by IFLA Cataloguing Section and IFLA Meetings of Experts on an. International 16) .

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by IFLA Cataloguing Section and IFLA Meetings of Experts on an International Cataloguing Code 2016 Edition by Agnese Galeffi (chair), María Violeta Bertolini, Robert L. Bothmann, Elena Escolano Rodríguez, and Dorothy McGarry December 2016 Approved by IFLA Cataloguing Standing Committee and IFLA Committee of Standards End orsed by IFLA Professional Committee María Violeta Bertolini, Robert L. Bothmann, Elena Escolano Rodríguez, Agnese Galeffi , and Dorothy McGarry, 2016 . Statement of International Cataloguing Principles (ICP)

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2 © 2016 by María Violeta Bertolini, Robert L. Bothmann, Elena Escolano Rodríguez, Agnese Galeffi, and Dorothy McGarry . This work is licensed under the CC BY 4.0 license. T o view a copy of this license, visit : IFLA P.O. Box 95312 2509 CH Den Haag Netherlands

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3 Table of Contents 0 Introduction 4 1 Scope 5 2 General Principles .. 5 3 Entities, Attributes, and Relationships 6 4 Bibliographic Description . 7 5 Access Points . 7 6 Objectives and Functions of the Catalogue .. 10 7 Foundations for Search Capabilities .. 11 8 Glossary .. 13 9 Sources . 18 10 Terms no longer used in 2016 Statement 19 11 Afterword .. 20 . 2

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4 Introduction The original Statement of Principles – – was approved by the International Conference on Cataloguing Principles in 1961. 1 Its goal of serving as a basis for international standardization in cataloguing has certainly been achieved: most of the cataloguing codes that were developed worldwide since that time have followed the Principles strictly or at least to a high degree. More than fifty years later, having a common set of international cataloguing principles is still necessary as cataloguers and users around the world use online catalogues as search and discovery systems. At the beginning of the 21st century, IFLA produced a new statement of principles 2 (published in 2009) applicable to online library catalogues and beyond. The current version has been review ed and updated in 2014 and 2015 , and approved in 2016 . The 2009 Statement of Principles replaced and explicitly broaden ed the scope of the Paris Principles from just textual resources to all types of resources , and from just the choice and form of entry to all aspects of bibliographic and authority data used in library catalogues. It included not only principles and object ives, but also guiding rules that should be included in cataloguing codes internationally, as well as guidance on search and retrieval capabilities. Th is 2016 edition takes into consideration new categories of users, the open access environment , the intero perability and the accessibility of data, features of discovery tools and the significant change of user behaviour in general . This statement covers: 1.Scope 2.General Principles 3.Entities, Attributes, and Relationships 4.Bibliographic Description 5.Access Points 6.Objectives and Functions of the Catalogue 7.Foundations for Search Capabilities This statement builds on the great cataloguing traditions of the world, 3 as well as on the conceptual models in the IFLA Functional Requirements family. 4 It i s hoped that the principles in this statement will help to increase the international sharing of bibliographic and authority data , and will guide cataloguing rule makers in their efforts. 1 International Conference on Cataloguing Principles (Paris : 1961). Report . London: International Federation of Library Associations, 1963, p. 91 -96. Also available in: Library Resources & Technical Services, v. 6 (1962), p. 162 -167; and Statement of principles adopted at the International Conference on Cataloguing Principles, Paris, October, 1961 . Annotated edi tion with commentary and examples by Eva Verona. London: IFLA Committee on Cataloguing, 1971. 2 IFLA Cataloguing Principles: Statement of International Cataloguing Principles (ICP) and its Glossary . München: K.G. Saur, 200 9. (IFLA Series on Bibliographic C ontrol ; v. 37). Statement available online < -of-international -cataloguing -principles >. 3 Cutter, Charles A. Rules for a Di ctionary Catalog . 4th ed., rewritten. Washington, D.C.: Government Printing office , 1904; Ranganathan, S.R. Heading and Canons . Madras [India]: S. Viswanathan, 1955 ; and Lubetzky, Seymour. Principles of Cataloging. Final Report. Phase I: Descriptive Cataloging . Los Angeles, Calif.: University of California, Institute of Library Research, 1969. 4 Functional Requirements: the FRBR Family of Models . Being currently under a consolidati on process, this statement reflects some uncertainties of the transitional phase.

