1. 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 & Technology Library Louisa Kwok ALA Annual Conference, Chicago 2005

2. Hong Kong University of Science & Technology Library Outline About HKUST Library About HKUST Library Background & History of the Repository Background & History of the Repository Goals Goals Underlying Concepts Underlying Concepts Name Access Control Record (NAC) Metadata Schema Name Access Control Record (NAC) Metadata Schema Interchange of Metadata Interchange of Metadata Crosswalk NAC MARC Crosswalk NAC MARC Searching & Harvesting Searching & Harvesting Tour of the Repository Tour of the Repository

3. Hong Kong University of Science & Technology Library About HKUST Library About 600,000 volumes (1/4 are Chinese titles) About 600,000 volumes (1/4 are Chinese titles) About 16,000 journal titles (print + electronic) About 16,000 journal titles (print + electronic) About 16,000 electronic resources About 16,000 electronic resources About 70,000 microform titles About 70,000 microform titles About 23,000 Audio-visual titles About 23,000 Audio-visual titles Library system - INNOPAC Library system - INNOPAC

4. Hong Kong University of Science & Technology Library About HKUST Library (Cont’d) 1 st bilingual library online catalog with full Chinese capability as early as 1991 (Co- developer of CJK Module of INNOPAC 1 st bilingual library online catalog with full Chinese capability as early as 1991 (Co- developer of CJK Module of INNOPAC 1 st OCLC member in Hong Kong 1 st OCLC member in Hong Kong An OCLC governing member An OCLC governing member 1 st library Web server in Hong Kong in 1995 1 st library Web server in Hong Kong in 1995 First library in HK to complete Pinyin conversion of catalog records in 2000. First library in HK to complete Pinyin conversion of catalog records in 2000.

5. Hong Kong University of Science & Technology Library About HKUST Library (Cont’d) Became a NACO member in 2000 Became a NACO member in 2000 Became a CONSER member in 2002 Became a CONSER member in 2002 Launched the HKUST Institutional Repository in 2004 Launched the HKUST Institutional Repository in 2004

6. Hong Kong University of Science & Technology Library What is XML Name Access Control Repository? A database containing metadata of personal and corporate authors who are better identified by Chinese scripts. A database containing metadata of personal and corporate authors who are better identified by Chinese scripts. The metadata includes the romanized forms and the corresponding Chinese scripts in Unicode. The metadata includes the romanized forms and the corresponding Chinese scripts in Unicode. Data is represented in XML format derived from the Library of Congress’s MARC XML Schema. Data is represented in XML format derived from the Library of Congress’s MARC XML Schema.

7. Hong Kong University of Science & Technology Library Background Difficulty in identifying East Asian authors by romanization only. Difficulty in identifying East Asian authors by romanization only.Example: Li, Qing =

8. Hong Kong University of Science & Technology Library Background (Cont’d) Limitations of library systems and cataloging standards in processing multi-lingual and multi-script name authority information Limitations of library systems and cataloging standards in processing multi-lingual and multi-script name authority information Difficulty in sharing of authority data across different authority files Difficulty in sharing of authority data across different authority files

9. Hong Kong University of Science & Technology Library History Inspired by: Linda Barnhart’s presentation “Access Control Records: Prospects & Challenges” at the conference on Authority Control in the 21 st Century 1996 Linda Barnhart’s presentation “Access Control Records: Prospects & Challenges” at the conference on Authority Control in the 21 st Century 1996 http://digitalarchive.oclc.org/da/ViewObject.jsp?fileid=00 00003520:000000091779&reqid=830 http://digitalarchive.oclc.org/da/ViewObject.jsp?fileid=00 00003520:000000091779&reqid=830 Barbara Tillett’s presentation “Virtual International Authority File” at IFLA Conference 2001 Barbara Tillett’s presentation “Virtual International Authority File” at IFLA Conference 2001http://www.ifla.org/IV/ifla67/papers/094-152ae.pdf

10. Hong Kong University of Science & Technology Library History (Cont’d) Based on K.T.Lam’s propositions in his article in OCLC Systems & Services v. 18 no. 2, 2002, p. 88-96 Based on K.T.Lam’s propositions in his article in OCLC Systems & Services v. 18 no. 2, 2002, p. 88-96 Result of an experimental project in July 2002 Result of an experimental project in July 2002 Integrated with cataloging operations in Feb. 2003 Integrated with cataloging operations in Feb. 2003 Now has over 10,000 records Now has over 10,000 records

