed, so tha
the catalogue could be properly updated whenever a work was discarded or it.
catalogue entry amended. Intellectually, main entry was selected on the basi:
of the author 'chiefly responsible for the creation of the intellectual or artisti.
content of a work' (21.1A1). This principle is extended to works of corporar.
bodies. For the great majority of items, the main entry consists of a singl:
personal author, which in a catalogue entry is followed immediately by the titlr
- which follows our normal everyday practice of citing a work by its author ani.
title.
The idea of main entry is thus a deep-rooted one, even though there is
general acceptance that it has little relevance to modern cataloguing practice
and survives largely through being built into the structure of the MARC recorcl
In most libraries, however, the main entry heading determines the shelvinl
position of an item, as some kind of abbreviation (e.g., a Cutter number) forms
part of the shelfmark.
Most of Chapter 21 (i.e., 27.1-27.28) (21-28) is concerned with establishinE
Main Entry and distinguishing it from Added Entries. Do not overlook section.
29 and 30 (29), which deal speciflcally with added entries, as the rules for mai:
entry include instructions for added entries only where these are specificall-
covered by the rule.

GENERAL RULE: 21.1 (23)

Main entry under a personal author or corporate body has to be justified r'-.'
criteria of responsibili[' for the existence of the work; otherwise main entrl':r
under title.

WORKS 0F SINGLE RESP0NSIBILITY: 21.4 (19)

Single person 21.44 (244)

Single corporate body 21.48 (248)
Problems and special cases 21.4C-D

Personal authors are straighfforward to define; corporate bodies ('no body to

kick, no soul to be damned') are more elusive. AACR2 defines a corporate body
as 'an organization or a group of persons that is identified by a particular name
and that acts, or may act, as an entity'. The designation of corporate author is

254
 ACCESS POIN']S IN CATALOGUES AND BIBLIOGRAPHII'S

:ain entry, and alr studiously avoided. Instead, works are described as 'emanating from' one or
" concept of mair: ;nore corporate bodies - the desperate verb, with its connotations of spiritualism
=tively, the maiir :lnd drains, warns of the many hair-splitting and sometimes arbitrary distinctions
:r ioot, or on thc .hat are inevitably associated with corporate bodies. The general intention of
::,: filed, so thai :u1e 21.18 (main entry under corporate body) is clear enough: works dealing
-. cliscarded or its .r'ith the policies, procedures, operations or resources of the body, or which
c:rd on the basis iecord or report its collective thought or activity. The specific rules on the
*..-tual or artistic rther hand are fraught with provisos and special cases, making their consistent
.:ss of corporate application very difficult in practice.
i.:sts of a single Here, as throughout AACR2, the examples are essential reading. They show
:-.:eli, by the title now the problem or condition set out in the rule is applied to individual cases.
:'. its author ancl
WORKS OF UNKNOWN OR UNCERTAIN AUTHORSHIE OR BY UNNAMED GROUPS:
- :.,ough there is
?' {r-ling practice. 21,5 (23C)

:.. \IARC record. \lain entry is under title. The second example under 21.5A (A Memorial to
r-:s the shelving Congress against an increase of duties on importations/by citizens of Boston
i=. r'lmber) forms and vicinity) illustrates the definition of a corporate body: the group acted as an
entity, but is not identified by a particular name. (Some earlier codes tried to
''::h establishing invent a name: Boston. Citizens.)
.-..rlook sections
:: :ules for main
WORKS 0F SHARED RESPONSIBILITY: 21.6 (25)
:.: j.re specificalll'
Shared responsibility is where two or more persons (or occasionally corporate
bodies) have performed the same kind of activity. In cases where principal
responsibility is indicated (usually by layout or typography), main entry is
straightforward. Otherwise, an arbitrary rule is applied: if there are two or three
- re justified on contributors, main entry is under the flrst named, with added entries for the
r-:: rllain entry is second and/ or third. If there are four or more authors, main entry is under title,
rvith an added entry for the flrst named person or body only.
Citation practice is to name two authors, e.g., Aitchison, Jean and Gilchrist,
A1an. Headings of this kind are not authorized by AACR2 and are not found in
rnodern catalogues. The main entry would be under Aitchison, Jean with an
added entry under Gilchrist, Alan.

COLLECTIONS, AND WORKS PRODUCED UNDER THE DIRECTION OF AN EDITOR:

21.7 (261
:: ('no body to
. -' ,rporate body Editors of works consisting of contributions by different hands, and compilers
.r:ticular name of collections, are not regarded as having sufficient responsibility for their works
- :ate author is to warrant main entry. In all cases, main entry is under title, with an added

255
ACCESS

entry for the editor. If, however, a collection does not have a collective title, then
main entry is made under the heading appropriate to the first contribution.

MIXED RESPONSIBILITY: 21 .8-21.28 (271

Notice the spread of rules; unusually, AACR2 takes a case-by-case approach in

this section. Mixed responsibility covers works to which different persons or
bodies have contributed different kinds of activity. Two types of mixed responsi-
bility are distinguished: works that are modifications of other works (e.g..
adaptations, revisions, and translations); and new works (e.g., collaborations
between artist and writer, interviews, and - wondrously, but such works exist -
communications 'presented as having been received from a spirit' through a
medium). Principal responsibility is usually assigned to the person or body (or
spirit!) named first. However, at 21.10A covering adaptations of texts, main entr-v
is under the heading for the adapter, to the annoyance of children's librarians
ever)'where.