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5 Scope The principles in this statement are intended to guide the development of cataloguing codes and the decisions that cataloguers make. They apply to bibliographic and authority data, and consequently to current library catalogues, bibliographies and other datasets created by libraries. They aim to prov ide a consistent approach to descriptive and subject cataloguing of bibliographic resources of all kinds. General Principles The following principles direct the construction and development of cataloguing codes , the decisions that cataloguers make and poli cies on access to and exchange of data . Of these, the convenience of the user is the most important, while principles 2.2 through 2.13 are in no particular order. If there is a conflict among principles 2.2 – 2.13 , the principle of interoperability should be rated higher than others. 2.1. Convenience of the user. Convenience means that all efforts should be made to keep all searches the catalogue and uses the bibliographic and /or authority data. Decisions taken in the making of descriptions and controlled forms of names for access should be made with the user in mind. 2.2. Common usage. Vocabulary used in descriptions and access points should be in accordance with that of the m ajority of users. 2.3. Representation. A description should represent a resource as it appears. Controlled forms of names of persons, corporate bodies and families should be based on the way an entity describes itself. Controlled forms of work titles shoul d be based on the form appearing on the first manifestation of the original expression. If this is not feasible, the form commonly used in reference sources should be used. 2.4. Accuracy. Bibliographic and authority data should be an accurate por trayal of the entity described. 2.5. Sufficiency and necessity. T hose data elements that are required to: facilitate access for all types of users, including those with specific needs; fulfil the objectives and functions of the catalogue; and describe or identify en tities , should be included. 2.6. Significance. Data elements should be relevant to the description, noteworthy, and allow for distinctions among entities . 2.7. Economy. When alternative ways exist to achieve a goal, preference should be given to the way th at best furthers overall expediency and practicality (i.e., the least c ost or the simplest approach). 2.8. Consistency and standardization. Descriptions and construction of access points should be standardized as far as possible to enable consistency. 2.9. Integration. The descriptions for all types of resources and controlled forms of names of all types of entities should be based on a common set of rules to the extent possible. 2.10. Interoperability. All efforts should be made to ensure the sharing and r euse of bibliographic and authority data within and outside the library community. For the exchange

