Standards for Archival Description: A Handbook
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CHAPTER 6: AUTHORITY CONTROL


It is safe to say that no other type of descriptive standard is currently receiving more attention nor undergoing greater change than are the various controlled vocabularies embodied in thesauri and other kinds of authority lists. Some of the existing authorities have been in use for nearly a century, while others have only been formalized within the last several years. By their very nature authorities are dynamic, for to stay current and therefore truly useful they must receive constant scrutiny and revision.

The introduction of automated information retrieval brought a dramatic increase in the demand for vocabulary control. This has resulted in equally dramatic innovation and change during the 1980s and early 1990s. Petersen noted that between the publication of the MARC format updates 10 (in 1983) and 11 (in 1985) the number of authorized sources for subject terms had grown from four to nineteen.1 By 1990, the number of USMARC-authorized subject and index term sources had reached forty-seven!2

This intense level of activity is not likely to decrease soon and significant changes in the sources described in this chapter will make much of the information out-of-date soon after publication. The guidance supplied in each entry should help the user locate relevant updates.

The structure and use of thesauri

Among the most influential of national and international standards ever developed for the library and information field have been those governing the structure, construction, and use of thesauri. A number of the thesauri cited in this handbook are based on the U.S. national standard, Z39.19-1980, Guidelines for Thesaurus Structure, Construction, and Use.

The U.S. standard has been under revision for several years and a revised version should be published in 1994 by the National Information Standards Organization (NISO). Some of the same individuals working on the Z39.19 revision also participated in developing the international equivalent for monolingual thesauri, ISO 2788:1986, Documentation--Guidelines for the establishment and development of monolingual thesauri. At the international level, there is a second standard, ISO 5964:1985, which applies to multilingual thesauri. Another related international standard, probably widely overlooked in the U.S., is ISO 5963:1985 which presents methods for examining documents, determining their subjects, and selecting index terms.

Library of Congress authorities

Until quite recently, most efforts in authority work concentrated on developing controlled lists of names and subject terms. The Library of Congress clearly dominated work in both areas, at least for the bibliographic community in the U.S., having established both its Name Authority File (LCNA) and the Library of Congress Subject Headings (LCSH) before the turn of the twentieth century. Other important and widely recognized authorities emerged in other fields, including the Medical Subject Headings (MeSH) for medical literature and the Educational Resources Information Center (ERIC) Descriptors for the educational community, but anyone working in a mainstream library cataloging context relied primarily on LCNA and LCSH for establishing standardized name headings and subject indexing terms.

The Library of Congress not only established these two authorities, but until quite recently it maintained complete control of additions and changes to them. LC's role began to change in the late 1970s, however, as it began to share responsibility for maintaining the files with other agencies and libraries. This broadening participation has changed the fundamental nature of LCNA and LCSH. For many years users were reminded that the files were based solely on the collections of the Library of Congress and that their limitations had to be dealt with in that context. Now LC is providing the leadership to build a truly national authority system through a closely monitored but broadly based participatory process. In 1991 LC expressed an intention to work toward the integration of LCNA and LCSH into "a single authority file comprising records for names, series, and subjects."3

LC cooperative cataloging projects (NACO, CSCP, and NCCP)

In October 1977 the LC and the Government Printing Office (GPO) took the first step toward a cooperative system for creating catalog and name authority records. Entering into an agreement intended to eliminate duplicate effort, GPO became responsible for preparing catalog records for all U.S. government monographs which were then entered in LC's master file. To make this process more efficient, GPO also performed the necessary authority work associated with that cataloging and the two agencies began maintaining a common name authority file.

The Name Authority Cooperative (NACO), as it was then known, soon expanded to include the Texas State Library in 1979 and added the State University of Wisconsin-Madison and the University of Texas at Austin in 1980. The number of participating institutions continued to grow through the 1980s and early 1990s and the name changed to the National Coordinated Cataloging Operations. Libraries admitted to NACO must meet rigorous quality and quantity criteria. Each participating library agrees to follow AACR 2 as well as all applicable LC Rule Interpretations (LCRIs) when establishing headings and must provide a full set of cross references.

The advantages of NACO are clear. Through participation and cooperation from a large number and variety of libraries, the LCNA master file can become a truly nationwide name authority, not just one rooted in the collections of the Library of Congress. Also, the cost of creating and maintaining such a file is spread among all participating libraries and virtually all libraries ultimately benefit by having access to the information it contains. This is significant because authority work has been shown to be the most expensive of all cataloging processes.4

For the first several years of its operation, NACO operated in batch mode. Headings were submitted on worksheets that had to be checked and entered by LC staff. By the mid-1980s, however, the Linked Systems Project (LSP), an effort to provide online data exchange capabilities among LC and the major bibliographic networks, had made sufficient progress to allow online access to the master name authority file.5 The LSP file became accessible on RLIN in 1985 and on OCLC in 1987. Approved NACO participants who are also RLIN or OCLC members can contribute data directly to LC via those utilities.

More recently, LC established a sister project to NACO, the Cooperative Subject Cataloging Project (CSCP) through which libraries nationwide contribute subject heading proposals for LCSH. In a June 1992 announcement, LC's Cooperative Subject Cataloging Projects staff encouraged "all libraries to submit proposals for new subject headings."6 Basic instructions and forms for submitting proposals are included in the Subject Cataloging Manual: Subject Headings, memo H200, p. 12-22.

This broadened participation in LCNA and LCSH by librarians nationwide has meant that archivists are can now make contributions directly or at least influence changes to these two authorities as well. Within LC, NUCMC staff began contributing to both authorities in 1988, thereby incorporating data from a wide variety of manuscript collections across the country. Archivists in other institutions have been contributing names associated with their collections through NACO participants, usually their parent institutions. Ultimately this will increase the scope of authorized names in the files well beyond those who are published authors. Archival activity in the CSCP has strong potential but is not well known to date.

In 1988, building on the initial success of NACO, the Library of Congress launched another, more comprehensive effort, the National Coordinated Cataloging Program (NCCP). The initial group of participants was relatively small (LC plus eight major research libraries), but their goal was ambitious. Using the telecommunications and records transfer protocols developed through the Linked Systems Project, the NCCP is building a national, decentralized database of MARC records. Records are contributed "based on the language and subject expertise of [each institution's] cataloging staff" and were initially limited to "current receipts of monographs in Western European languages and in English."7

Each library performs all the authority work, both name and subject, associated with each record they create, including the creation of new headings and maintenance of existing ones. LC provides intensive training to librarians in participating institutions and screens all contributed records initially. Once an institution has enough experience to sustain high quality input standards, only a sampling of its records are reviewed by LC on an ongoing basis.

The NCCP has opened the LC Subject Headings master file to broader input just as NACO opened the Name Authorities master file. All work is performed online, so changes in the name and subject headings master files are accessible almost immediately. Previously changes to the subject headings had been distributed only in print form, through weekly, quarterly, and annual updates, or in quarterly microfiche or machine-readable versions.8

Other major subject sources

LCSH may be the primary source for subject terms but it is certainly not the only source. Perhaps the most widely source other than LCSH is the Medical Subject Headings (MeSH), developed and maintained by the National Library of Medicine. But the one having the most impact on archival practice, primarily because its developers have sought active participation from the archival community throughout its compilation, is the Art and Architecture Thesaurus (AAT). The AAT, begun in 1979, has incorporated several independent archival vocabulary lists into its massive hierarchical structure and has provided a secure home and maintenance facility for them.

Beyond names and subjects: form terms and document types

In response to increasing interest in cataloging of nonbook materials (including archives and manuscripts as well as graphics, moving image materials, and sound recordings, among others), a number of specialized vocabularies have been developed to describe a work's various physical and functional aspects, i.e., to characterize its genre, form of material, or function apart from its topical subject content.

As Dooley and Zinkham point out, archivists have relied traditionally on form of material in arranging and describing their holdings. Frequently series are established around form of material (e.g., correspondence, diaries, ledgers, case files), and these terms play a prominent role in titling series. Researchers often ask for archival materials by document type, so providing access to form in archival retrieval systems is highly desirable.9 Functions of the agency or individual that created the record have also been central to archival descriptive and retrieval methodologies. In recent years, both David Bearman and the participants in the Government Records Project have focused attention on providing access to records through function.10

Within the archival community, the first widely recognized and used list of this type was Form Terms for Archival and Manuscript Control (FTAMC), prepared in 1985 by H. Thomas Hickerson and Elaine Engst of Cornell University for use by those contributing descriptions of archives and manuscripts to RLIN. The RLG Government Records Project built on the FTAMC terms when it initiated its list of document types in the late 1980s. Both lists are now incorporated in the Art and Architecture Thesaurus.

Rare books librarians had begun several years earlier to build specialized thesauri, prompted by the conclusions of a 1979 report issued by the Independent Research Libraries Association entitled "Proposals for Establishing Standards for the Cataloguing of Rare Books and Specialized Research Materials in Machine-Readable Form."11 This seminal document ultimately led to the addition of fields 655 (Index Term--Genre/Form) and 755 (Added Entry--Physical Characteristics) to the USMARC Bibliographic Format.

As soon as the fields were approved, members of the Rare Books and Manuscripts Section (RBMS) of ALA's Association of College and Research Libraries recognized the importance of developing thesauri to control the vocabularies used in these fields. RBMS encouraged preparation of thesauri for graphic materials by staff at the Library of Congress while it prepared and published other lists on its own.

