![xiv Preface
Online Catalog, bibliographic records from the RDA sample set assembled by mem-
bers of the Program for Cooperative Cataloging (PCC) Standing Committee on
Training (SCT) RDA Records Task Group, and authority records from Library of
Congress Authorities.
The examples assume a basic familiarity with MARC encoding; readers wishing
for introductory as well as detailed information about MARC are urged to consult
the MARC Standards website. Note that the following conventions are used in this
book for the representation of MARC field indicators: # is used when the indicator is
defined, but the value is not specified in the example; and either [blank space] or [un-
derscore] is used when the indicator is undefined or it is defined and its value is [blank]
in the example. Note also that the MARC examples include ISBD punctuation.
HOW TO USE THIS BOOK
This book can be used in a variety of ways. Part I can be read by those who simply
want a basic understanding of the background that led to the development of RDA.
Part II can serve as a summary of RDA for someone wanting more knowledge about
RDA than is contained in part I. Part II can also be used as a guide to the RDA
Toolkit, which is the online product containing the full, and most current, version
of RDA. Finally, part III can function as a reference for anyone wanting to consult a
detailed outline of the instructions in RDA. Part III provides detailed examples that
are useful to catalogers who need to create or modify MARC records created using
RDA, as well as to anyone who wishes to understand these records. Part III should
ideally be used in conjunction with the RDA Toolkit.
Although every effort has been made to make this book consistent with RDA in-
structions as of July 2013, these instructions are subject to almost constant revision
and change. Similarly, every effort has been made to ensure that references to the
MARC formats are current as of July 2013, but changes are also made from time to
time to these formats. Furthermore, RDA is often applied in the United States in
accord with Policy Statements developed by the Library of Congress in consultation
with the Program for Cooperative Cataloging. Referred to as “LC-PCC PS,” these
Policy Statements are also subject to relatively frequent revision; they are freely avail-
able as part of the RDA Toolkit.
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![25
3
Major Differences between
RDA and AACR2
The first two chapters provided an overview of RDA’s development, its objectives
and principles, and the underlying models that shaped its structure and much of its
terminology. This chapter details some of the common differences between AACR2
and RDA, pulling from many of the issues covered in the previous chapters to con-
textualize these changes.
Because RDA records are expected to coexist in the same databases as AACR2
records, RDA instructions were written to be compatible with AACR2. Thus, there are
many similarities between the two standards. Some stem from carrying AACR2 rules
over into RDA with no alteration. Others arise from application of an RDA objective
or principle, which renders similar looking data with a few cosmetic differences.
There are, however, many differences that result from either significantly chang-
ing an AACR2 rule, not carrying an AACR2 rule over into RDA, or introducing an
RDA instruction that did not exist in AACR2. Any combination of these intricate
factors can provide the rationale for a difference—be it major or minor—between
the two standards. This chapter attempts to synthesize the complexities involved to
offer a more simplified, predictable way to anticipate these changes.
CHANGES IN ORGANIZATION
When the JSC shifted the direction from writing the third edition of AACR to creat-
ing the standard that became RDA, the committee modified their strategic plan and
developed a set of long-term goals. One of these goals was to “provide a consistent,
flexible and extensible framework for both the technical and content description of
all types of resources and all types of content.” One way that the JSC aimed to meet
this goal was to “[a]lign the structure, concepts and terminology of the instructions
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![26 Chapter 3
more directly with the FRBR and FRAD models.” This has resulted in a radical dif-
ference in the organization of RDA instructions compared with AACR2.
Whereas AACR2 chapters are organized, roughly, by type of format (AACR2
Part I) and type of heading (AACR2 Part II), RDA chapters are organized by bib-
liographic entities, the attributes and relationships of these entities, and user tasks.
The chapters in Part I of AACR2 are further broken down by ISBD area, whereas
RDA chapters are further broken down by elements. Thus, catalogers accustomed to
using AACR2 in the MARC environment will have to suppress the impulse to look
for RDA instructions based on format, ISBD area, and type of heading. Instead,
they will have to think about how the MARC data elements relate to the FRBR
and FRAD models and search for the analogous instructions within this framework.
Another goal of the JSC was to “ensure that descriptions and access points pro-
duced through the application of RDA meet the goals for functionality.” Therefore
the committee aimed to “[d]irectly relate the elements of the description and access
points to the user tasks that they support.” In RDA, this materialized into the objec-
tive responsiveness to users’ needs.
As mentioned in chapter 2 of this book, RDA Sections 3 and 4 address the identify
user task, and RDA Sections 5–10 address the find user task. However, RDA Sec-
tions 1 and 2 address more than one user task. RDA Section 1, Chapter 2 contains
instructions that address the identify task; RDA Section 1, Chapter 3 addresses the
select task; and RDA Section 1, Chapter 4 addresses the obtain task. RDA Section
2, Chapter 6 addresses the identify task, and RDA Section 2, Chapter 7 addresses
the select task.
It is important to understand how the user tasks are tied to chapters within RDA
Sections 1 and 2, because this often explains why two adjacent MARC fields and
subfields are in two different areas of RDA. For example, many of the 2XX fields
in MARC bibliographic records correspond to instructions in RDA Chapter 2, be-
cause these 2XX fields encode information that helps users identify a manifestation.
For books, many of the MARC 3XX fields in bibliographic records correspond to
instructions in RDA Chapter 3, because these 3XX fields encode information that
helps users select a manifestation. However, the instructions for recording data en-
coded in the MARC 336 field are found in RDA Chapter 6, because this informa-
tion helps users identify an expression, and the instructions for recording illustrative
content that is encoded in the MARC 300 $b are found in RDA Chapter 7, because
this information helps users select an expression.