RELATED WORKS: 21.28 l28l

We now come to the sixth and last condition of authorship. Related works are
separately catalogued works that have a relationship to another work. These
include continuations and sequels, supplements, indexes, concordances, sce-
narios and screenplays, opera librettos, subseries, and special numbers fronr
serials.
A related work is entered under its own appropriate heading, with an added
-:f-
entry under the work to which it is related. In some cases 'name-title' added
entries are prescribed. These consist of the author and the title of the related
work, for example,

Homer. Odyssey

for an adaptation that has a different main entry heading and title.

ADDED ENTRIES: 1.29-21.30 (29)

The rule for added entries consolidates and expands on all the above. 'Make an
added entry under the heading for a person or corporate body or under a titie
if some users of the catalogue might look under that heading or title rather than
under the main entry heading or title.'Added entries are to be applied judiciouslr
and sparingly - the rules are almost as much concerned with when not to make
an added entry as when to make one - there is though a splendid catch-all at

256
 ACCI.]SS POIN1S IN CAIALOGUES AND BIBI,IOGRAPHIES

lective title, ther -, l!lD: 'If . . . an added entry is required under a heading or title other than
i,..,ntribution. ': ,se prescribed in 21.30, make it.'
The specific rules at 21.30 cover:
'fwo
o or more persons or corporate bodies involved. These include collabor-
ators, editors, compilers, revisers, etc.; performers; and other related persons
or bodies, such as the addressee of a collection of letters, or a museum
ivhere an exhibition is held. Corporate bodies warrant an added entry unless
they function solely as distributor or manufacturer. Even so, an added entry
is made for a publisher whose responsibility for the work extends beyond
that of publishing.
o Two or more persons or bodies sharing a function. Entries are made under
a1l of them if there are no more than three. If there are four or more. an
added entry is made only under the first.
o Related works (which may need a name/title heading).
r Other relationships if needed, unless the relationship between the name and
the work is that of a subject. The example given is that of an art collection
from which reproductions of art works have been taken.
r Titles (with a few exceptions); today's automated catalogues will provide
these automatically.
c-=
t-
.d works are r And if thought appropriate: translators, illustrators, series title, and analytical
*-ork. These added entries (entries for separate works contained within the item being
n: :dances, sce- catalogued: a collection of plays for example) guidance is given on this.
r.. ,rmbers from
r ':th an added HEADINGS FOR PERSONS
l; .:-title'addecl
L': - the related Chapter 2'2 (3I-43) is set out step by step. First, a choice may have to be made
between different names by which the same person may be known. Second,
once the name has been decided, the entry element must be decided. Finally,
it may be necessary to make additions to names, to clari{y the person's identity
or to distinguish the name from other similar names.

CHOICE 0F NAME: 22.1-22.3 (31-32)

: ',.. 'Make an
\{any people use more than one name. They may be a completely different
r --nderatitle names, as with authors who change their names on marriage, or who use
r-.ratherthan pseudonyms, or are known to their friends and to posterity by a soubriquet or
gn - rudiciously nickname, as with the Venetian painter Jacopo Robusti, whose father was a dyer
F: :^trt tO make and so was called Tintoretto. Or the names may be variants, as with Tony (for
F - catch-all at Anthony) Blair, or ovid (Publius ovidius Naso), or w(illiam) Somerset

257
ACCESS

Maugham. The general rule is to use'the name by which a person is commonlr

known from the chief sources of information of works by that person issued in
his or her language'; otherwise from reference sources in his or her language
or country.
The principle that a person can appear under only one form of heading is
broken only in the case of pseudonyns (22.28). This complex rule tries to allou
for the fact that nobody can be certain how many authors are lurking in cata.
logues under one or more pseudonyms (Stendhal is said to have used 71)
Established writers may have two or more separate bibliographic identities, as
with Charles Luttwidge Dodgson the mathematician and l,ewis Carroll the author
of Alice in Wondeiland; AACP2 allows such writers to retain their separate
identities. In the case of contemporary authors, the basis for the heading is thr
name appearing in each work, with connecting references where two or morr
names are known to belong to the same person.

ENTRY ELEMENT: 22.4-22.11 (33-39)

Once the name has been established, it is time to decide on the order of the
components of the name in the heading. The general rule is to follow nationa-
usage, unless a person's preference is known to be different. In most cases the
surname is the entry element. Problems occur with compound surnames (Llovc.
George) and names with prefixes (if Van Gogh, why not Van Beethoven?)
AACR2 lists the commoner national usages; the International Federation o-
Library Associations (IFIA, 1996) publicat\on Names of Persons may be consultec;
for others.
The section tails off in an entertaining miscellany, including persons who arc
to be entered under a title of nobility (Lord Byron becomes Byron, George
Gordon Byron, baron); under a given name ([,eonardo, da VincD; or under
initials etc., or under a phrase: the lottery winner's friend Mystic Meg's name
should surely have been inverted according to 22.llB; and the 1920s book
Memoirs of a Flaf/er/by One, is solemnly entered under the heading One.