Another effort in the area of form/genre term control has been undertaken by the staff of the National Union Catalog of Manuscript Collections (NUCMC). NUCMC staff developed their own set of terms, drawing on those in FTAMC, Descriptive Terms for Graphic Materials: Genre and Physical Characteristic Headings (GMGPC), and the RBMS lists, and began including a separate form/genre index in its 1986 volume. The NUCMC list is used only by the staff itself and has not achieved the formal status that would have warranted a full entry in this handbook. However, the scope of NUCMC's coverage and the fact that this list is being applied to descriptions in a nationally available (albeit printed) source suggests that archivists should be aware of the list and monitor its development.12

Further reading:

Austin, Derek. "Vocabulary Control and Information Technology." Aslib Proceedings 38 (January 1986): 1-15.

Bearman, David. "Authority Control Issues and Prospects." American Archivist 52 (Summer 1989): 286-299.

Bearman, David, and Richard H. Lytle. "The Power of the Principle of Provenance." Archivaria 21 (Winter 1985-86): 14-27.

Bearman, David, and Peter Sigmond. "Explorations of Form of Material Authority Files by Dutch Archivists." American Archivist 50 (Spring 1987): 249-253.

Bearman, David, and Richard Szary. "Beyond Authorized Headings: Authorities as Reference Files in a Multi-Disciplinary Setting." In Authority Control Symposium, edited by Karen Muller, 69-78. Occasional Papers no. 6. Tucson, AZ: Art Libraries of North America, 1987.

Black, Elizabeth. Authority Control: A Manual for Archivists. Ottawa: Bureau of Canadian Archivists, 1991.

Bureau of Canadian Archivists. Subject Indexing for Archivists. Report of the Subject Indexing Working Group, Planning Committee on Descriptive Standards. Ottawa: Bureau of Canadian Archivists, 1992.

Chan, Lois Mai, and Richard Pollard. Thesauri Used in Online Databases: An Analytical Guide. New York: Greenwood Press, 1988.

Clack, Doris H. Authority Control: Principles, Applications, and Instructions. Chicago: American Library Association, 1990.

Coral, Lenore. "Indexing and Retrieving Special Materials in Online Catalogues." International Cataloguing and Bibliographic Control 21 (April/June 1992): 29-31.

Dooley, Jackie M. "Subject Indexing in Context." American Archivist 55 (Spring 1992): 344-354.

Drabenstott, Karen Markey. Subject Authorities in the Online Environment: Papers from a Conference Program Held in San Francisco, June 29, 1987. Chicago: American Library Association, 1991.

Durance, Cynthia J. "Authority Control: Beyond a Bowl of Alphabet Soup." Archivaria 35 (Spring 1993): 38-46.

Evans, Max J. "Authority Control: An Alternative to the Record Group Concept." American Archivist 49 (Summer 1986): 249-261.

Gagnon-Arguin, Louise. An Introduction to Authority Control for Archivists. Ottawa: Bureau of Canadian Archivists, 1989.

Lancaster, Wilfred F. Vocabulary Control for Information Retrieval, 2nd ed. Washington, DC: Information Resources Press, 1987.

Lytle, Richard H. "Intellectual Access to Archives: I. Provenance and Content Indexing Methods of Subject Retrieval." American Archivist 43 (Winter 1980): 64-75.

Lytle, Richard H. "Intellectual Access to Archives: II. Report of an Experiment Comparing Provenance and Content Indexing Methods of Subject Retrieval." American Archivist 43 (Spring 1980): 191-207.

Mandel, Carol A. Multiple Thesauri in Online Library Bibliographic Systems. Washington, DC: Library of Congress, 1987.

Michelson, Avra, ed. Archives and Authority Control. Proceedings of a seminar sponsored by the Smithsonian Institution, October 27, 1987. Archival Informatics Newsletter and Technical Report vol. 2, no. 2 (Summer 1988). Pittsburgh: Archives and Museum Informatics, 1988. Includes the following papers:

Dooley, Jackie M. "An Introduction to Authority Control for Archivists," 5-20.

Matters, Marion. "Authority Files in an Archival Setting," 29-33.

Weber, Lisa B. "Development of Authority Control Systems Within the Archival
Profession," 35-38.

Ostroff, Harriet, "Subject Access to Archival and Manuscript Material." American Archivist 53 (Winter 1990): 100-105.

Petersen, Toni, and Pat Molholt. Beyond the Book: Extending MARC for Subject Access. Boston: G.K. Hall, 1990.

Roe, Kathleen. "Enhanced Authority Control: Is It Time?" Archivaria 35 (Spring 1993): 119-129.

Shatford, Sara. "Analyzing the Subject of a Picture: A Theoretical Approach." Cataloging and Classification Quarterly 6:3 (Spring 1986): 39-62.

Smiraglia, Richard P., ed. Describing Archival Materials: The Use of the MARC AMC Format. New York: Haworth Press, 1990. Also published as Cataloging and Classification Quarterly 11:3/4 (1990). Includes the following articles:

Smiraglia, Richard P. "Subject Access to Archival Materials Using LCSH," 63-90.

Matters, Marion. "Authority Work for Transitional Catalogs," 91-115.

Thomas, John B. "The Necessity of Standards in an Automated Environment." Library Trends 36 (Summer 1987): 125-139.

Tillett, Barbara B. Authority Control in the Online Environment: Considerations and Practices. New York: Haworth Press, 1989. Also published as Cataloging and Classification Quarterly 9:3 (1989).

Wilson, Mary Dabney. "Key Issues and Priorities for Authority Work in the Online Environment." In Convergence: Proceedings of the Second National Conference of the Library and Information Technology Association, October 2-6, 1988, Boston, edited by Michael Gorman, 35-47. Chicago: American Library Association, 1990.

Zinkham, Helena, Patricia D. Cloud, and Hope Mayo. "Providing Access by Form of Material, Genre, and Physical Characteristics: Benefits and Techniques." American Archivist 52 (Summer 1989): 300-319.


ANSI Z39.19-1980
Guidelines for Thesaurus Structure,
Construction, and Use

1980. New edition due 1994.
Paper (20 p.). ISBN 0-88738-983-X.
Available from NISO. $12.00.
Draft of 1993 revision available from NISO.


Development, approval, and maintenance:

Original 1974 version was compiled by American National Standards Committee Z39 on Standardization in the Field of Library Work, Documentation, and Related Publishing Practices, Subcommittee 25 on Thesaurus Rules and Conventions. The 1980 revision was prepared by Madeline Henderson of the National Bureau of Standards, a member of the original subcommittee. Approved by ANSI on 30 June 1980 and maintained by NISO.

A major revision of the standard began in the mid-1980s. Walt Crawford notes that the proposed revision "is far more ambitious and less prescriptive than the 1980 standard . . . . [It] does not take a monolithic approach to thesaurus structure and display, but points out the pros and cons of various formats; it includes an extended discussion of online displays, totally ignored in the 1980 version." The revision was approved in 1993 and is scheduled for publication in 1994.

Scope and structure:

This standard defines a thesaurus as "a compilation of words and phrases showing synonymous, hierarchical, and other relationships and dependencies, the function of which is to provide a standardized vocabulary for information storage and retrieval systems." The guidelines cover thesaurus structure (including term forms, definitions, and cross references), the arrangement of the thesaurus (including alphabetic, hierarchical, network, and permuted displays), and construction and maintenance considerations. It includes examples from actual thesauri.

This standard is the source of many of the rules and conventions that have become familiar to regular users of thesauri. It defines the widely used cross reference symbols, USE, UF (used for), BT (broader term), NT (narrower term), and RT (related term). It also specifies that terms should appear in plural natural language noun form whenever possible and appropriate, and be in direct order (that is, the order normally used in an English sentence). In addition, hierarchical displays are encouraged. Punctuation within a term should be avoided to simplify sequencing but parentheses may be used to enclose qualifiers following terms that would otherwise be ambiguous.

Related standards:

The foreword to this standard acknowledges heavy reliance on the standards of practice developed by the Engineers Joint Council (1966), the Committee on Scientific and Technical Information of the Federal Council for Science and Technology (1967), and Unesco (1970).

Testimony to the strength of this standard are the number of thesauri that have been developed according to its guidelines. Among those are several included in this handbook: MeSH, AAT, the RBMS thesauri, and MIM.

The USMARC Format for Authority Data accommodates terms from thesauri constructed according to Z39.19.

Archival applications:

Many compilers of thesauri used by archivists have sought to abide by the structure and syndetic conventions established in ANSI Z39.19 (see above).

References:

Crawford, Walt. Technical Standards: An Introduction for Librarians. 2nd ed. Boston: G.K. Hall, 1991, 220-222.

Weinberg, Bella Hass. "Issues in the Revision of the Thesaurus Construction Standard." Bulletin of the American Society for Information Science (December/January 1989): 26-27.

Zinkham, Helena, Patricia D. Cloud, and Hope Mayo. "Providing Access by Form of Material, Genre, and Physical Characteristics: Benefits and Techniques." American Archivist 52 (Summer 1989): 305.


ISO 2788:1986
Documentation--Guidelines for the
establishment and development of monolingual thesauri

2nd ed., 1986.
Paper (32 p.).
Available from ANSI. $56.00.


