Updated 2003.11.10 10:02 Hong Kong University of Science & Technology Library XML Name Access Control Repository at the Hong Kong University of Science.

updated 2003.11.10 10:02Hong Kong University of Science & Technology Library

XML Name Access Control XML Name Access Control Repository at the Hong Repository at the Hong

Kong University of Kong University of Science & Technology Science & Technology

LibraryLibrary

Louisa Kwok

ALA Annual Conference, Chicago 2005

Hong Kong University of Science & Technology Library

OutlineOutline About HKUST LibraryAbout HKUST Library Background & HistoryBackground & History of the Repository of the Repository GoalsGoals Underlying ConceptsUnderlying Concepts Name Access Control Record (NAC) Name Access Control Record (NAC)

Metadata SchemaMetadata Schema Interchange of MetadataInterchange of Metadata Crosswalk NAC <->MARC Crosswalk NAC <->MARC Searching & HarvestingSearching & Harvesting Tour of the RepositoryTour of the Repository

About HKUST LibraryAbout HKUST Library

About 600,000 volumes About 600,000 volumes (1/4 are Chinese titles)(1/4 are Chinese titles)

About 16,000 journal titles About 16,000 journal titles (print + electronic)(print + electronic)

About 16,000 electronic About 16,000 electronic resourcesresources

About 70,000 microform About 70,000 microform titlestitles

About 23,000 Audio-visual About 23,000 Audio-visual titlestitles

Library system - INNOPACLibrary system - INNOPAC

About HKUST LibraryAbout HKUST Library (Cont’d)(Cont’d)

11stst bilingual library online catalog with bilingual library online catalog with full Chinese capability as early as 1991 full Chinese capability as early as 1991 (Co-developer of CJK Module of (Co-developer of CJK Module of INNOPACINNOPAC

11stst OCLC member in Hong Kong OCLC member in Hong Kong An OCLC governing member An OCLC governing member 11stst library Web server in Hong Kong in library Web server in Hong Kong in

19951995 First library in HK to complete Pinyin First library in HK to complete Pinyin

conversion of catalog records in 2000.conversion of catalog records in 2000.

About HKUST LibraryAbout HKUST Library (Cont’d)(Cont’d)

Became a NACO Became a NACO member in 2000member in 2000

Became a CONSER Became a CONSER member in 2002member in 2002

Launched the Launched the HKUST HKUST Institutional Institutional Repository in 2004Repository in 2004

What is XML Name Access What is XML Name Access Control Repository?Control Repository?

A database containing metadata of A database containing metadata of personal and corporate authors who personal and corporate authors who are better identified by Chinese scripts.are better identified by Chinese scripts.

The metadata includes the romanized The metadata includes the romanized forms and the corresponding Chinese forms and the corresponding Chinese scripts in Unicode.scripts in Unicode.

Data is represented in XML format Data is represented in XML format derived from the Library of Congress’s derived from the Library of Congress’s MARC XML Schema.MARC XML Schema.

BackgroundBackground

Difficulty in identifying East Asian authors bDifficulty in identifying East Asian authors by romanization only.y romanization only.Example: Example:

Li, Qing = Li, Qing =

Background Background (Cont’d)(Cont’d)

Limitations of library systems and catLimitations of library systems and cataloging standards in processing multi-aloging standards in processing multi-lingual and multi-script name authority lingual and multi-script name authority informationinformation

Difficulty in sharing of authority Difficulty in sharing of authority data across different authority data across different authority filesfiles

HistoryHistoryInspired by:Inspired by: Linda Barnhart’s presentation “Access Linda Barnhart’s presentation “Access

Control Records: Prospects & Challenges” Control Records: Prospects & Challenges” at the conference on Authority Control in at the conference on Authority Control in the 21the 21stst Century 1996 Century 1996http://digitalarchive.oclc.org/da/ViewObject.jsp?fhttp://digitalarchive.oclc.org/da/ViewObject.jsp?fileid=0000003520:000000091779&reqid=830ileid=0000003520:000000091779&reqid=830

Barbara Tillett’s presentation “Virtual Barbara Tillett’s presentation “Virtual International Authority File” at IFLA International Authority File” at IFLA Conference 2001 Conference 2001 http://www.ifla.org/IV/ifla67/papers/094-http://www.ifla.org/IV/ifla67/papers/094-

152ae.pdf152ae.pdf

HistoryHistory (Cont’d)(Cont’d)

Based on K.T.Lam’s propositions in Based on K.T.Lam’s propositions in his article in his article in OCLC Systems & OCLC Systems & Services v. 18 no. 2, 2002, p. 88-96 Services v. 18 no. 2, 2002, p. 88-96 << hthttp://hdl.handle.net/1783.1/443tp://hdl.handle.net/1783.1/443>>

Result of an experimental project Result of an experimental project in July in July 2002 2002 << http://hdl.handle.net/1783.1/668 >http://hdl.handle.net/1783.1/668 >

Integrated with cataloging oIntegrated with cataloging operationperationss in Feb. 2003in Feb. 2003