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6 of data and discovery tools, the use of vocabularies facilitating automatic translation and disambiguation is highly recommended. 2.11. Openness. Restrictio ns on data should be minimal in order to foster transparency and conform to Open Access principles, as declared also in the IFLA Statement on Open Access. 5 Any restriction on data access should be fully stated. 2.12. Accessibility. The access to bibliograp hic and authority data, as well as searching device functionalities, should comply with international standards for accessibility as recommended in the IFLA Code of Ethics for Librarians and other Information Workers. 6 2.13. Rationality. The rules in a cat aloguing code should be defensible and not arbitrary. If, in specific situations, it is not possible to respect all the principles, then defensible, practical solutions should be found and the rationale should be explained. Entities, Attributes, and Relati onships The entities are the key objects of interest to users in a particular domain. Each entity can be described by its primary characteristics, called attributes. The attributes of the entity serve also as the means by which users formulate queries and interpret responses when seeking information about a particular entity. The relationships explain the connections between and among entities. Cataloguing should take into account the entities, attributes, and relationships as defined in conceptual models of the bibliographic universe. The conceptual models taken into consideration are Functional Requirements for Bibliographic Records (FRBR), Fun ctional Requirements for Authority Data (FRAD) and Functional Requirements for Subject Authority Data (FRSAD). 3.1 Entities : The following entities may be represented by bibliographic and authority data: 7 Work Expression Manifestation Item 8 Person Family Corporate Body 9 Thema Nomen. 10 5 < > 6 < - code - of - ethics - for - librarians - and - other - information - workers - full - version > 7 Since the consolidation process involving FRBR, FRAD and FRSAD is currently underway , here are listed all the entities described in the aforementioned conceptual models . This brings some inconsiste ncies about Group 3 entities and about nomen in relation to names and access points. 8 Work , expression, manifestation, and item are the Group 1 entities described in the FRBR and FRAD models. 9 Person, family, and corporate body are the Group 2 entities as described in the FRAD model. 10 Thema (any entity used as a subject of a work) and nomen (any sign or sequence of signs by which a thema is known, referred to, or addressed as) are the entities introduced and described in the FRSAD model. Within the FRBR framework, thema includes Group 1 and Group 2 entities, and additionally, all others that serve as the subjects of works (i.e., Group 3 concept, object, event, and place). In FRSAD N omen is a superclass of the FRAD entities name, identifier, and controlled access point . Being out side of its purpose, this Statement does not consider N omen as th e superclass of name, identifier and controlled access point .

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8 access points for the creators of works, should be included as access points to bibliographic data . A corporate body should be considered as the creator of those works that express the collective thought or activity of the corporate body, or when the wording of the titl e, taken in conjunction with the nature of the work, clearly implies that the corporate body is collectively responsible for the content of the work. This applies even if a person signs the work in the capacity of an officer or servant of the corporate bod y. 5.2.2 Additional authorized access points for persons, families, corporate bodies, and subjects should be provided to bibliographic data, when deemed important for finding and identifying the bibliographic resource being described. 5.2.3 The authorized form of name for the entity, as well as the variant forms of name, should be included as access points to authority data. 5.2.4 Additional access may be provided through names of related entities. 5.3 Authorized Access Points The authorized access point for the name of an entity should be recorded as authority data along with identifiers for the entity and variant forms of name. An authorized access point may be used as a default form for displays in the catalogue. 5.3.1 Authorized a ccess points must be constructed following a standard. 5.3.2 Language and Script of Authorized Access Points When names have been expressed in several languages and/or scripts, preference for an authorized access point for the name should be given based on information found on manifestations of the work expressed in the original language and script; However, if the original language and/or script is not normally used in the catalogue, the authorized access point may be based on forms found on manifestations or in reference sources in one of the languages and/or scripts best suited to the users of the catalogue. Access should be provided in the original language and script whenever possible, through a controlled access point, either the authorized form of name or a variant form of name. If transliterations are desirable, an international standard for script conversion should be followed. 5.3.3 Choice of Preferred Name The name preferred as the authorized access point for an entity should be based on the name that identifi es the entity in a consistent manner, either as most frequently found on manifestations or a well -accepted name suited to the users of the catalogue Choice of Preferred Name for Persons, Families, and Corporate Bodies

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9 If a person, family, or a corporate body uses variant names or variant forms of names, one name or one form of name should be chosen as the basis for the authorized access point. When variant forms of the name are found in manifestations and/or reference sources, and this variation is not based on different presentations of the same name (e.g., full and brief forms), preference should be given to: a) where this is indicated; or b)the official name, where there is no indication of a commonly known or conventional name. If a corporate body has used different names in successive periods that cannot be regarded as minor variations of one name, each entity identi fied by a significant name change should be considered a new entity. The corresponding authority data for each entity should be linked, usually by relating the earlier and later authorized forms of names for the corporate body. Choice of Preferred Title fo r Works , Expressions , Manifestations, and Items When a work has multiple titles, one title should be preferred as the basis for the authorized access point for the work , expression , manifestation, and item. When variant forms of the work title are found in manifestations, preference should be given to: a)the title appearing in the first manifestation of the original expression of th e work, usually in the original language; or b)the title commonly used. 5.3.4 Form of Name for Authorized Access Points Form of Name f or Persons When the name of a person consists of several words, the choice of first word for the authorized access point should follow conventions of the country and language most associated with that person, as found in manifestations or reference sources .12 Form of Name for Families When the name of a family consists of several words, the choice of first word for the authorized access point should follow conventions of the country and language most associated with that family, as found in manifestations or reference sources. Form of Name for Corporate Bodies 12 Names of persons : national usages for entry in catalogues . 4th revised and enlarged edition. München, K.G. Saur, 1996. (UBCIM publications ; new series, v. 16) < /assets/cataloguing/pubs/names -of-persons_1996.pdf >. Updated versions of Name of persons are available online .