Development, approval, and maintenance:

Developed and maintained by the International Organization for Standardization, TC 46: Information and Documentation. Approved in 1986 and confirmed in 1991. Work leading to development of this standard was sponsored by Unesco's UNISIST program (see below). Information about the work of TC 46 is available from its U.S. liaison, NISO.

The Unesco-sponsored Guidelines for the Establishment and Development of Monolingual Thesauri, 2nd rev. ed., by Derek Austin and Peter Dale (Paris: Unesco, General Information Programme and UNISIST, 1981) served as a basis for the work that ultimately resulted in ISO 2788.

Scope and structure:

These guidelines are intended "to ensure consistent practice within a single indexing agency, or between different agencies (for example, members of a network)." They are not limited to either pre- or post-coordinate indexing methods, but focus on the use of "preferred terms" for "indexing collections of documents listed in catalogues or bibliographies." They are not intended for "back-of-the-book" indexing, "although many of [the] recommended procedures may be useful for that purpose."

Separate sections cover indexing terms, compound terms, basic relationships in a thesaurus, display of terms and their relationships, and management aspects of thesaurus construction. It includes instructions to compilers to deposit all English-language thesauri with the Thesaurus Clearinghouse at the University of Toronto (thesauri in other languages are to be sent to a similar clearinghouse in Poland).

Related standards:

The general principles in ISO 2788 are considered language- and culture-independent. As a result, ISO 5964:1985, Documentation--Guidelines for the establishment and development of multilingual thesauri, refers to ISO 2788 and uses it as a point of departure for dealing with the specific requirements that emerge when a single thesaurus attempts to express "conceptual equivalencies" among terms selected from more than one natural language.

Archival applications:

For thesauri to be used solely within the U.S., most would probably follow the guidelines contained in the U.S. national standard for monolingual thesauri, ANSI Z39.19. But as international cooperation on archival description grows, the participants should be aware that this standard exists.

Alternate availability:

Also published in ISO Standards Handbook 1: Documentation and Information, 3rd ed. (Geneva, Switzerland: International Organization for Standardization, 1988), 530-561.

References:

Austin, Derek. "Vocabulary Control and Information Technology." Aslib Proceedings 38 (January 1986): 1-15.


ISO 5964:1985
Documentation--Guidelines for the
establishment and development of multilingual thesauri

1985.
Paper (61 p.).
Available from ANSI.


Development, approval, and maintenance:

Developed and maintained by the International Organization for Standardization, TC 46: Information and Documentation. Information about the work of TC 46 is available from its U.S. liaison, NISO.

Scope and structure:

Growing interest in the international exchange of information require "indexing and retrieval tools which are either language-independent ... or multilingual." This standard for developing multilingual thesauri starts with the assumption that most procedures for monolingual thesauri (as expressed in ISO 2788) are equally valid in a multilingual context. "Except when it appears necessary, the procedures described in ISO 2788 are not repeated here." ISO 5964 contains sections on vocabulary control, general problems, management decisions, language problems, establishing equivalent terms in different languages, relationships between terms and their display, form and content, and organization of work for constructing a thesaurus. It also contains extensive sets of examples of displays in various languages. The standard recommends that all languages covered by the thesaurus be regarded as having equal status and that developers should not consider any one language as dominant.

Related standards:

To be used in conjunction with ISO 2788, Documentation -- Guidelines for the Establishment and Development of Monolingual Thesauri.

Archival applications:

International cooperation on archival description is currently in the earliest stages of development, but the participants should take notice of this standard.

Alternate availability:

Also published in ISO Standards Handbook 1: Documentation and Information, 3rd ed. (Geneva, Switzerland: International Organization for Standardization, 1988), 585-647.

References:

Austin, Derek. "Vocabulary Control and Information Technology." Aslib Proceedings 38 (January 1986): 1-15.


ISO 5963:1985
Documentation--Methods for examining documents, determining their subjects and selecting indexing terms

1985.
Paper (5 p.).
Available from ANSI. $25.00.


Development, approval, and maintenance:

Developed and maintained by the International Organization for Standardization, TC 46: Information and Documentation. Information about the work of TC 46 is available from its U.S. liaison, NISO.

Scope and structure:

This relatively brief document provides a useful introduction to subject analysis in a broad range of applications. While it does not limit itself to a particular indexing system (either pre- or post-coordinate), it does say that it is "especially intended for indexing systems in which the subjects of documents are expressed in summary form, and where concepts are recorded in the terms of a controlled indexing language." Separate sections cover definitions, the operation and purpose of indexing, identification of concepts (which gives examples of the kinds of questions the indexer should ask routinely), the selection of indexing terms, and quality control.

Indexers are encouraged to keep in mind that information created initially for one group of users could eventually be valuable to other researchers as well (equivalent to the archivist's secondary value). Therefore "it is recommended that indexers of scientific and technical literature, for example, should not overlook other facets of a subject, for example its social or economic aspects." The guidelines also specify that no arbitrary limits be set as to how many terms or descriptors can be assigned to a document because such limits "are likely to lead to some loss of objectivity in indexing."

Related standards:

ISO 5963 refers to the international standards for monolingual and multilingual thesauri, ISO 2788 and ISO 5964, respectively.

Archival applications:

The analysis processes outlined in this document closely parallel those that archivists follow in examining records and manuscripts during arrangement and description. Some might find this useful as a basis for preparing training materials or procedural manuals to promote consistency of practice among staff members.

Alternate availability:

Also published in ISO Standards Handbook 1: Documentation and Information, 3rd ed. (Geneva, Switzerland: International Organization for Standardization, 1988), 580-584.

References:

Austin, Derek. "Vocabulary Control and Information Technology." Aslib Proceedings 38 (January 1986): 1-15.


Library of Congress Name Authority File
(LCNA)

1992 (continuously updated).
Available in CD-ROM, microfiche, and online.
See "Publication format and availability"
below for further information.


Development, approval, and maintenance:

Until the late 1970s, the Library of Congress, Descriptive Cataloging Division, retained sole responsibility for adding or revising headings in LCNA. Now, through NACO, authorized libraries contribute new name headings and maintain existing ones through online links to the name authority master file which is still housed at LC (see chapter introduction for more information on NACO). LC also has entered into a cooperative agreement with the National Library of Canada to accept NLC-approved headings for all Canadian corporate bodies and for some personal names appearing in materials with Canadian imprints. LC has expressed its intention to consolidate all authority maintenance activities for both LCSH and LCNA into a single administrative division.

Scope and structure:

The LCNA contains more than 2.7 million records covering personal and corporate names, conference headings, uniform titles, series, and geographic names of political and civil jurisdictions. The record for each heading contains the established heading, cross references from unused forms of a name, sources used to identify the proper form of the heading, cross references to related headings, plus other relevant codes or control data.

Related standards:

The headings are constructed according to AACR 2 and LC policies, including those expressed in LC Rule Interpretations.

LCSH is the equivalent for subject headings. LC has expressed an intention to work toward merging LCNA and LCSH into a single authorities master file containing names, series, and subjects.13

Auxiliary tools/application guidelines:

Part II of APPM provides guidance specific to archives and manuscripts cataloging on the creation of headings and uniform titles.

Archival applications:

LCNA is authorized for use in USMARC fields 600, 610, 611, and 630.

Archivists can use LCNA as a precedent to avoid establishing all headings originally. They also can import LCNA headings from RLIN and OCLC to some local systems.

In the mid-1980s, the LC Manuscript Division and the NUCMC staff began contributing directly to the online name authority file names established during the cataloging of manuscript collections. This opened the door for the addition of large numbers of historical names that should make LCNA much more useful for archivists.

Publication format and availability:

The last printed version of LCNA to be produced covered the period 1974-80. LC began issuing the file in microform in 1978 and, after 1980, in machine-readable form.

Microfiche (ISSN 0195-9093) and CD-ROM (ISSN 1041-2964) (both updated quarterly); magnetic tape (updated weekly). All versions available through LC Cataloging Distribution Service. CD-ROM, $460; microfiche, $240 (1993 subscription), $155 (1987-91) and $265 (1977-86). Also accessible online through RLIN, OCLC, and several local (institutional) online catalogs.

References:

Burger, Robert H. "NACO at the University of Illinois at U-C: A Narrative Case Study." Cataloging and Classification Quarterly 7:2 (Winter 1986): 19-28.

Clack, Doris H. Authority Control: Principles, Applications, and Instructions. Chicago: American Library Association, 1990.

Fenly, Judith G., and Sarah D. Irvine. "The Name Authority Co-op (NACO) Project at the Library of Congress: Present and Future." Cataloging and Classification Quarterly 7:2 (Winter 1986): 7-18.

Hagler, Ronald. The Bibliographic Record and Information Technology. 2nd ed. Chicago: American Library Association, 1991. Chapter 6, "Controlled-Vocabulary Name Access Points," 141-174.

Hensen, Steven L. "The Use of Standards in the Application of the MARC Format." American Archivist 49 (Winter 1986): 31-40.

Schuitema, Joan E. "Cataloging Activities Using LSP: Authority Records." In The Linked Systems Project: A Networking Tool for Libraries, compiled and edited by Judith G. Fenly and Beacher Wiggins, 91-95. Dublin, OH: OCLC, 1988.