Now has overNow has over 10,000 records 10,000 records

Goals of the ProjectGoals of the Project

A proof-of-concept initiative:A proof-of-concept initiative: Name access control (NAC) vs authority controlName access control (NAC) vs authority control The Person Model vs bibliographic identityThe Person Model vs bibliographic identity The virtual international authority file conceptThe virtual international authority file concept XML format NAC metadata can be manipulated flebiblyXML format NAC metadata can be manipulated flebibly

To enhance access to bibliographic works of ChinTo enhance access to bibliographic works of Chinese authorsese authors

To help catalogers to identify correct name headiTo help catalogers to identify correct name headingsngs

Underlying ConceptsUnderlying Concepts

Name access control vs authority controlName access control vs authority control The Person Model The Person Model XML is an effective tool for marking up mulXML is an effective tool for marking up mul

ti-lingual and multi-script informationti-lingual and multi-script information XML-format NAC data can be used XML-format NAC data can be used with with

flexibilityflexibility

Name Access Control (NAC)Name Access Control (NAC)

Authority ControlAuthority Control Designate an authorized form of a name Designate an authorized form of a name

for use in bibliographic recordsfor use in bibliographic records Access ControlAccess Control

Expands the role of an authority recordExpands the role of an authority record Linking of all name forms of a personLinking of all name forms of a person Flexible choice of authorized formsFlexible choice of authorized forms Enrich information about a person’s Enrich information about a person’s

names to facilitate manipulation and names to facilitate manipulation and exchange of dataexchange of data

Name Access ControlName Access Control (cont’d)(cont’d)

Access Control (single authorized Access Control (single authorized form) form) = = Authority ControlAuthority Control

The Person ModelThe Person Model

Adapted from FRBR Adapted from FRBR Functional Requirements for Functional Requirements for

Bibliographic RecordsBibliographic Records. IFLA 1998. IFLA 1998

WorkWork

-> Expression -> Expression

-> Manifestation -> Manifestation

-> Item-> Item

The Person ModelThe Person Model (cont’d)(cont’d)

Person – a distinct authorPerson – a distinct author Name – an expression addressing the Name – an expression addressing the

PersonPerson Name Form – a manifestation of the NameName Form – a manifestation of the Name

A person can have multiple names.A person can have multiple names. A name can have multiple name A name can have multiple name

formsforms Each name form has its language Each name form has its language

attributes: script, language, attributes: script, language, romanization scheme.romanization scheme.

A person has only one name access A person has only one name access control record.control record.

NAC Metadata SchemaNAC Metadata Schema

NAC record is marked up in XML NAC record is marked up in XML format.format.

Based on LC MARC XML Schema Based on LC MARC XML Schema

NAC Metadata Schema NAC Metadata Schema (cont’d)(cont’d)

Elements from LC MARC XML schema:

Controlfield (fixed marc fields) Datafield (variable marc fields) (variable marc fields) with with

attributes:attributes: @tag - tag no.@tag - tag no. @ind1- 1@ind1- 1stst indicator indicator @ind2 - 2@ind2 - 2ndnd indicator indicator

Subfield with an attribute:Subfield with an attribute: @code@code

NAC Metadata SchemaNAC Metadata Schema (cont’d)(cont’d)

</datafield> </datafield>

<datafield tag="<datafield tag="100100" ind1="" ind1="11" ind2=" "> " ind2=" "> <subfield code="<subfield code="aa">">Hsieh, Din-YuHsieh, Din-Yu,</subfield>,</subfield> <subfield code="<subfield code="dd">">1933-1933-</subfield> </subfield>

</datafield></datafield>

NAC Metadata SchemaNAC Metadata Schema (cont’d)(cont’d)

Adding a local namespace “Adding a local namespace “nacnac” ” (locally defined attributes):(locally defined attributes):

Linking variant name formsLinking variant name forms

@nac:nameid@nac:nameid

Specifying script, language, and Specifying script, language, and romanization scheme of the form romanization scheme of the form

@nac:scripts@nac:scripts

Linking Name formsLinking Name forms

@nac:nameid@nac:nameid

Linking different name forms of a nameLinking different name forms of a name

prefix . sequential numberprefix . sequential number

e.g. e.g.

Script, Language, Script, Language, RomanizationRomanization

@nac:script@nac:script

Purpose: storing information on the Purpose: storing information on the script, language, and romanization script, language, and romanization schemescheme

script . language . schemescript . language . scheme

e.g.e.g. cjk.chinesecjk.chinese latin.chinese.pinyinlatin.chinese.pinyin latin.chinese.wade-gileslatin.chinese.wade-giles

Interchange of MetadataInterchange of Metadata

Supports “putting” and “getting” of Supports “putting” and “getting” of records to and from INNOPAC.records to and from INNOPAC.

MARC21 authority records can be MARC21 authority records can be retrieved from INNOPAC and retrieved from INNOPAC and enhanced to become NAC records.enhanced to become NAC records.

NAC records can be uploaded to NAC records can be uploaded to INNOPAC in real time in MARC21 INNOPAC in real time in MARC21 format.format.