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10 For the authorized access point for a corporate body, the name should be given in direct order, as found in manifestations or reference sources, except: when the corporate body is part of a jurisdiction or territorial authority, the authorized access point should include the currently used form of the name of the territory concerned in the language and script best suited to the needs of the users of the catalogue; ubordination, or subordinate function, or is insufficient to identify the subordinate body, the authorized access point should begin with the name of the superior body. Form of Name for Works, Expressions, Manifestations, and Items An authorized access poi nt for a work, expression, manifestation, or item may be created either from a title that can stand alone or from a title combined with the authorized access point for the creator(s) of the work. Distinguishing among Names If necessary, to distinguish an e ntity from others of the same name, further identifying characteristics should be included as part of the authorized access point for an entity. If desirable, the same identifying characteristics may be included as a part of the variant forms of name. 5.4 Vari ant Names and Variant Forms of Name Whatever name is chosen for the authorized access point, the variant names and variant forms of name should also be recorded as authority data for controlled access. Objectives and Functions of the Catalogue The catalogue should be an effective and efficient instrument that enables a user: 6.1 to find bibliographic resources in a collection as the result of a search using attributes or relationships of the entities: to find a single resource or sets of resources repre senting: all resources realizing the same work all resources embodying the same expression all resources exemplifying the same manifestation all resources associated with a given person, family, or corporate body all resources on a given thema all resourc es defined by other criteria (language, place of publication, publication date, content form, media type, carrier type, etc.), usually as a secondary limiting of a search result; 6.2 to identify a bibliographic resource or agent (that is, to confirm that the d escribed entity corresponds to the entity sought or to distinguish between two or more entities with similar characteristics);

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11 6.3 equirements with respect to medium, content, carrier, etc., or 6.4 to acquire or obtain access to an item described (that is, to provide information that will enable the user to acquire an item through purchase, loan, etc., or to access an item electronically through an online connection to a remote source); or to access, acquire, or obtain authority data or bibliographic data; 6.5 to navigate and explore within a catalogue, through the logical arrangement of bibliographic and authority data and the clear presentation of relationships among entities beyond the catalogue, to other catalogues and in non -library contexts. Foundations for Search Capabilities 7.1 Searching Access points 1) provide reliable retrieval of bibliographic and authority data and their associated bibliographic resources and 2) collocate and limit search results. 7.1.1 Searching Devices Names should be searchable and retrievable by means of any d evice available in the given library catalogue or bibliographic file (by full forms of names, by keywords, by phrases, by truncation, by identifiers, etc.). Data should be open and searchable even by non-library devices in order to increase interoperabilit y and reuse. 7.1.2 Essential Access Points Essential access points are those based on the main attributes and relationships of each entity in a bibliographic description. Essential access points in bibliographic data include: authorized access point for the nam e of the creator or first named creator of the work when more than one is named authorized access point for the work/expression (this may include the authorized access point for the creator) title proper or supplied title for the manifestation dates of publication or issuance of the manifestation subject access points and/or classification numbers for the work Essential access points in authority data include: authorized name o f the entity

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