Library of Congress Subject Headings
(LCSH)

Continuously updated.
Available in hard cover,
CD-ROM, microfiche, and online.
See "Publication format and availability"
below for further information.


Development, approval, and maintenance:

The computerized master file for LCSH is maintained at the Library of Congress and, until quite recently, responsibility for adding or revising terms rested solely with Subject Cataloging Division. Now, through participants in the National Coordinated Cataloging Project (NCCP) and other sources like NUCMC staff, LCSH incorporates subject headings formulated by others (see chapter introduction for more information on NCCP). LC has expressed its intention to consolidate all authority maintenance activities for both LCSH and LCNA into a single administrative division.

Scope and structure:

LCSH is the most widely used source of terms for subject cataloging in the U.S. The 16th edition (1993) contains approximately 198,000 headings. Staff at the Library of Congress began compiling an authority list of subject headings in 1898, although the first printed version did not appear until 1909.

For most of its existence, its scope was limited in terms of a policy of "literary warrant," i.e., it reflected only those materials accessioned and held at LC. It was not to be "considered a comprehensive system covering the universe of knowledge ... but a subject authority list that has grown with the collection of the Library." In addition, LCSH developed over nearly a century without "a specific code or body of rules," so that the system exhibits many inconsistencies and irregularities.14

Despite these limitations, LCSH became a central tool in cataloging most library materials in the U.S. in large part because of the success of LC's printed catalog card distribution program. Its subject headings, along with most of its other cataloging conventions, were embraced as LC's preprinted cards filled library catalog drawers across the country.

A number of major changes began to occur in 1988. Structurally, with publication of its 11th edition, LCSH began to look more like standard thesauri, using cross reference symbols like BT, NT, and RT instead of the earlier x and xx. In addition, librarians other than those on LC's own cataloging division began to create and maintain subject headings in the LCSH master file through the NCCP.

Related standards:

Names of persons and bodies capable of authorship (including geographic jurisdictions) are derived from Library of Congress Name Authority File (LCNA). LC has expressed an intention to work toward merging LCNA and LCSH into a single authorities master file containing names, series, and subjects.15

Auxiliary tools/application guidelines:

The Subject Cataloging Manual (also called the "H Manual," 4th ed., plus 1991 updates) provides extensive guidance on the application of LCSH, but it is oriented toward book cataloging. The section devoted to manuscripts concentrates on facsimiles and published collections of archival documents, not original materials.

LC Subject Headings Weekly Lists (available by subscription for $400 per year) provides information about new, changed, and canceled subject headings. The quarterly Cataloging Service Bulletin (available by subscription for $23 per year) explains current LC cataloging practices and lists many new and revised subject headings.

Revised Library of Congress Subject Headings: Cross References from Former to Current Subject Headings, published in 1991, is also available from LC CDS for $25.

The Working Group on Standards for Archival Description strongly recommended that application guidelines be developed for using LCSH for cataloging archival materials. Several authors have discussed use of LCSH in an archival context (see especially Smiraglia, below), but to date no steps have been taken toward formal application guidelines.

Archival applications:

LCSH is authorized for use in USMARC fields 650, 651, 655, 656 (Index Term--Occupation), and 657 (Index Term--Function).

Although archivists have resisted LCSH for many years, often finding that its headings were too general or difficult to apply to archival materials, the spread of automated cataloging and adoption of the USMARC AMC format has prompted rapid growth in its use for archival cataloging during the last decade. Most bibliographic networks and other automated cataloging applications require use of LCSH in standard catalog records. Many archivists have conceded that using LCSH is one of the compromises that must be made to gain the larger benefits of participating in the networks or local integrated online catalogs.

Publication format and availability:

Cloth (4 vols.). ISSN 1048-9711. 16th ed., 1993, $185.00. Also available on microfiche (ISSN 0361-5243) and CD-ROM (ISSN 1041-2956) (both updated quarterly), magnetic tapes (updated weekly). All versions available through LC Cataloging Distribution Service. CD MARC Subjects, $345.00; microfiche, $90.00. Also accessible online through RLIN, OCLC, and several local (institutional) online catalogs.

References:

Chan, Lois Mai. Library of Congress Subject Headings: Principles and Application. 2nd ed. Littleton, CO: Libraries Unlimited, 1986.

Chan, Lois Mai. Library of Congress Subject Headings: Principles of Structure and Policies for Application. Washington, DC: Library of Congress, 1990.

Dooley, Jackie M., and Helena Zinkham. "The Object as 'Subject': Providing Access to Genre, Forms of Material, and Physical Characteristics." In Beyond the Book: Extending MARC for Subject Access, edited by Toni Petersen and Pat Molholt, 60-65. Boston: G.K. Hall, 1990.

Gregor, Dorothy, and Carol Mandel. "Cataloging Must Change!" Library Journal 116 (April 1, 1991): 42-47.

Hagler, Ronald. The Bibliographic Record and Information Technology. 2nd ed. Chicago: American Library Association, 1991, 189-219.

Hensen, Steven L. "The Use of Standards in the Application of the MARC Format." American Archivist 49 (Winter 1986): 38-40.

Smiraglia, Richard. "Subject Access to Archival Materials Using LCSH." In Describing Archival Materials: The Use of the MARC AMC Format, edited by Richard P. Smiraglia, 63-90. New York: Haworth Press, 1990. Also published as Cataloging and Classification Quarterly 11:3/4 (1990).

Studwell, William E. Library of Congress Subject Headings: Philosophy, Practice, and Prospects. New York: Haworth Press, 1990.

Whitehead, Cathleen. "Mapping LCSH into Thesauri: The AAT Model." In Beyond the Book: Extending MARC for Subject Access, edited by Toni Petersen and Pat Molholt, 81-96. Boston: G.K. Hall, 1990.


Medical Subject Headings
(MeSH)

Online information

1992 (updated annually).
See "Publication format and availability"
below for further information.


Development, approval, and maintenance:

Developed and maintained by the National Library of Medicine.

Scope and structure:

The terms in MeSH are presented in both alphabetical and hierarchical arrangements. The vocabulary is divided into 15 classes, each designated by a letter (e.g., A=Anatomical Terms, B=Organisms, C=Diseases). Terms within classes and subclasses are arranged hierarchically from most general to most specific and are assigned an alphanumeric code to indicate their placements within the classes.

The vocabulary is published in four forms: an alphabetical list (geared to the Index Medicus user), an annotated alphabetical list (geared to the indexer, cataloger, and online searcher), hierarchical tree structures, and a permuted subject headings list. The annotated list contains instructive notes to assist indexers, catalogers, and searchers, as well as historical information for searching earlier files. The hierarchical displays of the tree structures are especially useful for online searching.

NLM uses MeSH in preparing Index Medicus (index to medical periodicals), for subject retrieval in MEDLINE (NLM's online retrieval system for medical literature), and in NLM's own catalog of books, serials, and audiovisual materials. It is also used in medical libraries nationwide.

Related standards:

MeSH evolved from the subject headings used in the Index-Catalogue of the Library of the Surgeon-General's Office, those in LCSH, and those from the Subject Heading Authority List used for the Current List of Medical Literature (precursor to Index Medicus). It follows to a large degree the specifications for a standard thesaurus contained in ANSI Z39.19-1980.

Authorized by the Library of Congress for use in USMARC fields 600-651 (Subject Added Entries).

Archival applications:

Although not widely used for archival collections at this time, MeSH is "a common 'second' thesaurus" in many university libraries and therefore available to many users of integrated catalogs.

Publication format and availability:

Medical Subject Headings, 1992. Paper (1269 p.). The combined alphabetic and hierarchical lists of subject descriptors used for Index Medicus and the Current Catalog. Available from the U.S. Government Printing Office. GPO List Number IM92 (Medical Subject Headings). $36.00. [It is also included with the annual subscription to Index Medicus, issued as a supplement to the January issue.]

Annotated Alphabetic List: Paper (995 p.); also available on microfiche. Available from National Technical Information Service. Stock number PB92-100031. $40.00 ($24.00 microfiche).

Tree Structure: Paper (796 p.); also available on microfiche. Available from National Technical Information Service. Stock number PB92-100049. $35.00 ($18.00 microfiche).1

Permuted Subject Headings List: Paper (521 p.); also available on microfiche. Available from National Technical Information Service. Stock number PB92-100056. $31.00 ($15.00 microfiche).

References:

Aluri, Rao, D. Alasdair Kemp, and John J. Boll. Subject Analysis in Online Catalogs. Englewood, CO: Libraries Unlimited, Inc., 1991, 91-95.

Mandel, Carol A. Multiple Thesauri in Online Library Bibliographic Systems. Washington, DC: Library of Congress, 1987.

Norris, C. "MeSH--The Subject Heading Approach." Aslib Proceedings 33 (1981):153-159.


Art and Architecture Thesaurus
(AAT)

Online version

New edition due early 1994.
Available in cloth and electronic editions, 1990.
Supplement issued 1992. Also available online through RLIN.
See "Publication format and availability" below for details.


Development, approval, and maintenance:

Developed and maintained by the AAT Editorial Staff, Getty Art History Information Program (AHIP); edited by Toni Petersen. Initially, the AAT was jointly funded by the Council on Library Resources, the National Endowment for the Humanities, and the Andrew W. Mellon Foundation. In 1983 it was absorbed by the J. Paul Getty Trust. Formally endorsed by the following organizations: Art Libraries Society of North America, College Art Association, Society of Architectural Historians, American Institute of Architects, International Conference of Architecture Museums.