AOD|T|ONS T0 NAMES: 22.12-22.20 (40-43)

In some instances AACR2 calls for additions to names. They may be needed for
identification purposes (Francis, of Assisi, Saint; Moses, Grandma; Elizabeth I.
Queen of England; or even Beethoven, Ludwig van 6piriD). Often though ther'
serve the collocative function, distinguishing names that would otherwise be
identical (Smith, John, 1924- ; Smith, John, 1837-1896); Murray, Gilbert (Gilber:
George Aime); Murray, Gilbert (Gilbert John). There are also a number o-

258

.trSo11 is commOnl-,
:. Ilerson issued
---. or her languag-
- :'in of heacling i.
-.. :.ule tries to al1or'.
-:. lurking in cata-
. have used 71,
:.,hic identities, a.
:: r arroll the authc,:
:,,::r their separata
: ::e heading is th.
;l:f€ fWO Of mori
.:. .he order of thr
-. . iollow nationa-
n -:-. rnost cas€S thr
- - ..,irnames (Llovc
r -,
,.1 Beethoven?
:, : .,- Federation o:
rr,. '.av be consultec
r. : :rSOnS WhO arc
i-*:- B1-ron, Georgr
c .':nci): or under
1, . .c Meg's namt
n re 1920s book
I -, .:ling One.
r ... be needed for
t; , ':o'. Elizabeth I.
-:r'r thOugh the]-
n - otherwise be
(Gilbert
o - 'ilbert
anumberol
ACCESS POINIS IN CA]ALOG[II'S AND BIBI-IOC;ITAPHIES
.:cciai rules for narnes in certain languages, which cover a small number
i:- - -\siatic languages only. Names of Persons examines a wider range.
IEFERENCES TO PERSONAL NAME HEADINGS
. .ierences generally are used to make diflerent approaches to a heacling. In
--is they differ from added entries, which rlake different approaches to a work.
,-.tferences are made from a form of name that might reasonably be sought to
:r form of name that has been chosen as a heading. References therefore
.:iould not be made to non-existent headings, and there must be a mechanism
rormally a function of the authority flle: see Chapter 13) to record under every
.cading which references have been made to it.
Chapter 22 gives some specific instances of the use of references. The conven-
:. rnal symbol x introduces the name from which reference is to be made, thus
l.eonardo, da Vinci
x Vinci, konardo da
: an instruction to make the reference
Vinci, Leonardo da sez l,eonardo, da Vinci.
leferences are treated in full in Chapter 26. See references are made as neces-
t .
.ary from different names, from different forms of a name, and from different
:ntry elements of a name. Two examples of each type follow:
Barrett, Elizabeth see Browning, Elizabeth Barrett
Konigsberg, Allen Stewart see Allen, Woody
Ovidius Naso. Publius see Ovid
Nanaponika, Thera see Nyanaponika, Thera
Dr Seuss see Seuss, Dr
James, Anne Scott- see Scott-James, Anne
-n the case of pseudonyms, sru a/so references are made to link the different
leadings used for the same person, for example:
Innes, Michael see also Stewart, J.I.M.
Stewart, J.I.M. see a/so Innes, Michael
\ variant is the explanatory reference, tlpically for contemporary authors
appearing under several pseudonyms:
Plaidy, Jean. For this author wnder other na?nes, see
Carr, Philippa, Ford, Elbur, Holt, Victoria, Kellow, Kathleen, Tate, Ellalice
259
ACCESS

CORPORATE BODIES

Before rules for headings for corporate bodies are given, AACR2 has a shor.
chapter on geographic names. Geographic names are not used as such, but ma',
constitute, or be added to, a heading for a corporate body. Speciflcally, they arr
used:

o as the names of governments and communities

o to distinguish between corporate bodies with the same name
r to add to some corporate names (particularly names of conferences).
They have their own chapter in AACR2 because of their pervasive nature. The
chapter is, however, little more than an appendix to Chapter 24 (Corporate
bodies) (45-47). The rules are uncomplicated (but note the internationa.
emphasis: country is almost always added to the names of places smaller thar:
a country).
AACR2's deflnition of a corporate body was given earlier in this chapter: 'an
organization or a group of persons that is identified by a particular name anc
that acts, or may act, as an entity'. From a cataloguer's viewpoint, the principar
differences between a person and a corporate body are:

o Persons are unique and indivisible. A corporate body may have subordinate
or related bodies whose names require the parent body's name for proper
identification. (This can include government departments.)
o A person who changes their name remains the same person. Change oi
name in a corporate body normally denotes a change of purpose or scope.
so that the body under its new name is a different body from the old.

ESTABLISHING THE NAME OF A CORPORATE BODY

Rule 24.1 (43), the General rule -'Enter a corporate body directly under the
name by which it is commonly identified'- was quite revolutionary when intro'
duced in 1967. The examples are worth studying by anyone involved with
manually searched indexes, since 'directly' is rigorously applied and often con-
flicts with telephone books and other everyday reference tools. Thus Colin
Buchanan and Partners flles under letter C, not at any inversion of the name
under B; the University of Oxford is to be sought under U and not O; and so
on.
The name by which a body is 'commonly identified' is to be determined if
possible from items issued by the body in its language. \44ren this condition
does not apply, reference sources (including works written about the body) are
to be used.

