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XML Name Access Control Repository at the 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. Outline. About HKUST Library Background & History of the Repository Goals Underlying Concepts Name Access Control Record (NAC) Metadata Schema

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XML Name Access Control Repository at the Hong Kong University of Science & Technology Library

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  1. XML Name Access Control Repository at the Hong Kong University of Science & Technology Library Louisa Kwok ALA Annual Conference, Chicago 2005 Hong Kong University of Science & Technology Library

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

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

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

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

  6. What is XML Name Access Control Repository? • 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. • Data is represented in XML format derived from the Library of Congress’s MARC XML Schema. Hong Kong University of Science & Technology Library

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

  8. Background (Cont’d) • 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 Hong Kong University of Science & Technology Library

  9. History Inspired by: • Linda Barnhart’s presentation “Access Control Records: Prospects & Challenges” at the conference on Authority Control in the 21st Century 1996 http://digitalarchive.oclc.org/da/ViewObject.jsp?fileid=0000003520:000000091779&reqid=830 • Barbara Tillett’s presentation “Virtual International Authority File” at IFLA Conference 2001 http://www.ifla.org/IV/ifla67/papers/094-152ae.pdf Hong Kong University of Science & Technology Library

  10. 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 <http://hdl.handle.net/1783.1/443> • Result of an experimental project in July 2002 <http://hdl.handle.net/1783.1/668 > • Integrated with cataloging operations in Feb. 2003 • Now has over10,000 records Hong Kong University of Science & Technology Library

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

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

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

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

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

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

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

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

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

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

  21. NAC Metadata Schema(cont’d) <controlfield tag="001">oca03642124</controlfield> <datafield tag="010" ind1=" " ind2=" "> <subfield code="a">n 94066795 </subfield> </datafield> <datafield tag="100" ind1="1" ind2=" "> <subfield code="a">Hsieh, Din-Yu,</subfield> <subfield code="d">1933-</subfield> </datafield> Hong Kong University of Science & Technology Library

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

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

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

  25. Hong Kong University of Science & Technology Library

  26. Interchange of Metadata • Supports “putting” and “getting” of records to and from INNOPAC. • 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. Hong Kong University of Science & Technology Library

  27. Interchange of Metadata (cont’d) • 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. Hong Kong University of Science & Technology Library

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

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

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

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

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

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

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

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

  36. Splitting an NAC Record(cont’d) <datafield ... reftype="established" marcid="A"> <subfield code="a">Hsieh, Din-Yu,</subfield> <subfield code="d">1933-</subfield> </datafield> <datafield ... reftype="established" marcid="B"> <subfield code="a">Ding, Yi,</subfield> <subfield code="d">1933-</subfield> </datafield> <datafield ... reftype="see" marcid="A"> <subfield code="a">Hsieh, D. Y.</subfield> <subfield code="q">(Din-Yu),</subfield> <subfield code="d">1933-</subfield> </datafield> Hong Kong University of Science & Technology Library

  37. 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- Hong Kong University of Science & Technology Library

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

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

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

  41. Hong Kong University of Science & Technology Library

  42. Public View of an NAC Record Hong Kong University of Science & Technology Library

  43. Hong Kong University of Science & Technology Library

  44. Get a Record from INNOPAC into the Repository Hong Kong University of Science & Technology Library

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

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

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

  48. Hong Kong University of Science & Technology Library

  49. An Enhanced Authority Record in INNOPAC Hong Kong University of Science & Technology Library

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

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