Scope and structure:

Since this project began in 1979, the AAT has become a substantial (nearly 40,000 terms) controlled vocabulary of great depth and broad application. While it focuses on the fields of art and architecture, as its name implies, it does so in an inclusive way so that its value extends easily to other fields. It does not, however, include music, legal, literary, religious, or oriental art vocabularies; personal, corporate, or geographic names; or the terminology necessary for iconographic indexing of documentary images.

The AAT is a post-coordinated, hierarchically structured vocabulary organized into 40 hierarchies within seven broad categories called facets: associated concepts, physical attributes, styles and periods, agents, activities (subdivided into disciplines, functions, events, and processes and techniques), materials, and objects (subdivided into built environment, furnishings and equipment, and visual & verbal communications).

There are several hierarchies of special interest to archivists. The Form Terms for Archival and Manuscript Control have been absorbed in the Document Types hierarchy that is contained in the Objects facet under Visual and Verbal Communication. The list of functions compiled as part of the RLG Government Records Project (previously the "Seven States Project") has been absorbed in the Functions hierarchy under the Activities facet.

Application guidelines are provided in an appendix to the printed volumes. The RLG Government Records Project, Report on Descriptive Practices for Government Records, also provides specific guidelines on using the functions hierarchy with archival records, as well as genre/form terms (available from RLG).

Related standards:

The AAT is modeled on MeSH and complies with the specifications for a standard thesaurus contained in ANSI Z39.19-1980. It is the first specialized subject thesaurus to maintain its authority records in the USMARC Format for Authority Data. Where possible, it incorporates terms from LCSH and other existing authority lists which are then enhanced or modified. For iconographic terms (i.e., those about the subject or visual content of art works), it refers users to the Library of Congress Thesaurus for Graphic Materials. Authorized by the Library of Congress for use in USMARC fields 650-651 (Subject Added Entries), 654 (Subject Added Entry--Faceted Topical Term), 655 (Index Term--Genre/Form), 656 (Index Term--Occupation), 657 (Index Term--Function), and 755 (Added Entry--Physical Characteristics).

Archival applications:

As described above, the AAT has absorbed several smaller lists of terms that have become important for archival cataloging. The RLG Government Records Project, Report on Descriptive Practices for Government Records, recommends use of several AAT hierarchies for selecting terms for archival cataloging.

Publication format and availability:

Cloth (3 vols.); electronic edition (diskettes plus user manual). Copy of both versions available from Oxford University Press, published on behalf of the J. Paul Getty Trust. ISBN 0-19-506403-8 (cloth); 0-19-508144-7 (electronic edition on diskettes). Cloth, $250.00; electronic edition, $125.00. 1992 Supplement 1, $50. Also available online through RLIN.

References:

Ostroff, Harriet. "Subject Access to Archival and Manuscript Material," American Archivist 53 (Winter 1990): 100-105.

Petersen, Toni. "Developing a New Thesaurus for Art and Architecture." Library Trends 38 (Spring 1990): 644-658.

Petersen, Toni, and Pat Molholt. Beyond the Book: Extending MARC for Subject Access. Boston: G.K. Hall, 1990. Contains the following relevant articles:

Barnett, Patricia J., and Toni Petersen. "Extending MARC to Accommodate
Faceted Thesauri: The AAT Model," 7-23.

Dooley, Jackie M., and Helena Zinkham. "The Object as 'Subject': Providing
Access to Genre, Forms of Material, and Physical Characteristics," 60-65.

Whitehead, Cathleen. "Mapping LCSH into Thesauri: The AAT Model," 81-96.

Whitehead, Cathleen K. "The Art and Architecture Thesaurus as an Alternative to LCSH." In Cataloging Heresy, edited by Bella Hass Weinberg, 59-74. Medford, NJ: Learned Information, 1992.


Library of Congress Thesaurus for Graphic Materials:
Topical Terms for Subject Access (LCTGM)

Online version (TGM I)

1987.
Paper (591 p.). LC 87-600107.
Available from LC CDS. $30.00.


Development, approval, and maintenance:

Compiled and maintained in an in-house online file in the LC Prints and Photographs Division. Elisabeth Betz Parker, compiler; introduction by Jackie M. Dooley. Published update anticipated in 2-3 years. Suggestions for additions to the list should be directed to the Prints and Photographs Division staff.

Scope and structure:

This alphabetical list contains more than 6,000 terms and cross references for use in the indexing of two-dimensional pictorial materials. Entries for each term contain links (BT, NT, RT) to related terms as well as frequent scope (public) notes and catalogers' notes. The introduction provides extensive instructions on how to apply LCTGM that should also provide helpful advice in other aspects of graphics-related cataloging. One expressed goal of the instructions is to help individuals who are accustomed to indexing textual materials understand how basic indexing techniques should be applied to pictorial materials.

Related standards:

LCTGM supersedes Subject Headings Used in the Library of Congress Prints and Photographs Division, which was issued as a preliminary list in 1980. All terms in GMGPC are also included in LCTGM because its compilers acknowledge an object may also be the subject of an image. LCTGM complies with the specifications for a standard thesaurus contained in ANSI Z39.19-1980. LCTGM is compatible with LCSH whenever possible. Authorized by the Library of Congress for use in USMARC fields 650-651 (Subject Added Entries) and 655 (Index Term--Genre/Form).

Archival applications:

LCTGM is considered a primary tool for the description of archival collections of graphics material.

References:

Greenburg, Jane. "Intellectual Control of Visual Archives: A Comparison Between the AAT and LCTGM." Cataloging and Classification Quarterly 16:1 (1993): 85-101.

Orbach, Barbara. "So That Others May See: Tools for Cataloging Still Images." In Describing Archival Materials: The Use of the MARC AMC Format, edited by Richard P. Smiraglia, 184-185. New York: Haworth Press, 1990. Also published as Cataloging and Classification Quarterly 11:3/4 (1990).


Form Terms for Archival and Manuscript Control
(FTAMC)

1985.
No longer being maintained as an independent list.
Terms available through AAT.


Development, approval, and maintenance:

Compiled by archives and manuscripts staff at Cornell University and distributed by the Research Libraries Group, Inc., for use in RLIN. H. Thomas Hickerson and Elaine Engst, compilers. There are no plans to update this list as an independent entity. Most of the terms in FTAMC have been absorbed into the Document Types hierarchy in the Art and Architecture Thesaurus. The AAT entries include scope notes and references to related terms and benefit from the active maintenance program and online access through RLIN.

Scope and structure:

This checklist of more than 350 basic document types, including some terms for visual materials, is presented in simple alphabetical order with no cross references. Although the list was intended to be comprehensive, it excluded audiovisual and machine-readable record types.

Related standards:

Authorized by the Library of Congress for use in USMARC field 655 (Index Term--Genre/Form).

Archival applications:

Although this list is still in active use in its original form by many archival repositories and remains an authorized source for USMARC cataloging, users should now prefer the AAT Document Types hierarchy instead.

Alternate availability:

See Document Types hierarchy in the AAT for a more current and complete list of terms originally carried in FTAMC.

References:

Dooley, Jackie M., and Helena Zinkham. "The Object as 'Subject': Providing Access to Genre, Forms of Material, and Physical Characteristics." In Beyond the Book: Extending MARC for Subject Access, edited by Toni Petersen and Pat Molholt. Boston: G.K. Hall, 1990, 53-56.

Zinkham, Helena, Patricia D. Cloud, and Hope Mayo. "Providing Access by Form of Material, Genre, and Physical Characteristics: Benefits and Techniques." American Archivist 52 (Summer 1989): 300-319.


Genre Terms: A Thesaurus for Use in Rare Book and Special Collections Cataloguing

Online information

2nd ed., 1991.
Paper (vii + 78 p.). ISBN 0-8389-7516-X.
Available from ALA.
$5.50 ACRL members; $7.50 nonmembers.


Development, approval, and maintenance:

Developed and maintained by the American Library Association, Association of College and Research Libraries, Rare Books and Manuscripts Section, Bibliographic Standards Committee. It welcomes "suggestions for new terms, as well as corrections and alterations to terms, scope notes, and references." Supersedes Genre Terms: A Thesaurus for Use in Rare Book and Special Collections Cataloguing, 1st ed. (1983), and includes the additions and changes published by the RBMS committee in 1987 ("Additions and Changes to Genre Terms: A Thesaurus," College and Research Libraries News, October 1987).

Scope and structure:

It has been a long-standing practice among rare book librarians to maintain local files that provide access to categories or genres of works found in their collections. To accommodate these physical descriptions in machine-readable cataloging, field 655 (Index Term--Genre/Form) was added to the MARC format and the Rare Books and Manuscripts Section undertook the development of a thesaurus to control the terminology used in the field. The terms have a literary and historical bias; no attempt has been made to include terms for maps, music, or legal materials.

The second edition of the thesaurus contains 441 authorized terms plus numerous cross references in two lists: an alphabetical list and a hierarchical list. The alphabetical list is presented in accord with the ANSI Guidelines for Thesaurus Structure, Construction, and Use (Z39.19-1980) using plural natural language noun form whenever possible and appropriate, and using direct order. Terms authorized for use are in boldface type. Each contains syndetic references (UF, BT, NT, RT) as appropriate; USE references under unauthorized terms indicate which authorized terms are available. The hierarchical list contains only the authorized terms arranged by broad functional classification and subclassified in the larger categories. Brief application guidelines are included in the introduction to the thesaurus.