11. Hong Kong University of Science & Technology Library Goals of the Project A proof-of-concept initiative: A proof-of-concept initiative: Name access control (NAC) vs authority control Name access control (NAC) vs authority control The Person Model vs bibliographic identity The Person Model vs bibliographic identity The virtual international authority file concept The virtual international authority file concept XML format NAC metadata can be manipulated flebibly XML format NAC metadata can be manipulated flebibly To enhance access to bibliographic works of Chinese authors To enhance access to bibliographic works of Chinese authors To help catalogers to identify correct name headings To help catalogers to identify correct name headings

12. Hong Kong University of Science & Technology Library Underlying Concepts Name access control vs authority control Name access control vs authority control The Person Model The Person Model XML is an effective tool for marking up multi-lingual and multi-script information XML is an effective tool for marking up multi-lingual and multi-script information XML-format NAC data can be used with flexibility XML-format NAC data can be used with flexibility

13. Hong Kong University of Science & Technology Library Name Access Control (NAC) Authority Control Authority Control Designate an authorized form of a name for use in bibliographic records Designate an authorized form of a name for use in bibliographic records Access Control Access Control Expands the role of an authority record Expands the role of an authority record Linking of all name forms of a person Linking of all name forms of a person Flexible choice of authorized forms Flexible choice of authorized forms Enrich information about a person’s names to facilitate manipulation and exchange of data Enrich information about a person’s names to facilitate manipulation and exchange of data

14. Hong Kong University of Science & Technology Library Name Access Control (cont’d) Access Control (single authorized form) = Authority Control

15. Hong Kong University of Science & Technology Library The Person Model Adapted from FRBR Functional Requirements for Bibliographic Records. IFLA 1998 Functional Requirements for Bibliographic Records. IFLA 1998Work -> Expression -> Expression -> Manifestation -> Item

16. Hong Kong University of Science & Technology Library The Person Model (cont’d) Person – a distinct author Person – a distinct author Name – an expression addressing the Person Name – an expression addressing the Person Name Form – a manifestation of the Name Name Form – a manifestation of the Name

17. Hong Kong University of Science & Technology Library The Person Model (cont’d) A person can have multiple names. A person can have multiple names. A name can have multiple name forms A name can have multiple name forms Each name form has its language attributes: script, language, romanization scheme. Each name form has its language attributes: script, language, romanization scheme. A person has only one name access control record. A person has only one name access control record.

18. Hong Kong University of Science & Technology Library The Person Model (cont’d)

19. Hong Kong University of Science & Technology Library NAC Metadata Schema NAC record is marked up in XML format. NAC record is marked up in XML format. Based on LC MARC XML Schema Based on LC MARC XML Schema

20. Hong Kong University of Science & Technology Library NAC Metadata Schema (cont’d) Elements from LC MARC XML schema: Controlfield (fixed marc fields) (variable marc fields) with attributes: Datafield (variable marc fields) with attributes: @tag - tag no. @tag - tag no. @ind1- 1 st indicator @ind1- 1 st indicator @ind2 - 2 nd indicator @ind2 - 2 nd indicator Subfield with an attribute: Subfield with an attribute: @code @code

21. Hong Kong University of Science & Technology Library NAC Metadata Schema (cont’d) oca03642124 oca03642124 n 94066795 n 94066795 </datafield> Hsieh, Din-Yu, Hsieh, Din-Yu, 1933- 1933- </datafield>

22. Hong Kong University of Science & Technology Library NAC Metadata Schema (cont’d) Adding a local namespace “nac” (locally defined attributes): Linking variant name forms Linking variant name forms@nac:nameid Specifying script, language, and romanization scheme of the form @nac:scripts Specifying script, language, and romanization scheme of the form @nac:scripts

23. Hong Kong University of Science & Technology Library Linking Name forms @nac:nameid Linking different name forms of a name prefix. sequential number e.g.

24. Hong Kong University of Science & Technology Library Script, Language, Romanization @nac:script Purpose: storing information on the script, language, and romanization scheme script. language. scheme e.g. cjk.chinese cjk.chinese latin.chinese.pinyin latin.chinese.pinyin latin.chinese.wade-giles latin.chinese.wade-giles

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26. Interchange of Metadata Supports “putting” and “getting” of records to and from INNOPAC. Supports “putting” and “getting” of records to and from INNOPAC. MARC21 authority records can be retrieved from INNOPAC and enhanced to become NAC records. MARC21 authority records can be retrieved from INNOPAC and enhanced to become NAC records. NAC records can be uploaded to INNOPAC in real time in MARC21 format. NAC records can be uploaded to INNOPAC in real time in MARC21 format.