260
 ACCESS POINTS IN CATALOGUF]S AND BII]LIO(;RAPHIF]S

.fhe
rules for variant names broadly follow personal authors. For the most
:3rt they prescribe what most people would intuitively choose:
i1-aR2 has a shor
Unescri
:-- -:S SUCh, but mar
not United Nations Educational, Scientific and Cultural Orsanization
c" -riically, they arr
Society of Friends
not Quakers, or Religious Society of Friends
rdditions, in24.4 (45), are prescribed for names which do not convey the idea
,f a corporate body. Study the examples: Bounty (Shipl and Apollo 11
l,-;..n.".1. Spacecrafi) help to illustrate the breadth of definition of a corporate body. Ships
1-, ,:>tve nature. The rave a name and may act as an entity - the Bounty's logbook is a famous
r :: 24 (Corporate ixample. (Spacecraft, one assumes, qualify only if they are manned?) Rock
-{roups and the like often require this kind of
. :e international parenthetical qualifier, and one
r -,--r-S smaller than iould endlessly argue the toss over whether Spice Girls conveys the idea of a
.'orporate body as opposed to, say, Oasis.
: .:ti-s chapter: 'an The rule prescribing additions for bodies with identical or similar names takes
:;- .--rllar name attcl rs firmly into the field of the bibliographic catalogue. In the main, it is place
@'- :!t. the principa. :emes that are to be added. If the mind balks at some of the detail, such as the
:resumed documented existence of three different Red Lion Hotels in three
-:derent British towns all called Newport, it is as well to remember that much
ii ..:\-e subordinat. : the cataloguing envisaged by these rules can be quite specialized - the local
T' . .3lne for prope: .:udies departments of public libraries, for example.
[: Omissions, 24.5, do not require much attention; in the main, they codi{y
-rr>,)n. Change r - -- )mmon-sense omissions of initial articles, citations of honour, and terms indi-
lrr , .:l)ose Or SCOpr. --ating incorporation etc.
" .- the oid. There are a number of special rules prescribing additions for specific types
i body: governments and conferences are the most important of these.
\dditions for Governments, 24.6, are needed when governments at different
l'els share the same name, as with New York city and New York state. In the
; . .:ctly under th. -'ase of conferences,24.7 (46), AACR2 comes very close to prescribing a 'struc-
r. ..rr\r when intrc,- .LLred' form of heading. We are instructed to omit from the name any indications
r :: involved witl. f number, frequency or year(s). These are to be tacked on to the end of the
r :. and often con- reading, together with the date and location of the conference. The resulting
. is. Thus Colin readings take the following pattern:
r- -:. 'n of the nantr
International Congress of Neurovegetative Research (20th: 1990: Tokyo,
. not O; and s,
Japan)
- . determined il How cloes one retrieve such a heading? With ke1'r,vord access ail is well; but in
i- - this condition nanually searched indexes, the siightest error in transcription ('Congress'mis-
:' .i the body) art reurembered as 'Conference', or even the substitution of 'on' for 'of') can make
headings of this type well-nigh irretrievable. Experienced searchers facecl with

261
ACCESS

this type of situation will have other search strategies to hand: a ke5,'word search
if one is available, or the subject approach, or better still access to Boston Spa
Conferences.

SUBORDINATE AND RELATED BODIES

These are to be entered directly under their own name whenever possible, 24.1!
(47): that is to say, when the name does not necessarily imply subordination
Thus the Bodleian Library belongs to the University of Oxford, but it is to be
entered directly under its name, even though the format may be inconsistent
with other university libraries.
Bodies to be entered subordinately, 24.13 (48) include:

. a body that is subordinate by deflnition: e.g., Department, Division, Con-

mittee: provided it cannot be identified without the name of the higher bodr
. a name that is so general that it requires the parent body for proper identifi
cation
a a name that does not convey the idea of a corporate body
o university faculties, institutes, etc., where the name simply denotes a field r-,-

study
. a name that includes the entire name of the higher or related body.

As always, AACR2R's examples should be studied carefully.

In many cases with subordinate bodies there is a hierarchy of subordination
lVhere there are three or more levels of subordination, cataloguers are instructec.
to omit intermediate elements in the hierarchy unless this might result ii'
ambiguity. This rule had some purpose in manually compiled and searchec
indexes, in preventing headings from becoming unnecessarily long. However.
it necessitates some complex references (as well as being difficult to appl."
consistently); and in the context of machine retrieval, it has been argued that i
would be simpler either to use the subordinate body on its own as a heading
or to set down the complete hierarchy once and for all, allowing each searcht:
to home in on whichever oart of it thev wish.

GOVERNMENT BODIES AND OFFICIALS

Governments form one of the most important categories of corporate bocl.,

Governments operate at many levels: international, national, regional, loca,
Mostly, a government is entered under its conventional name, which is th.
geographic name of the area governed, 24. Essentially governments are treate.
in the same way as any other corporate body, and the Concise AACR2 does jus.