Related standards:

This volume is one of a family of thesauri produced by RBMS; others are Binding Terms, Paper Terms, Printing and Publishing Evidence, Provenance Evidence, and Type Evidence.

Authorized by the Library of Congress for use in USMARC field 655 (Index Term--Genre/Form).

Archival applications:

For field 655, most archivists use the terms originally included in Form Terms for Archival and Manuscript Control and the RLIN Government Records Project's form of materials list, both now incorporated into the Art and Architecture Thesaurus.

References:

Dooley, Jackie M., and Helena Zinkham. "The Object as 'Subject': Providing Access to Genre, Forms of Material, and Physical Characteristics." In Beyond the Book: Extending MARC for Subject Access, edited by Toni Petersen and Pat Molholt, 60-65. Boston: G.K. Hall, 1990.

Zinkham, Helena, Patricia D. Cloud, and Hope Mayo. "Providing Access by Form of Material, Genre, and Physical Characteristics: Benefits and Techniques." American Archivist 52 (Summer 1989): 300-319.


Descriptive Terms for Graphic Materials:
Genre and Physical Characteristic Headings (GMGPC)

Online version (TGM II)

1986.
Paper (135 p.).
Available from LC CDS. $20.00.


Development, approval, and maintenance:

Compiled by staff of Library of Congress, Prints and Photographs Division, under the sponsorship of the ALA Rare Books and Manuscripts Section Standards Committee. Helena Zinkham and Elisabeth Betz Parker, compilers and editors. Maintained by LC Prints and Photographs Division staff. An updated and revised version is planned in the mid-1990s. Suggestions for additions to the list are welcome and should be directed to the Prints and Photographs Division staff.

Scope and structure:

This alphabetical list of more than 500 terms and nearly 300 cross references is designed to provide access points for the form and genre of a broad range of two-dimensional graphic materials, including but not limited to prints, photographs, architectural drawings, and ephemera. Entries for each term contain links (BT, NT, RT) to related terms, frequent scope (public) notes and catalogers' notes, and designation of the USMARC field (655 or 755) in which the term should be used. The introduction to the list provides thorough application guidelines.

Related standards:

GMGPC is a companion to LCTGM. All GMGPC terms are in LCTGM because its compilers acknowledge that an object may also be the subject of an image. GMGPC complies with the specifications for a standard thesaurus contained in ANSI Z39.19-1980.

Authorized by the Library of Congress for use in USMARC fields 655 (Index Term--Genre/Form) and 755 (Added Entry--Physical Characteristics).

Archival applications:

GMGPC is considered a primary tool for the description of archival collections of graphics material.

References:

Dooley, Jackie M., and Helena Zinkham. "The Object as 'Subject': Providing Access to Genre, Forms of Material, and Physical Characteristics." In Beyond the Book: Extending MARC for Subject Access, edited by Toni Petersen and Pat Molholt, 51-53. Boston: G.K. Hall, 1990.

Orbach, Barbara. "So That Others May See: Tools for Cataloging Still Images." In Describing Archival Materials: The Use of the MARC AMC Format, edited by Richard P. Smiraglia, 184-185. New York: Haworth Press, 1990. Also published as Cataloging and Classification Quarterly 11:3/4 (1990).

Zinkham, Helena, Patricia D. Cloud, and Hope Mayo. "Providing Access by Form of Material, Genre, and Physical Characteristics: Benefits and Techniques." American Archivist 52 (Summer 1989): 300-319.


Moving Image Materials: Genre Terms
(MIM)

1987 (revision in progress).
Paper (108 p.). LC 87-4004.
Available from LC CDS. $20.00.


Development, approval, and maintenance:

Developed under sponsorship of the National Moving Image Database (NAMID) Standards Committee, National Center for Film and Video Preservation, American Film Institute; coordinated by the Motion Picture, Broadcasting, and Recorded Sound Division, Library of Congress. Martha M. Yee, compiler. The NAMID Standards Committee is currently working on revisions to the list and welcomes comments and suggestions. The National Center for Film and Video Preservation is the designated distributor for these revisions. LC's Cataloging Service Bulletin also publishes updates and revisions (see no. 49, Summer 1990, and no. 46, Fall 1989).

Scope and structure:

These genre and form headings provide a general list of standardized terms for use in cataloging moving image materials. MIM is "best suited to collections which contain many different types of moving image materials, including many fictional works." The vocabulary is less well developed for nonfiction works, such as newsreels, dance film, and anthropological documentation. The terms focus on the moving image materials themselves, not on the literary or other art forms that they may record, especially when vocabularies for those forms are found in other sources such as LCSH (music and dance), the AAT (art and architecture), and LCTGM (graphic materials).

The entry for each term contains the full range of syndetic references (BT, NT, RT). When applicable, terms are mapped to their related terms in LCSH. Most also contain scope notes and many include examples. Preceding the main list is a "Broad Term List" which contains 82 terms and is intended for use in moving image collections that do not intend to implement the full vocabulary. Guidelines for applying the vocabulary are contained in the introduction to the list.

Related standards:

The compiler consulted several lists previously created by the Academy of Television Arts and Sciences, the American Film Institute, International Federation of Film Archives, the Hennepin County Library, and the Museum of Modern Art, as well as LCSH. The structure of the list follows ANSI Z39.19-1980.

Authorized by the Library of Congress for use in USMARC field 655 (Index Term--Genre/Form).

Archival applications:

For archival repositories that hold principally nonfiction moving image materials, these terms may have limited use until that portion of the vocabulary is more fully developed.

References:

Dooley, Jackie M., and Helena Zinkham. "The Object as 'Subject': Providing Access to Genre, Forms of Material, and Physical Characteristics." In Beyond the Book: Extending MARC for Subject Access, edited by Toni Petersen and Pat Molholt, 56-57. Boston: G.K. Hall, 1990.

Miller, David P. "Levels of Compatibility Between Moving Image Materials: Genre Terms and Library of Congress Subject Headings in a General Library Catalog." In Subject Access to Films and Videos, edited by Sheila Intner and William Studwell, 17-30. Lake Crystal, MN: Soldier Creek Press, 1992.

Yee, Martha. "Subject Access to Moving Image Materials in a MARC-Based Online Environment." In Beyond the Book: Extending MARC for Subject Access, edited by Toni Petersen and Pat Molholt, 97-115. Boston: G.K. Hall, 1990.

Zinkham, Helena, Patricia D. Cloud, and Hope Mayo. "Providing Access by Form of Material, Genre, and Physical Characteristics: Benefits and Techniques," American Archivist 52 (Summer 1989): 300-319.


Binding Terms: A Thesaurus for Use in Rare Book and Special Collections Cataloguing

Online information

1988.
Paper (x + 37 p.). ISBN 0-8389-7210-1.
Available from ALA.
$8.50 ACRL members; $10.00 nonmembers.


Development, approval, and maintenance:

Developed and maintained by the American Library Association, Association of College and Research Libraries, Rare Books and Manuscripts Section, Bibliographic Standards Committee, which welcomes "suggestions for new terms, as well as corrections and alterations to terms, scope notes, and references."

Scope and structure:

It has been a long-standing practice among rare book librarians to maintain local files that provide access to their collections by certain physical characteristics, including those associated with binding. To accommodate these physical descriptions in machine-readable cataloging, Field 755 (Added Entry--Physical Characteristics) was added to the MARC format in January 1974. The Rare Books and Manuscripts Section undertook the development of a family of thesauri to control the terminology used in the field. "The present list presents terms for the description of bookbindings and includes descriptors relating to techniques for binding construction, and to the style, materials, and decoration of bindings. All but the broadest categories of tools have been excluded."

The thesaurus contains 268 terms in both an alphabetical list and a hierarchical list. The alphabetical list is presented in accord with the ANSI Guidelines for Thesaurus Structure, Construction, and Use (Z39.19-1980) using plural natural language noun form whenever possible and appropriate, and using direct order. Each contains syndetic references (UF, BT, NT, RT) as appropriate; USE references under unauthorized terms indicate which authorized terms are available. The hierarchical list contains only the authorized terms themselves arranged by broad functional classification and subclassified in the larger categories. Brief applications guidelines are included in the introduction to the thesaurus.

Related standards:

This volume is one of a family of thesauri produced by RBMS; others are Genre Terms, Paper Terms, Printing and Publishing Evidence, Provenance Evidence, and Type Evidence.

Authorized by the Library of Congress for use in USMARC field 755 (Added Entry--Physical Characteristics).

References:

Dooley, Jackie M., and Helena Zinkham. "The Object as 'Subject': Providing Access to Genre, Forms of Material, and Physical Characteristics," in Beyond the Book: Extending MARC for Subject Access, edited by Toni Petersen and Pat Molholt, 48-51. Boston: G.K. Hall, 1990.

Zinkham, Helena, Patricia D. Cloud, and Hope Mayo. "Providing Access by Form of Material, Genre, and Physical Characteristics: Benefits and Techniques," American Archivist 52 (Summer 1989): 300-319.


