4JSC/Editor/Part II/Outline
3 October 2004
1
To:
Joint Steering Committee for Revision of AACR
From:
Tom Delsey, AACR3 Editor
Subject:
Strawman proposal for the organization of Part II
Attached is a proposed outline for the organization of AACR3 Part II.
Proposed organization
The outline separates the rules currently in chapter 21 of AACR2 into two chapters. The first
chapter provides general direction on determining which access points are to be used as main
entry access points and which are to be used as added entry access points for the resource
described in the entry. The second chapter provides detailed instructions on determining the
primary access point and secondary access points for the work or works embodied in the resource
or for a related work.
Main and added entry access points
The chapter on main and added entry access points functions largely as a directory to rules in the
following chapter on choice of access points for works. It is divided into three sections: main
entry access points, added entry access points, and special rules for sound recordings.
The first section provides general instructions on selecting the main entry access point for four
categories of resources: resources containing a single work, resources containing compilations
(i.e., collections of works with a collective title), resources containing a composite work (i.e., two
or more interrelated works under a single title), and resources containing two or more works
without a collective title. Each of those general instructions would in turn direct the cataloguer to
the rules in the second chapter that are relevant to the category of resource described in the entry.
For example, the general rule on resources containing a single work would indicate that the main
entry access point for the description is dependent on the role played by the persons or bodies
responsible for the work contained in the resource and would direct the cataloguer to the rules in
the following chapter that cover works for which a single person is responsible, works resulting
from collaboration between two or more persons, works of unknown authorship, works
emanating from one or more corporate bodies, works emanating from unnamed groups, and
works that are modifications of other works. The general rule in the first chapter would indicate
that the primary access point for the work (as designated in the appropriate rule in the following
chapter) is to be used as the main entry access point for the description of the resource. The
section on the main entry access point also provides special instructions on the main entry access
point for resources issued in successive parts that relate to changes of persons or bodies
responsible for the work and changes in title proper. Those rules would come into play only
when such a change occurs.
The second section of the chapter on main and added entry access points provides a general
instruction to use the secondary access points for the work or works contained in the resource (as
per the instructions in the chapter on access points for works) as added entry access points for the
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description of the resource. It also provides specific instructions (paralleling those in rule 21.30
of AACR2) on added entries associated with the specific functions performed by persons or
bodies in relation to the work(s) contained in the resource, other related persons or bodies, related
works, titles, series, and analytical entries. A number of the rules in the first of those categories
would include references to more detailed instructions in the relevant rules in the following
chapter on access points for works.
The final section of the chapter on main and added entry access points covers special rules for
sound recordings. The rules pertaining to sound recordings are treated as special rules and placed
in this chapter rather than in the chapter on access points for works as they, in part at least,
override the rules pertaining to works in the latter chapter. A separate issue relating to the rules
for sound recordings is whether in fact they should be broadened to apply to all resources
embodying performances of works. If that were done, consideration could be given to moving
the rules to the chapter on access points for works, creating a new category for performances of
works following the rules on works that are modifications of other works.
Choice of access points for works
The chapter on choice of access points for works is divided into five sections. The first section
contains both general and specific rules organized according to the role played by the persons or
bodies responsible for the intellectual and or artistic content of the work. The remaining four
sections contain special rules applicable to particular categories of work: musical works, graphic
works, legal works, and religious works.
The first section provides general rules pertaining to various types of responsibility and for each
type designates a primary access point for the work as well as secondary access points. For each
general rule there is a corresponding set of specific rules giving more detailed instructions
addressing issues such as the degree of certainty about responsibility, erroneous and fictitious
attributions, the way the person or body is identified (e.g., persons identified only by a
characterizing phrase), or the nature of the work (e.g., official communications, reports of
interviews or exchanges, illustrated works).
The first two of the four sections covering special rules for particular types of works (the sections
dealing with musical works and graphic works) are organized around types of responsibility that
parallel those in the section containing general rules, but include only those types of responsibility
for which there are special rules applying to that particular type of work. The last two sections
(those covering special rules for legal works and religious works) are each organized, as they are
currently in chapter 21, around specific sub-types within their respective category (e.g., laws,
administrative regulations, constitutions, etc. in the section on legal works).