262

-.r: a ke).word sea:..
r--ar'ss to Bostott ::
,,:-.'er possible, 2-i
:..riv subordinati, -
:' :'d. but it is to ,.
-.,.r' fs inconsistr:
.. Division, Cor:
, the higher boc.
I proper identi-
r :rnotes a fielri ,
-. . -d body.
:: - subordination
Lr,i-' t': are inStfuctec-
- - _night result ir.
ffi .. and searchec
lL-- ,,lng. However.
r - :rficult to applv
r ':-:t zrgu€d that it
F :asaheading.
r, '. each searcher
- ryorate bodl-,
n :rgional, 1oca1.
:. ri-hich is the
r' ::.tS ?f€ treated
--.r-M does just
ACCI'SS PO]NTS IN CAIA],OGTIES ANI) I]IBI-IO(;R.APHIF-S
",., but because of their complexity the full AACR2 devotes a section,
--',,-')4.26, to them.
I'ational governments have three traditional areas of responsibility: the legis-
. r:e. for which the agency is the country's legislative body, e.g., Parliament,
, :-.gress; the executive, which consists of the government and its various
- : artrnents, ministries, etc., and also its armed forces; and the judiciary, or
-_ ::ts of law Governments also have ambassadors and other agencies to repre-
.::.: their interests abroad. Much of the complexity of headings for governments
-:rves from the tendency of modern government to pervade and regulate more
:.. . more areas of everyday life. 'fhe range of government agencies today is
.
- .,-1r that AACR's general rule,24.17 , and default condition is that a body created
: iontrolled by a government is to be entered directly under its name, with a
':.r:rcnc€ from the agency as a subheading of the name of the government,
--. -1S:
Heading: Arts Council of Great Britain
Reference: Great Britain. Arts Council ses Arts Council of Great Britain
- re agencies performing the central functions of government are entered as a
-.rlheading of the name of the government according to rule 24.18, which
" mewhat paradoxically forms an exception to the general rules for govern-
..tnts. 'fhe proliferation of government agencies today is such that an official
-:rblication is to be assumed not to be concerned with one of the central functions
- government. Rule 24.18 lists 11 types of government agencies to be entered
.:rbordinately. As a further exception, there are special rules for govern-
:rent officials, legislative bodies, constitutional conventions, courts, the armed
- rrc€S, embassies and consulates, and delegations to international or inter-
.overnmental bodies - all of which are entered subordinately. \\4rere there
..re degrees of subordination, the general rules - 24.14, elaborated at 24.19 -
:pply. The special rules have some exceptions, however: the heading for the
-'S Senate is United States. Congress. Senate and not simply United States.
Stnatei a sirnilar construction is prescribed for other legislative bodies, and for
:rnred forces.
AACR2 also devotes three pages to special rules for religious bodies and
,fficials - 24.27.
REFERENCES TO HEADINGS FOR CORPORATE BODIES
1'he principles for rnaking re1-erences to corporate bodies are similar to those
ior personal names. The following are some Vpical instances, covering different
nanles, different forms of a name, and different entry eiements:
263
ACCI'SS

Deutschland (Bundesrepublik) see Germany (Federal Republic)

Friends, Society of see Society of Friends
International Business Machines Corporation see IBM
Quakers see Society of Friends
Religious Society of Friends see Society of Friends
Roman Catholic Church see Catholic Church
RSPB sue Royal Socieff for the Protection of Birds
United Nations Educational, Scientific and Cultural Organization see
Unesco

Subordinate bodies lead to complications not found with personal names:

University of Oxford. Bodleian Library see Bodleian Library

and for more than one degree of subordination:

Great Britain. Department of Energy. Energy Efficiency Office

see Great Britain. Energy Efficiency Office

Change of name in corporate bodies can give rise to more insidious compli-
cations:

Great Britain. Board of Education

see also
Great Britain. Ministry of Education
Great Britain. DePartment of Education and Science
Great Britain. Department for Education and Employment

with similar references under the three other bodies. In such cases an explana-
tory reference is often recommended, giving the dates between which each
name applied. Rule 26.3C has some even more complex examples.

UNIF0RM TITLES: 25 (51-55)

Uniform titles are filing titles supplied by the cataloguer, and are used optionally.
They have two functions:
1. To bring together entries for different editions, translations etc. of the same
work, appearing under different titles.
2. To provide identification for a work when the title by which it is known
differs from the title of the item in hand

Function (1) is typical of collocative catalogues. It belonged originally to manually

searched files: a uniform title such as

264
 ACCI'SS POINTS IN CATAI-O(;UES ANI) BII]LIOGRAPHIES

-- ,: ublic) Dickens. Charles

[\'lartin Chuzzlewit] The life and adventures of Martin Chuzzlewit
...d be retrieved electronically by key'word access even without the uniform
- . Function (2) however is a finding-list function and is valid irrespective of
.-: rnode of searching. A person searching for an edition of Swift's Gulliuer's
-".:: e/s could conceivably have problems retrieving this without its uniform title:
r-::a.'-zatrcn see
Swift, Jonathan
lGulliver's travels] Travels into several remote nations of the world / by
lr:: fl?l names: Lemuel Gulliver
;:-'"-- . a work such as this:

l.{rabian nightsl The book of the thousand and one nights

rld be completely irretrievable.
There are a number of special categories of works that might carry a uniform
'..-c. They include:
:nsidious compl:-

o Collections: a uniform title may be used to collocate complete or partial

collections of an author's works, where these appear under different titles;
for examole:

Maugham, W. Somerset
W, [Selections] The Somerset Maugham pocket book

n- . --ases an explana- for example:

Speciflc uniform titles are prescribed for use as appropriate,
:-'-.,"ren which each IWorks], IPoems], IShort stories], IPoems. Selections], IShort stories.
yi..: .--,1es. Spanish. Selectionsl.

