To:Joint Steering Committee for Revision of AACR

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 4JSC/Editor/Part II/Outline 3 October 2004 2 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 4JSC/Editor/Part II/Outline 3 October 2004 3 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. 4JSC/Editor/Part II/Outline 3 October 2004 4 CHAPTER

Main and Added Entry Access Points

PRELIMINARY RULES

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 4JSC/Editor/Part II/Outline 3 October 2004 5 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 4JSC/Editor/Part II/Outline 3 October 2004 6 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 4JSC/Editor/Part II/Outline 3 October 2004 7 CHAPTER

Choice of Access Points for Works

PRELIMINARY RULES

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 4JSC/Editor/Part II/Outline 3 October 2004 8 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. 4JSC/Editor/Part II/Outline 3 October 2004 9 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 4JSC/Editor/Part II/Outline 3 October 2004 10

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 4JSC/Editor/Part II/Outline 3 October 2004 11

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 4JSC/Editor/Part II/Outline 3 October 2004 12

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 4JSC/Editor/Part II/Outline 3 October 2004 13

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