Issues addressed
The proposed organization for Part II attempts to address a number of the key issues raised in The
Logical Structure of the Anglo-American Cataloguing Rules – Part II that formed the basis for the
terms of reference for revising chapter 21 (4JSC/ALA Rep/1/Rev/3).
Identity of the work
The division of what is currently one chapter into two serves as a means of dealing with the
identity of the work or works embodied in a resource in a more direct way, separate from the
requirement to designate one access point as the main entry access point for the description of the
resource. Under the current organization of rules in chapter 21, the latter requirement effectively
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forces the cataloguer to view one work as “the” work embodied in the resource, regardless of how
many works the resource may actually embody. As a result, the identity of other works embodied
in the resource, independent of the place they occupy in that particular resource, tends to be
obscured. By creating a separate chapter covering the choice of access points for works, the
identity of the work is brought to the forefront. Furthermore, the chapter on access points for
works provides a clear set of rules that support the formulation of a “citation” for the work (see
AACR2 0.5) for use in notes citing other works, in added entries for related works, and in
analytical added entries.
From a logical perspective, the creation of a separate chapter on choice of access points also
serves to align the rules more directly with the relationships between works and the persons and
bodies responsible for their creation as set out in FRBR. As the rules are currently organized, the
focus is skewed toward the relationship of the person or body to the resource per se. In the longer
term, having a separate chapter covering choice of access points for works should serve to
provide a cleaner transition to formulating data in the context of creating records for works that
are separate from and linked to records for the resources in which those works are embodied,
thereby achieving efficiencies with respect to data creation and maintenance and supporting more
flexible and effective navigation and display functions for the user.
Simplifying the use of the rules
The proposed organization also reflects an effort to provide a step-down approach to the rules that
will be easier for the cataloguer to follow than the current complex arrangement and cross
references in chapter 21. Starting with the section on the main entry access point in the first
chapter, the cataloguer simply needs to determine whether the resource described contains a
single work, a compilation, a composite work, or two or more works without a collective title.
The general rule for the applicable category of resource indicates what the main entry access
point is to reflect and directs the cataloguer to relevant general rules in the second chapter for
instructions on choosing the primary access point according to the role played by the persons or
bodies responsible for the work. Each of the general rules in the second chapter, in turn, directs
the cataloguer to the subsequent specific rules and special rules that may apply. For the most
part, references in part II are intended to be unidirectional. From a general rule on the main entry
access point the cataloguer will be directed to a general rule in the chapter on choice of access
points for works, and from there to specific and/or special rules in that chapter. Similarly from
the general rule on added entry access points the cataloguer will be directed to a general rule in
the chapter on choice of access points for works, and from their to specific and/or special rules in
that chapter.
Application of general rules to particular cases
The proposed organization of the rules also helps to provide a clearer focus on the relationship
between general rules and specific rules. In part, dividing the rules into two chapters serves to
provide a more manageable framework within which to deal with general rules and special rules
simply by separating rules pertaining to main and added entry access points for the description of
the resource from those for choosing primary and secondary access points for works. Once that
separation has been made, it is a little easier to articulate general rules for each of the two
procedures, and to align any special rules that may apply to one procedure or the other with the
corresponding general rules for that procedure. In organizing the chapter on access points for
works, an effort has been made as well to ensure that there will be a substantive general rule for
each type of responsibility, so that the cataloguer has some general guidance to fall back on when
encountering a situation not dealt with in the more specific rules in later sections of the chapter.