Sacred scriptures. Uniform titles for the more logical arrangement and
retrieval of the Bible and other sacred scriptures are well established. The
method is reminiscent of subject retrieval with its fixed citation order:
used optionalll: Bible. Testament. Book or group of books. language. Version. Year.
For example:
.-tc. of the saurt Bible. N.T Corinthians. English. Authorized.
Bible. trnglish. Revised Standard. 1959.
rch it is known
Music. Music, especially classical works, often requires a uniform title as the
international nature of music publishing often results in editions of works
- - :ally to manuallr having title pages in a variety of languages. They are best explainecl by
examoles:

265
ACCI]SS

Handel, George Frideric

lMessiah. Vocal score]
Rossini. Gioacchino
[Barbiere di Siviglia. largo al factotum]
Schubert, Franz
[Quintets, violins (2), viola, violoncelli (2),D.956, C major]

DISCUSSION

CITATIONS, CATALOGUE ENTRIES AND METADATA

This chapter opened by referring to earlier chapters where document represen-

tation was described. AACR2 is unusual in its careful separation of representatior:
(description) and access. S4rile Chapter 3 did not discuss document access as
such, it did discuss citations, where the document representation has its own
built-in access point. Also, in Chapter 2 we looked at metadata, a mechanisnr
for both representing and accessing networked electronic resources. Citations.
catalogues and metadata have evolved through quite different traditions. Figurr
9.6 summarizes some ooints of similaritv and contrast.

DIRECT VERSUS COLLOCATIVE IN AACR2

Showing the relationship of an item with others is complex and in some respects
controversial in the context of cataloguing. A catalogue in its basic flnding lisr
function focuses on the individual item. Two works by the same author are
clearly related to the extent that they are products of the same brain. Queen
Victoria, after meeting the author of Alice in Wondeiland, expressed the desire
to be given a copy of his next book, and was presented to her disappointment
with a mathematical treatise. AACR2 has relaxed the bibliographic unit of author-
ship to the extent of allowing both Carroll, l,ewis and Dodgson, Charles
Lutfwidge as headings. Within the description, relationships may be shown in
many ways. One kind of relationship that must be shown is one that the author
considers important enough to incorporate into the title or statement of responsi-
biliff: this covers many works of mixed responsibiliry 2l.B-21.27, as well as
those falling under the rule for related works, 21.28. Any edition statement
implies a relationship with another edition; any series statement is a clear
indication that the item has siblings. The Notes area is a catch-all for relationships
which cannot be expressed within the body of the description - that is, which
do not appear in the chief source of information. Rule 1.7 has several examples
of notes indicating continuations, translations, adaptations, and the like. The

266
 ACCIISS POIN'I'S I N T]ATALOGUES,LNI) ]]IBI,IO GIL\PHII']S

Citations Catalogue entrres I Metadata

Strongly influenced bY tradition Recently devetoped lrom first

:,-:i on tradttion of scholarly
pn ncr pres.
,.--:lrledgemeni o{ or histoilcal bibliograPhY: the
'-:-;CeSSOTS' W0rk. identification ot individual
copies of hand-Printed books
Oflen based on in{ormation
qorl used in comPiling national
bibtiograPh ies.

- Multiple entries for resPonsible One record with embedded

l:e entry onlY, under author
persons. corporate bodies. keys to provide multiPle access
.r1hor substitute.
poi nts
titles: one ol these being
clesignated Ihe main entrY and
the rest added entries. In an
ODAC these produce a range
L-l nflPflt l.cnl.eqtsr-- of access pornts. Also include
'ofrepresentatio:. ref ere nces {rom dillerent
approaches to names.
-'urnent access a: Indexel de{ines unit or
,.tion has its oll.i, '., rnclude both monographs ltems forming Part of a larger
'r papers that torm part o{ a unit are excluded (with few document
..-ta. a mechanisl :'ger unit (iournal articles, exceptions)
. rlrces. Citations . -rference papers, etc.)
.raditions. Figurr :-:.in short, siftgle-Purpose in manual files, form long, Access is via search keYs
muili-purPose lists.
-.is in both manual and
-achine-held {iles
Give location based on URL
i: not normallY give PhYsical Give localions (sheitmark)

- lations, but should lnclude

.:r some respecls
. ':asic finding list
.:.r'ne author are
: brain. Queen
-':sse d the desirt
iisappointment
ilirltu." - unit oI author-
illt ._son, Charles
rlli; .-.-be shown in
[l .:rat the author
!11 -nt of responsi-
-, , as well as
; ,- )n statement
.-ough information to enable
:r rtem to be traced or a
':source t0 be accessed.
oualfiy mediated b}/ Vlateriat accePted on 'common
icod quality conlrol. lnclined
considerattons oi commetcial carrier' basis. Some vatidated
.:rvards academic
publlshing afid acquisitlon bY material, but no systematic
: rblications, often rePons ot
quality contlot. Includes
rsearch by indivrduals or libraries.
promottonal matelial and
,mall teams.
w0rse.
Representation and access Representation and access
lepresentation and access
separated. ldenti{Y and maY combined. Direct access to
:ombined. Give sufircient
often addrtionallY characterize, res0urce
nf ormation f or identi{ication
rurposes only as an aid to selection
Figure 9.6 Citati0ns, calalogue entries and meladata

fi ::rt is a clear
fifru I :.relationships
OIIfl: - :rat is, which
' .ial examples
mn]l" le lihe. 'lhe
267
ACCESS

danger of this is the implied invitation for cataloguers to turn themselves in:
literary detectives, and the question to be asked is, does this information ad_
ani,thing to the usefulness of the catalogue? is the fact that The Second Ser is .
translation of Le deuxiime sexe something that a person needs to be told in th.
catalogue, or can they be left to discover it for themselves? If the cataloguer ca:
find the information within the item. then so can the reader.
AACR2 maintains an uneasy compromise between the direct and bibliographic
functions of catalogues. The various rules that point to either function are a.
follows.