Interchange of Metadata Interchange of Metadata (cont’d)(cont’d)

Authority records from OCLC’s LAF Authority records from OCLC’s LAF (Linked Authority File) can be (Linked Authority File) can be retrieved in real time into the retrieved in real time into the Repository.Repository.

NAC records can be generated by NAC records can be generated by batch mode from a plain text file.batch mode from a plain text file.

Interchange of Metadata Interchange of Metadata (cont’d)(cont’d)

PutGet

XML NACRepository

Plain Text Batch File

OCLC LAF

INNOPAC Authority

Crosswalk MARC <-> NACCrosswalk MARC <-> NAC

The Repository can export data in The Repository can export data in various metadata formats:various metadata formats: MARC21 Model AMARC21 Model A MARC21 Model BMARC21 Model B China MARCChina MARC MARC XMLMARC XML EAC XMLEAC XML

MARC21 Model A FormatMARC21 Model A Format

MARC21 Model B FormatMARC21 Model B Format

MARC XML Model A FormatMARC XML Model A Format

MARC XML Model B FormatMARC XML Model B Format

China MARC FormatChina MARC Format

Splitting an NAC RecordSplitting an NAC Record

One NAC record for one author.One NAC record for one author. Generate multiple authority records Generate multiple authority records

as needed, i.e. 5XX (see also as needed, i.e. 5XX (see also references).references).

Using a local attribute: Using a local attribute:

@nac:marcid@nac:marcid

Splitting an NAC RecordSplitting an NAC Record (cont’d)(cont’d)

<datafield ... reftype="established" <datafield ... reftype="established" marcid="A"marcid="A"> > <subfield code="a">Hsieh, Din-Yu,</subfield> <subfield code="a">Hsieh, Din-Yu,</subfield> <subfield code="d">1933-</subfield> <subfield code="d">1933-</subfield>

</datafield> </datafield> <datafield ... reftype="established" <datafield ... reftype="established" marcid="B"marcid="B"> >

</datafield> </datafield> <datafield ... reftype="see" <datafield ... reftype="see" marcid="A"marcid="A"> >

<subfield code="a">Hsieh, D. Y.</subfield> <subfield code="a">Hsieh, D. Y.</subfield> <subfield code="q">(Din-Yu),</subfield> <subfield code="q">(Din-Yu),</subfield> <subfield code="d">1933-</subfield> <subfield code="d">1933-</subfield>

</datafield></datafield>

Splitting an NAC RecordSplitting an NAC Record (cont’d)(cont’d)

Two authority records will be created:Two authority records will be created:

Record B Record B 100 1_ |aDing, Yi,|d1933- 100 1_ |aDing, Yi,|d1933- 500 1_ |aHsieh, Din-Yu,|d1933- 500 1_ |aHsieh, Din-Yu,|d1933-

Searching & HarvestingSearching & Harvesting

To facilitate global interoperability, To facilitate global interoperability, searching and harvesting of data:searching and harvesting of data:

OAI (Open Archives Initiative) OAI (Open Archives Initiative) Interface.Interface.

Z39.50 International: Next Z39.50 International: Next Generation (ZING).Generation (ZING).

Tour of the RepositoryTour of the Repository

Searching the RepositorySearching the Repository

Public View of an NAC RecordPublic View of an NAC Record

Get a Record from INNOPAC into the RepositoryGet a Record from INNOPAC into the Repository

A Web-based Interface for Enhancing a RecordA Web-based Interface for Enhancing a Record

Language Language AttributeAttribute

Romanization Scheme Romanization Scheme AttributeAttribute

An Enhanced Authority Record in An Enhanced Authority Record in INNOPACINNOPAC

Get a Record from OCLC LAF Project into the RepositoryGet a Record from OCLC LAF Project into the Repository

Split an NAC Record into Multiple Split an NAC Record into Multiple NAR’sNAR’s

Public View of the NAC Public View of the NAC RecordRecord

INNOPAC Authority Record with ‘See Also’ INNOPAC Authority Record with ‘See Also’ ReferencesReferences

INNOPAC Authority Record with See Also INNOPAC Authority Record with See Also ReferenceReference

Web OPAC ViewWeb OPAC View

Get a Batch of Records from a Plain Text FileGet a Batch of Records from a Plain Text File

Comparing with the Existing NAC Comparing with the Existing NAC RecordsRecords

Unmatched Information Added for Unmatched Information Added for CheckingChecking

Enhanced Access to Multi-lingual Name InformationEnhanced Access to Multi-lingual Name Information

Future?Future?

Has proven the feasibility of virtual Has proven the feasibility of virtual authority file concept suggested by authority file concept suggested by Tillett..

Multi-lingual access control data can Multi-lingual access control data can be maintained by different regional or be maintained by different regional or national agencies in XML format.national agencies in XML format.

The enriched data is linked globally The enriched data is linked globally on the Internet for use by all on the Internet for use by all information providers.information providers.

To find out more:To find out more:http://library.ust.hk/info/nac/

THANK YOU!THANK YOU!

Updated 2003.11.10 10:02 Hong Kong University of Science & Technology Library XML Name Access Control Repository at the Hong Kong University of Science.

access control repository

authority recordlinking

sharing of authority

hkust library contdbecame

chinese titlesabout

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