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CHAPTER
Main and Added Entry Access Points
PRELIMINARY RULES
Scope
Definitions
Main and added entry access points
Sources for determining access points
Form of examples
Main Entry Access Point
GENERAL RULES
Resources containing a single work
Resources containing compilations
Resources containing a composite work
Resources containing two or more works without a collective title
RESOURCES ISSUED IN SUCCESSIVE PARTS
Changes of persons or bodies responsible for a work
Changes in title proper
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Added Entry Access Points
GENERAL RULE
Secondary access points for works contained in the resource
SPECIFIC RULES
Two or more persons or bodies involved
Collaborators
Writers
Editors and compilers
Translators
Illustrators
Corporate bodies
Other related persons or bodies
Related works
Other relationships
Title proper
Variant title
Series
Analytical entries
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Special Rules for Sound Recordings
RECORDINGS CONTAINING A SINGLE WORK
One work
RECORDINGS CONTAINING MORE THAN ONE WORK
Two or more works by the same person(s) or body (bodies)
Works by different persons or bodies. Collective title
Works by different persons or bodies. No collective title
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CHAPTER
Choice of Access Points for Works
PRELIMINARY RULES
Scope
Definitions
Primary and secondary access points
Sources for determining access points
Designations of function
Form of examples
GENERAL RULES
Works for which a single person is responsible
Works resulting from collaboration between two or more persons
Compilations
Composite works
Works of unknown authorship
Works emanating from one or more corporate bodies
Works emanating from unnamed groups
Works that are modifications of other works
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WORKS FOR WHICH A SINGLE PERSON IS REPONSIBLE
Works for which the authorship is unquestioned
Works of uncertain authorship
Works erroneously or fictitiously attributed to a person
Works by heads of state, other high government officials, popes, and other high
ecclesiastical officials
WORKS RESULTING FROM COLLABORATION BETWEEN TWO OR MORE
PERSONS
Application
Principal responsibility indicated
Principal responsibility not indicated
Shared pseudonyms
Reports of interviews or exchanges
Spirit communications
Academic disputations
COMPILATIONS
Compilations of works of a single author
Compilations of independent works by different persons
COMPOSITE WORKS
Illustrated works
Works with accompanying commentary, criticism, biographical matter, etc.
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WORKS OF UNKNOWN AUTHORSHIP
Works of unknown authorship
Authors identified only by a characterizing word, phrase, device, etc.
WORKS EMANATING FROM ONE OR MORE CORPORATE BODIES
Works emanating from a single corporate body
Works erroneously or fictitiously attributed to a corporate body
Works emanating from two or more corporate bodies
WORKS EMANATING FROM UNNAMED GROUPS
Works emanating from unnamed groups
WORKS THAT ARE MODIFICATIONS OF OTHER WORKS
Adaptations
Revisions
Abridgements
Translations
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Special Rules for Musical Works
COLLABORATIONS BETWEEN COMPOSERS AND LYRICISTS
Collaborations between composers and lyricists
MUSICAL WORKS THAT ARE MODIFICATIONS OF OTHER WORKS
Adaptations of musical works
Arrangements, transcriptions, etc.
Added accompaniments, etc.
Pasticcios, ballad operas, etc.
Writer’s works set by several composers
Musical settings for ballets, etc.
Liturgical music
Special Rules for Graphic Works
COLLABORATION BETWEEN ARTISTS AND WRITERS
Collaborations between artists and writers
GRAPHIC WORKS THAT ARE MODIFICATIONS OF OTHER WORKS
Adaptations
Reproductions
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Special Rules for Certain Legal Works
LAWS, ETC.
Application
Laws of modern jurisdictions
Ancient laws, certain medieval laws, customary laws, etc.
ADMINISTRATIVE REGULATIONS, ETC.
Administrative regulations, etc., that are not laws
Administrative regulations, etc., that are laws
Compilations of administrative regulations, etc.
CONSTITUTIONS, CHARTERS, AND OTHER FUNDAMENTAL LAWS
Constitutions, charters, etc.
Drafts
COURT RULES
Rules governing a single court
Compilations of rules governing more than one court
Compilations of rules governing courts in more than one jurisdiction
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TREATIES, INTERGOVERNMENTAL AGREEMENTS, ETC.
International treaties, etc.
Agreements contracted by international intergovernmental bodies
Agreements contracted by the Holy See
Other agreements involving jurisdictions
Protocols, amendments, etc.
Compilations of treaties, etc.
COURT DECISIONS, CASES, ETC.
Law reports
Citations, digests, etc.
Particular cases
Special Rules for Certain Religious Works
SACRED SCRIPTURES
Works accepted as sacred scripture
Harmonies
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THEOLOGICAL CREEDS, CONFESSIONS OF FAITH, ETC.
Creeds, etc. accepted by more than one denominational body
LITURGICAL WORKS
General rule
Liturgical works of the Orthodox Eastern Church
Jewish liturgical works