27. Hong Kong University of Science & Technology Library Interchange of Metadata (cont’d) Authority records from OCLC’s LAF (Linked Authority File) can be retrieved in real time into the Repository. Authority records from OCLC’s LAF (Linked Authority File) can be retrieved in real time into the Repository. NAC records can be generated by batch mode from a plain text file. NAC records can be generated by batch mode from a plain text file.

28. Hong Kong University of Science & Technology Library Interchange of Metadata (cont’d) Put Get XML NAC Repository Plain Text Batch File OCLC LAF INNOPAC Authority File

29. Hong Kong University of Science & Technology Library Crosswalk MARC NAC The Repository can export data in various metadata formats: The Repository can export data in various metadata formats: MARC21 Model A MARC21 Model A MARC21 Model B MARC21 Model B China MARC China MARC MARC XML MARC XML EAC XML EAC XML

30. Hong Kong University of Science & Technology Library MARC21 Model A Format

31. Hong Kong University of Science & Technology Library MARC21 Model B Format

32. Hong Kong University of Science & Technology Library MARC XML Model A Format

33. Hong Kong University of Science & Technology Library MARC XML Model B Format

34. Hong Kong University of Science & Technology Library China MARC Format

35. Hong Kong University of Science & Technology Library Splitting an NAC Record One NAC record for one author. One NAC record for one author. Generate multiple authority records as needed, i.e. 5XX (see also references). Generate multiple authority records as needed, i.e. 5XX (see also references). Using a local attribute: Using a local attribute:@nac:marcid

36. Hong Kong University of Science & Technology Library Splitting an NAC Record (cont’d) Hsieh, Din-Yu, Hsieh, Din-Yu, 1933- 1933- </datafield> Ding, Yi, Ding, Yi, 1933- 1933- </datafield> Hsieh, D. Y. Hsieh, D. Y. (Din-Yu), (Din-Yu), 1933- 1933- </datafield>

37. Hong Kong University of Science & Technology Library Splitting an NAC Record (cont’d) Two authority records will be created: Record A 100 1_ |aHsieh, Din-Yu,|d1933- 400 1_ |aHsieh, D. Y.|q(Din-Yu),|d1933- 500 1_ |aDing, Yi,|d1933- Record B 100 1_ |aDing, Yi,|d1933- 500 1_ |aHsieh, Din-Yu,|d1933-

38. Hong Kong University of Science & Technology Library Searching & Harvesting To facilitate global interoperability, searching and harvesting of data: OAI (Open Archives Initiative) Interface. OAI (Open Archives Initiative) Interface. Z39.50 International: Next Generation (ZING). Z39.50 International: Next Generation (ZING).

39. Hong Kong University of Science & Technology Library Tour of the Repository

40. Hong Kong University of Science & Technology Library Searching the Repository

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42. Public View of an NAC Record

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44. Get a Record from INNOPAC into the Repository

45. Hong Kong University of Science & Technology Library A Web-based Interface for Enhancing a Record

46. Hong Kong University of Science & Technology Library Language Attribute

47. Hong Kong University of Science & Technology Library Romanization Scheme Attribute

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49. An Enhanced Authority Record in INNOPAC

50. Hong Kong University of Science & Technology Library Get a Record from OCLC LAF Project into the Repository

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55. Split an NAC Record into Multiple NAR’s

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57. Public View of the NAC Record

58. Hong Kong University of Science & Technology Library INNOPAC Authority Record with ‘See Also’ References

59. Hong Kong University of Science & Technology Library INNOPAC Authority Record with See Also Reference

60. Hong Kong University of Science & Technology Library Web OPAC View

61. Hong Kong University of Science & Technology Library Get a Batch of Records from a Plain Text File

62. Hong Kong University of Science & Technology Library Comparing with the Existing NAC Records

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64. Unmatched Information Added for Checking

65. Hong Kong University of Science & Technology Library Enhanced Access to Multi-lingual Name Information

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67. Future? Has proven the feasibility of virtual authority file concept suggested by. Has proven the feasibility of virtual authority file concept suggested by Tillett.Tillett Multi-lingual access control data can be maintained by different regional or national agencies in XML format. Multi-lingual access control data can be maintained by different regional or national agencies in XML format. The enriched data is linked globally on the Internet for use by all information providers. The enriched data is linked globally on the Internet for use by all information providers.

68. Hong Kong University of Science & Technology Library To find out more: http://library.ust.hk/info/nac/ THANK YOU!