Paper Terms: A Thesaurus for Use in Rare Book and Special Collections Cataloguing

Online information

1990.
Paper (52 p.). ISBN 0-8389-7427-9.
Available from ALA.
$6.50 ACRL members; $7.95 nonmembers.


Development, approval, and maintenance:

Developed and maintained by the American Library Association, Association of College and Research Libraries, Rare Books and Manuscripts Section, Bibliographic Standards Committee, which welcomes "suggestions for new terms, as well as corrections and alterations to terms, scope notes, and references."

Scope and structure:

The thesaurus contains both an alphabetical list and a hierarchical list. The alphabetical list is presented in accord with the ANSI Guidelines for Thesaurus Structure, Construction, and Use (Z39.19-1980) using plural natural language noun form whenever possible and appropriate, and using direct order. Each contains syndetic references (UF, BT, NT, RT) as appropriate; USE references under unauthorized terms indicate which authorized terms are available. The hierarchical list contains only the authorized terms arranged by broad functional classification and subclassified in the larger categories.

"The present list offers terms for the description of paper and includes descriptors relating to all features, materials, quantities, and types of paper . . . . Terms for paper defects created in the manufacturing process are included, but terms for types [of] damage that paper may suffer after production are omitted. Also not included are many named types of paper and names of paper manufacturers." Brief application guidelines are included in the introduction to the thesaurus.

Related standards:

This volume is one of a family of thesauri produced by RBMS; others are Binding Terms, Genre Terms, Printing and Publishing Evidence, Provenance Evidence, and Type Evidence.

Authorized by the Library of Congress for use in USMARC field 755 (Added Entry--Physical Characteristics).

References:

Dooley, Jackie M., and Helena Zinkham. "The Object as 'Subject': Providing Access to Genre, Forms of Material, and Physical Characteristics." In Beyond the Book: Extending MARC for Subject Access, edited by Toni Petersen and Pat Molholt, 48-51. Boston: G.K. Hall, 1990.

Zinkham, Helena, Patricia D. Cloud, and Hope Mayo. "Providing Access by Form of Material, Genre, and Physical Characteristics: Benefits and Techniques." American Archivist 52 (Summer 1989): 300-319.


Provenance Evidence: A Thesaurus for Use in Rare Book and Special Collections Cataloguing

Online information

1988.
Paper (24 p.). ISBN 0-8389-7239-X.
Available from ALA.
$7.00 ACRL members; $9.00 nonmembers.


Development, approval, and maintenance:

Developed and maintained by the American Library Association, Association of College and Research Libraries, Rare Books and Manuscripts Section, Bibliographic Standards Committee. It welcomes "suggestions for new terms, as well as corrections and alterations to terms, scope notes, and references."

Scope and structure:

The thesaurus contains "terms relating to evidence for provenance of material catalogued (usually individual copies of books). 'Provenance' is here interpreted in its broadest sense to refer not only to former owners in the legal sense, but also to any who may have had temporary custody of the material (such as auction houses or library borrowers) and have left their mark in some way on it. The actual names of former owners are not the province of this planned access, as owners' names can be traced in name added entry fields combined with the use of relator terms."

The thesaurus contains 76 terms in both an alphabetical list and a hierarchical list. The alphabetical list is presented in accord with the ANSI Guidelines for Thesaurus Structure, Construction, and Use (Z39.19-1980) using plural natural language noun form whenever possible and appropriate, and using direct order. Each contains syndetic references (UF, BT, NT, RT) as appropriate and occasionally includes scope notes; USE references under unauthorized terms indicate which authorized terms are available. The hierarchical list contains only the authorized terms arranged by broad functional classification and subclassified in the larger categories. Brief application guidelines are included in the introduction to the thesaurus.

Related standards:

This volume is one of a family of thesauri produced by RBMS; others are Binding Terms, Genre Terms, Paper Terms, Printing and Publishing Evidence, and Type Evidence.

Authorized by the Library of Congress for use in USMARC field 755 (Added Entry--Physical Characteristics).

References:

Dooley, Jackie M., and Helena Zinkham. "The Object as 'Subject': Providing Access to Genre, Forms of Material, and Physical Characteristics." In Beyond the Book: Extending MARC for Subject Access, edited by Toni Petersen and Pat Molholt, 48-51. Boston: G.K. Hall, 1990.

Zinkham, Helena, Patricia D. Cloud, and Hope Mayo. "Providing Access by Form of Material, Genre, and Physical Characteristics: Benefits and Techniques," American Archivist 52 (Summer 1989): 300-319.


Dictionary of Occupational Titles
(DOT)

4th ed., revised, 1991.
Paper (2 vols., 1445 p.).
S/N 029-013-00094-2. ISBN 0-16-032357-6.
Available from US GPO. $40.00.


Development, approval, and maintenance:

Developed and maintained by U.S. Department of Labor, Employment and Training Administration, Division of Occupational Analysis. Supersedes Dictionary of Occupational Titles, 4th ed. (1977), plus its supplements issued in 1982 and 1986. The first, second, and third editions of the DOT appeared in 1939, 1949, and 1965, respectively.

Scope and structure:

The DOT is designed to provide "detailed standardized occupational information essential to the effective classification and placement of job seekers." It contains definitions of more than 20,000 jobs. Each entry contains the occupational code number, the occupational title, the industry designation, alternate titles (if any), a narrative description of the job along with associated tasks and requirements, and undefined related titles (if any). Volume 1 contains entries for professional, technical, managerial, clerical and sales, service, agricultural, fishery, forestry, and processing occupations. Volume 2 contains entries for machine trades, benchwork, structural work, and miscellaneous occupations.

Related standards:

Authorized by the Library of Congress for use in USMARC fields 656 (Index Term--Occupation) and 657 (Index Term--Function).

Archival applications:

The DOT is authorized for use as a source for occupational terms entered in USMARC field 656. The two more commonly used sources for this field are LCSH and AAT, but archivists and catalogers of other special materials are more likely to require additional occupational headings and may find the DOT useful.

Alternate availability:

Also available on magnetic tape from NTIS. PB 87-194528CAU. $240.00.


Relator Terms for Rare Book, Manuscript,
and Special Collections Libraries

3rd ed., 1987.
Paper (5 p.).
Published in College and Research Library News
48:9 (October 1987): 553-557.


Development, approval, and maintenance:

Developed and maintained by the American Library Association, Association of College and Research Libraries, Rare Books and Manuscripts Section (RBMS), Bibliographic Standards Committee. The original version of this list, published in September 1980, was based on one proposed by the Ad Hoc Committee of the Independent Research Libraries Association in Proposals for Establishing Standards for the Cataloguing of Rare Books and Specialized Research Materials in Machine-Readable Form (Worcester, MA: 1979). The second edition was issued in October 1981. Both were published in College and Research Libraries News. The third edition also incorporates several relator terms authorized in AACR 2.

Scope and structure:

The list contains 79 authorized terms and cross references for use in cataloging printed, manuscript, or archival materials to indicate the "functions a person or body may perform in the production or history of an item or collection." Examples: binder, collector, former owner, ill. (for illustrator), signer, transcriber. Brief instructions on applying the terms are included in the introduction to the list.

Related standards:

The full terms as they appear in this list are intended for use in subfield e in the personal name (X00) and corporate name (X10) fields of the MARC format. Three-character relator codes for use in subfield 4 (also used in both personal and corporate name fields) have also been assigned to each of the terms in this list and are published in USMARC Code List for Relators, Sources, Descriptive Conventions.

The list follows the format recommended in ANSI Z39.19, Guidelines for Thesaurus Structure, Construction, and Use.

Archival applications:

The usefulness of relator terms has not been explored much by archivists, though they might provide additional means for indicating contextual relationships and linking individuals to records that they created, maintained, or otherwise affected in some capacity.


USMARC Relator Codes

Online version

1990.
Published as Part I in
USMARC Code List for Relators, Sources,
Description Conventions
, 1990 ed. (p. 1-9).
Paper (vi + 26 p.). ISBN 0-8444-0708-9. LC 90-013279.
Available from LC CDS. $16.00.


Development, approval, and maintenance:

Developed and maintained by the Library of Congress, Network Development and MARC Standards Office; compiled in collaboration with the Bibliographic Standards Committee of the Rare Books and Manuscripts Section of the Association of College and Research Libraries, the Music Library Association, and the US-RISM Subcommittee on Librettos.

Scope and structure:

These 91 three-character codes are used to indicate the relationship between a name and the work being cataloged. Commonly used relator terms and their codes include collector (col), correspondent (crp), donor (dnr), editor (edt), and interviewer (ivr). In addition to the terms originally proposed by RBMS, the LC version also contains terms applicable in the cataloging of musical and dramatic works and technical reports.

Related standards:

The list contains essentially all of the relator terms in the RBMS list with a few minor changes (e.g., RBMS uses sponsor while LC uses funder/sponsor). The basic difference between the two is that the RBMS terms are immediately understandable, while the codes are better for machine retrieval.

The three-character codes are approved by the Library of Congress for use in subfield 4 of the USMARC format; their equivalent terms (those contained in the RBMS list) are authorized for use in subfield e in personal name (X00) and corporate name (X10) fields.


Thesaurus of University Terms
(TUT)

1986.
Paper (46 p.).
ISBN 0-931828-69-4
Available from SAA. $6.00 members; $8.00 nonmembers.


Development, approval, and maintenance:

Developed by Jill M. Tatem and Jeff Rollison, Case-Western Reserve University Archives. TUT is being maintained locally by staff at Case-Western Reserve University but there are no current plans for issuing updates to the published version.