Rules pointing t0 a direct catal0gue

o Access points are to be determined from the chief source of informatior.

(21.08).
o The heading for a person is based on the name by which he or she is
commonly known, as determined by the chief source of information (22.1).
o Persons who have established two or more bibliographic entities under
different names may be entered under different names (22.28).
o The heading for a corporate body is based on the name by which it is
commonly identifled (24.1).

Rules pointing to a collocative catalogue

o Parts of a full Description, such as Series (1.6) and edition and history notes
(I.7BT) link the description to related works.
a Persons known by more than one name (other than a pseudonym) are to be
entered under a single uniform heading, which may differ from that appearing
in the chief source of information (22.2).
o Additions are prescribed to headings for persons in order to distinguish
identical names: these may be dates (22.77), fuller forms of the name (22.1,8)
or distinguishing terms (22.19).
o \44rere variant names of a corporate body are found, one of them is chosen
as the basis for the heading (24.2-24.3).
o Additions are prescribed to names of corporate bodies to distinguish two or
more bodies having the same name (24.4[en24.11).
o Uniform titles provide 'the means for bringing together all catalogue entries
for a work when various manifestations (e.g. editions, translations) have
appeared under various titles' (25.1).

In practice, there is a greater polarization than is immediately apparent. On the

one hand, some national bibliographic agencies routinely make additions to

268

:> i(l turn themselves i:
- ,cs this information a_
,-- :hat The Second Srx i.
.... needs to be told in::
:--.':s? If the cataloguer c-
:- a cler.
:.: lirect and bibliograpr-.
: : either function are ..
- :- sourc€ of informati
'. ,i which he or she .,
r-: rf information (22).
.raphic entities uncl:
.; (22.28).
- name by which ir
r...ion and history not.,
: . -seudonym) are to l,-.
-
-:r iiom that appearin.
I - 'rder to distingui..
, - ..- of the name (22.1r
: :.e of them is chosr-.
, , distinguish fwo , :
- .r1l catalogue entrir:
-. translations)
har'-
:.r' app21s1t. On th.
nrake additions r
ACCESS POINTS IN CATA],OGT I'S AND BIBI,IOC}RA]'HIES
.' : iclates of birth, expansion of forenames), even where these are not
- r:ately required to distinguish identical headings. (It is cheaper to do this
_
- amend an existing heading when a conflict does arise.) On the other
,he accuracy of any given catalogue is only as good as its authority flle,
' :. particular the diligence with which this is applied. Failure to recognize
.' .,jsting heading, the addition or omission of a distinguishing clate, or the
- ,:st variation in spacing or punctuation, will in most retrieval systems result
' : S?11l€ person appearing under more than one heading. Not surprisingly,
' -'- is a well-established lobby against the application of any kind of rules to
- ... While this is mainly to be found among the abstracting houses, it has
. .r€n suggested, with increasing plausibiliry as the technology improves.
- .: is possible to create working catalogues based on records derived directly
.
- ' . uptically scanned title pages - the ultimate negation of the collocative
. - - .:on. In 1953 I.ubetzl'y asked the question, Is this ruie necessary? The
,:rrion of the future may well be, Are any rules necessary?
.-: OUT-OF-DATENESS OF CATALOGUING RULES
- -:i of cataloguing rules, like any other code of practice, depencls on there
".{ a well-established set of procedures that can be codified with general
-r:cntert. Codes are thus inevitably backward-looking, and liable to be over-
.'r by events the moment they are published. AA1908 was implicitly designed
.. printed book catalogues in mind, and was published just at the time when
..- l catalogues were taking over. Both editions of AACR have been sirnilarly
-.:ctecl. The MARC recorcl format is built round cataloguing rules govt'rning
: production of card catalogues, and was first implemented in 1968, the year
-':r' the publication of AACR1. AACR2 and MARC are virtually two sides of the
- :,rB coir, and AACR2 is essentially a code designed for manually searched
:cxes with their immensely long, static lists - and was published just as the
' :-t OPACs were coming into use. Twent-v years on, not only do we still lack a
,., of rules designed explicitly for machine searchable bibliographic databases.
:: there is no consensus on the desirability or otherwise of developing AAC[{2
- that direction. 'I'he awful contemplation of having to restructure MARC and
,,:,end millions of existing MARC records is a powerful deterrent to raclical
-.i'ision.
l'here is movement for change, however, and already much groundwork has
:rn (lone in redefining the principles of AACR according to the entity-relation-
.rip model. Other themes can lle identifiecl: for example the need to resolve the
-,,ntent versus carrier' question: whether cataloguing should be based on
,t item in hancl (or on screen), or on the more generalized concept of the
-.',
rrk. Whatever the future may hold, AACR2 has without doubt been highly
269
ACCESS

successful both as a set of rules and as an instrument of universal bibliogra;-

control. It is based on clear principles: treating all media equally; the separa:
of document representation (description) from document access; and Lubetz..
conditions approach. It is clearly set out, and lucidly written. It is the first rr -
international code, accepted and applied throughout the world, having b.-'
translated into 18 languages and forming the basis for other codes in rS€ tcrc.:
It is the first code to be hospitable to all types of communication media. I,
easy, when censuring it for what it does not do - perhaps may never do -, .

forget its massive achievement.

SUMMARY

Headings in catalogues are in essence controlled vocabularies applied to class..

of one. Even more than the general classification schemes, catalogues are encur: .
bered with the detritus of well over a century of practice, and their rules rema:-
in many respects Byzantine. In understanding the complexities of catalogr.-
rules, an analytical approach, taking each problem a step at a time, yields tl
best results. The tension between the direct and collocative functions remair-
as strong as ever, and an understanding of these functions is fundamental to th-
appreciation of the role of catalogues and of the author approach generally.

REFERENCES AND FURTHER READING

Baughnran, B. and Svenonius, Il. (1984) AACR2: main entry free? Cataloging and Classificati
Quarteily.5 (1),1-15.
Boll, J. (1990) 'fhe future of AACM (in the OPAC environment). Cataloging and Classificatt, ,

Quarterly. 12 (1), 3-34.

Bryant, P (1980) Progress in documentation: the catalogue. Journal of Documentation, 36 (-
133-63.
Buckland, M. K. (1988) Bibliography, library records. and the redefinition of the library catakrs
Library Resources and Technical Seruices. 32 (4), 299-311.
Carpenter, M. and Svenonius, E. (eds) (1986) Foundations of Cataktging: A Sourceboaft. Littlekrr.
CO: I-ibraries Unlimited.
Cutter, Cl. A. (1904) Rulesfor a Dictionary Cataktg,4th edn. Washington, DC: Government Printin5
Office (and later reprints).
Fattahi, R. (1995) Anelo-American Cataloguing Rules in the online environment: a literature revierr
Cataktging and Classification Quarterly, 20 (2),25-50.
Gorrnan. NI. (1978) The Anglo-Arnerican Cataloging Rules, seconcl edition. I.ibrary Revurccs an,t
I^echnical Sertices, 22 (3), 209-26.
IIrIA (1996) Namesof Persons: National Usagesforllntryin Catalogues,4thedn. Munichand London:
K. (]. Saur.
Lubtezlrl', S. (1953) Cataloging Rules and Principles. Washinglon, l)Cl: Library of Congress.

270
 ACCESS POIN1S IN CAIALO(}T]ES AND I]IBI-IOGRAPHIES

- .',:rSai bibliograph:-
:- -:.llr'; the separatir -
i-,:qSi ancl Lubetzkr :
:: lr is the first trui,.
t r ,fld, having bet-
Ir: ,' rcles in use tocla..
:_ _'ation media. It :.
r. ital'' never do _ t.
r.. :rpplied to classe:
:': :. ,gUeS afe enCUlI.
in .leir rules remail.
f :.,iteS of catalogu,.
r . ,: time, yields th-
n : .'.tnctions remains
- ,,.:tdamental to thr
r:- =;h generally.
, :ison. O. 1\{. A. (1992) The role of the nane main-entr1' heading in the online environment.
> t ri als Librarian, 22 (3 / 4), 371-91.
.r,vell, R. with Vlaxwell, N{.(1997) X'laxrcpll's Handbooh fur,4,4CR2R: l)xplaining and Illustrating the
.:,ttglo-Atnerican Catalogwing Rules an.d 1993 Amendments. Chicago: Arnerican I-ibrary Association.
.r. P (1996) Future Libraries, Fuhrre Catalogres. l-ondon: Librarv Association.
.qLrft, M. (1988),4 Topography of Cataloguing: Showing the Most Itttportant l-andmarks, Commun-
'ations and Perilous Places. [.ondon: Librar-v Association.
:
r'gott, M. (1990) 'lhe Catakryuer's Way through AACR2: From l)outment Receiqt to l)ocumert
Petrieual. London: Library Association.
iranr, S. and l-azinger, S. S. (1991) The no-main-entry principle and the automated catalog.
'--atalogittg and Classification Quarterly 12 (3/4), 51-67.
.iraglia, R. P (ed.) (19f12) Origins, Content, and Future of ,A,4CR2 Reuised. Chicago: I'rnerican
Library Association. (f'articularly: ()orman, M. AIter AACR2R: the future oI the Anglo-Anerican
uataloguing Rules, pp. 89-94; also responses, pp. 95-13i).
anson, E. (1990) Choice and fornr of access points according to AACR2. Catabgi.ng and. Classi-
. ,cation Quarterly,ll (?'/ 1) , :15-G
,ihs..J. (ed.) (19911) llze Principles and Future ofAACR: Proceedings ofthe Internation.al Conference
,n the Princi|les and Fuhtre Detelopment of .4,4CR2, Toroilto, Ontorio, Canada, Ottober 23-25,
1997. OIIawa: Canaclian Library Association. For later clevelopments, see the .loint Steering
Courrnittee's \Yeb,site: <http://w-ww.nlcJrnc.caljsc/index.htm>.
:nke, il. C. (1993) Discarding the main entry in an online cataloging environment. Cataloging and
Classilication QuarterlJ, 16 (1), 53-70.

and Classificatiot.

and Classificatiot:

tttentation, 36 (2t

:re library catalog

:tr(!hook. Littleton.

lernment Printing

:r literature revierr.

.ury Resources and

.:nich and London:

! 0ngress.

271