Scope and structure:

This thesaurus was compiled as part of a project to automate access to the Case-Western Reserve University Archives. The first and largest section of the thesaurus contains descriptors for functions and activities of the university. The terms are arranged in two separate lists, one hierarchical and one alphabetical. The alphabetical list contains syndetic references (BT, NT, RT, USE, UF) and a few scope notes. There are also three smaller sections: ASC, a list of schools, centers, academic departments, and major administrative offices; GEO, a list of buildings, streets, and campus locations; and FORM, a list of record forms. The introduction contains a description of how the thesaurus is used in the Case-Western Reserve University Archives.

Archival applications:

The compilers agreed to publication of TUT by SAA "not to disseminate a controlled vocabulary for the use of other college and university archives, but to show the results of one experiment, in the hopes of getting discussion and additional experimentation going." A few other academic archives are using lists based on TUT. The authors note that there are certain characteristics of the thesaurus, specifically the terms listed in the GEO section, that are applicable only to their own institution, but might provide a model for compilation of similar lists by others.

References:

Tatem, Jill M. "Evolution of the 'Thesaurus of University Terms'." Provenance 8 (Spring 1990): 13-26.


ALSO OF INTEREST

Arranged by topic in the same order as main entries in the chapter.

Names

Names of States: An Authority List of Language Forms for Catalogue Entries. 1981 (reprint). International Federation of Library Associations and Institutions Staff and IFLA International Office for UBC Staff. Paper (viii + 49 p.). ISBN 3-598-10958-X. Available from K.G. Saur. $30.00.

Subjects

Guidelines on Subject Access to Individual Works of Fiction, Drama, Etc. 1990. Barbara L. Berman, et al., comps. Sponsored by the Subject Analysis Committee, Association for Library Collections and Technical Services, American Library Association. Paper (40 p.). ISBN 0-8389-3386-6. Available from ALA. $10.00.

Guidelines on Subject Access to Microcomputer Software. 1986. American Library Association, Resources and Technical Services Division (now ALA, Association for Library Collections and Technical Services). Paper (27 p.). ISBN 0-8389-0452-1. Available from ALA. $6.00.

Guidelines on Subject Analysis of Audiovisual Materials. 1978. American Library Association, Resources and Technical Services Division (now ALA, Association for Library Collections and Technical Services). Paper (3 p.). Available from ALA.

Music Subject Headings: Compiled from LC Subject Headings. 1988. Perry Bratcher, et al. Paper (323 p.). ISBN 0-936996-31-5. Available from Soldier Creek Press. $50.00.

The Revised Nomenclature for Museum Cataloging. 1988. American Association for State and Local History, Nomenclature Committee; James R. Blackaby, comp. Cloth (528 p.), plus periodic updates by subscription. ISBN 0-910050-93-7. Available from AASLH. $55.00 members, $62.00 nonmembers; update subscription is available at an additional charge.

Sears List of Subject Headings. 14th ed., 1991. Originally compiled by Minnie Earl Sears; edited by Carmen Rovira and Caroline Reyes. Cloth (731 p.). ISBN 0-8242-0803-X. LC 91-10290. Available from Wilson. $42.00.

Subject Access to Films and Videos. 1992. Sheila S. Intner and William E. Studwell. Paper (120 p.). ISBN 0-936996-60-9. Available from Soldier Creek Press. $20.00.

Subject Access to Visual Resources Collections: A Model for Computer Construction of Thematic Catalogs. 1986. Karen Markey. Paper (209 p.). ISBN 0-313-24031-0. Available from Greenwood Press. $42.95.

Subject Headings: Film. 5th ed., 1990. International Federation of Film Archives (FIAF). Paper (100 p.). Available from FIAF.

Subject Headings: Television. 1992. International Federation of Film Archives (FIAF). Paper (98 p.). Available from FIAF.

Thesaurus of Subject Headings for Television: A Vocabulary for Indexing Script Collections. 1990. Sharon Black, comp. Paper (108 p.). ISBN 0-89774-552-3. Available from Oryx Press. $39.50.

Urban Information Thesaurus: A Vocabulary for Social Documentation. 1977. Paul M. Rosenberg, comp.; Baltimore Region Institutional Studies Center, University of Baltimore. Cloth (375 p.). ISBN 0-8371-9483-0. LC 76-52604. Available from Greenwood Press. $55.00.

Physical description

Printing and Publishing Evidence: Thesauri for Use in Rare Book and Special Collections Cataloguing. 1986. American Library Association, Association of College and Research Libraries, Rare Books and Manuscripts Section, Bibliographic Standards Committee. Paper (28 p.). ISBN 0-8389-7108-3. Available from ALA. $5.50 ACRL members, $7.50 nonmembers.

Type Evidence: Thesaurus for Use in Rare Book and Special Collections Cataloguing. 1990. American Library Association, Association of College and Research Libraries, Rare Books and Manuscripts Section, Bibliographic Standards Committee. Paper (19 p.). Available from ALA. ISBN 0-8389-7428-7. $6.50 ACRL members, $7.95 nonmembers.

Other

Standard Terminology for USMARC Field 583 (action note). 1988. American Library Association, Association for Library Collections and Technical Services, Preservation of Library Materials Section. Paper. ISBN 0-8389-7284-5. Available from ALA.

This list was developed to provide a method in the catalog record for indicating what preservation actions have been taken for specific items in a library's collection. Archivists who have examined this list have found it too book-oriented to be of much use for indicating archival preservation activities. During 1991, members of the SAA Preservation Section began discussing the potential uses of this list for archival purposes through modification and/or expansion of the terminology it contains.

Life-Cycle Systems Data Elements Manual (Data Elements 800). 1989. National Archives and Records Administration. Looseleaf. Available from Assistant Archivist for Management and Administration (NA), National Archives and Records Administration, Washington, DC 20408.

Several of the authority lists included in this manual are based on elements and rules developed and promulgated by other organizations and projects, including AACR 2, the RLG Seven-States Project, and NISO.


Footnotes

1 Toni Petersen, "Multiple Authorities in Library Systems," unpublished paper presented at the Art Libraries Society/North America Symposium on Authority control, February 1986. Cited in Carol A. Mandel, Multiple Thesauri in Online Library Bibliographic Systems (Washington, DC: Library of Congress, 1987), 2.

2 Network Development and MARC Standards Office, "Part IV: Subject/Index Term Sources," USMARC Code List for Relators, Sources, Descriptive Conventions, 1990 ed. (Washington, DC: Library of Congress, 1990).

3 "Headings for Certain Entities," Cataloging Service Bulletin, no. 53 (Summer 1991): 2.

4 Additional information on NACO is available in Judith G. Fenly and Sarah D. Irvine, "The Name Authority Co-op (NACO) Project at the Library of Congress: Present and Future," Cataloging and Classification Quarterly 7:2 (Winter 1986): 7-18; Ellen Gredley and Alan Hopkinson, Exchanging Bibliographic Data: MARC and Other International Formats (Chicago: American Library Association, 1990), 247-249; "Expectations for NACO Projects," Cataloging Service Bulletin 49 (Summer 1990): 44.

5 The Linked Systems Project is explained in greater detail in the introduction to Chapter 2 of this handbook.

6 Announcement posted on USMARC-L (electronic distribution list), June 1992. CSCP is also discussed briefly in LC Information Bulletin (20 April 1992): 179.

7 "National Coordinated Cataloging Program (NCCP)," Cataloging Service Bulletin 42 (Fall 1988): 4.

8 Additional information on NCCP is available in Henriette D. Avram and Beacher Wiggins, "The National Coordinated Cataloging Program," Library Resources and Technical Services 32 (April 1988): 111-115, and "National Coordinated Cataloging Program (NCCP)," Cataloging Service Bulletin 42 (Fall 1988): 4-7.

9 Jackie M. Dooley and Helena Zinkham, "The Object as 'Subject': Providing Access to Genres, Forms of Material, and Physical Characteristics," in Beyond the Book: Extending MARC for Subject Access, Toni Petersen and Pat Molholt, eds. (Boston: G.K. Hall, 1990), 43-80.

10 Alden N. Monroe and Kathleen D. Roe, "What's the Purpose? Functional Access to Archival Records," in Toni Petersen and Pat Molholt, eds., Beyond the Book: Extending MARC for Subject Access (Boston: G.K. Hall, 1990), 157-170. David Bearman, "'Who about What?' or 'From Whence, Why and How?'," in Peter Baskerville and Chad Gaffield, eds., Archives, Automation, and Access (Vancouver: University of British Columbia, 1986).

11 The proposals are summarized in John B. Thomas, "The Necessity of Standards in the Automated Environment," Library Trends 36 (Summer 1987): 125-139.

12 The 1990 volume contains a five-year cumulated form/genre index covering 1986-90 entries. Telephone conversation with Harriet Ostroff, 24 January 1992.

13 "Headings for Certain Entities," Cataloging Service Bulletin, no. 53 (Summer 1991): 2.

14 Lois Mai Chan, Library of Congress Subject Headings: Principles and Applications (Littleton, CO: Libraries Unlimited, 1978): 16-17.

15 "Headings for Certain Entities," Cataloging Service Bulletin, no. 53 (Summer 1991): 2.



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