In the format-based structure of AACR2, much of this information would be
contained in one or two chapters. For example, all of the AACR2 rules that apply
to a book and that correspond to the MARC bibliographic fields 2XX through
5XX (often referred to as the description) can be found in the “General Rules for
Description” and the “Books, Pamphlets, and Printed Sheets” chapters of AACR2.
In contrast, to find the analogous instructions in RDA, catalogers will really have to
know which entity is involved, whether or not it is an attribute or a relationship, and
which user task is being addressed.
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![Major Differences between RDA and AACR2 27
CHANGES IN TERMINOLOGY
Another goal of the JSC was to create instructions that would be “usable primarily
within the library community, but be capable of adaptation to meet the specific
needs of other communities.” To this end, the JSC aimed to “[r]evise and modernise
terminology to eliminate unnecessary library jargon, and eliminate ambiguous and
inconsistent terminology.” Therefore, although many AACR concepts were carried
over into RDA, terminology was changed. For example, the term “heading,” though
the concept was carried over into RDA, was altered to “access point.” Taking this
further, “authorized heading” was changed to “authorized access point”; “personal
name heading” was changed to “authorized access point representing the person”;
and “uniform title” was changed to “preferred title” for the work or expression. Other
terms, like “see reference” and “see also reference,” were brought over to RDA as
“variant access point” and “authorized access point representing the related [entity],”
respectively.
Terms like “entry” introduce complications when comparing terminology be-
tween AACR2 and RDA. The terminology of main and added entry was not carried
over into RDA. However, there are some RDA elements that, by and large, fill the
same roles as main and added entries. Thus, catalogers working in the MARC envi-
ronment who are familiar with the AACR2 instruction to “enter a work . . . under
the heading for . . . [a person or corporate body]” will, when using RDA, generally
construct an authorized access point for the first (or only) named creator and encode
it in the 100 or 110 or 111 field of the MARC record, as well as using that access
point when formulating the “authorized access point for a work.” Along similar lines,
“added entries” in AACR2 have become “access points for other persons, families, or
corporate bodies associated with a work” or “access points for contributors” in RDA.
And the AACR2 “series added entry” has become an “access point for the related
work” in RDA.
CONCEPTUAL DIFFERENCES
Just as there are differences in terminology, there are conceptual differences from
AACR2 that, when understood, will better guide the cataloger in the use of RDA.
First is the conceptual difference of “rules” versus “instructions.” AACR2 has stricter
guidelines—referred to as “rules”—that often direct the cataloger to alter or omit
data, and it provides fewer options for recording data. RDA guidelines are seen as
“instructions” that are more flexible and allow more room for the cataloger’s judg-
ment. For example, in many cases AACR2 directs the cataloger to omit all but the
first of more than three of the same data elements. While RDA allows this omission,
it does not require it.
Another conceptual difference can be seen in that AACR2 provides guidelines for
three levels of description, whereas RDA provides a set of core and “beyond core”
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![30 Chapter 3
source for a printed book encompasses three options, with no one source preferred
over the others: title page, other preliminaries, and colophon. Publication data on the
title page sometimes differ from those in other areas on the resource. With the less
precise directives from AACR2, the source of information can be chosen inconsis-
tently from cataloger to cataloger, yielding a variety of possible renderings of the
data. RDA’s more precise and granular directive may yield more consistent choices
for sources of information that will better identify a resource and distinguish it from
similar resources.
CONTENT, CARRIER, AND REPLACEMENT OF THE GMD
The JSC had as a goal to “provide a consistent, flexible and extensible framework
for both the technical and content description of all types of resources and all types
of content.” In addition to aligning RDA with FRBR and FRAD, another way that
the committee aimed to meet this goal was to “[r]esolve problems associated with
the class of materials concept and the related issue of GMDs.” They also sought to
“[e]xtend consistency within the technical and content description, and eliminate
unnecessary redundancy.”
The general material designation (GMD) in AACR2 posed problems, because it
inconsistently used terms related to the content description (such as “cartographic
material” and “sound recording”) and the technical description (such as “microform”
and “videorecording”). It sometimes provided one term that could describe a variety
of resources. For example, any resource accessed via the Internet would be given the
GMD “electronic resource,” regardless of whether it was textual, cartographic, or au-
diovisual. To address this, the RDA divides the aspects of different classes of materials
into three elements: content type, media type, and carrier type.
Content type details the form in which a resource is expressed, such as text, still im-
age, spoken word, two-dimensional moving image, and three-dimensional object. Media
type is an aspect of the physical description that details the type of intermediation
device needed to access the content. Some examples are audio, computer, and video. If
no intermediation device is needed to access the content—as would be the case with
a book—then the media type is unmediated. Finally, carrier type details the physical
form in which the content is embodied, such as audiocassette, online resource, video-
disc, and volume. Together, these three elements successfully separate aspects of the
content from those of the carrier and provide more granular information about the
format of a resource than the GMD. Because of this, the GMD concept was carried
over into RDA but significantly altered so that it was replaced collectively by content
type, media type, and carrier type.
In addressing the aim to eliminate redundancy, the JSC abandoned the AACR2
approach of relegating similar instructions for the technical and content description
of resources to the GMD and physical description area (ISBD areas 2 and 5) of each
chapter in Part I. Instead, the committee introduced two chapters in RDA: one for
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![Major Differences between RDA and AACR2 31
describing carriers (Chapter 3) and another for describing content (Chapter 7). In
these chapters, the instructions are provided in one location rather than repeatedly,
as was done across analogous areas of AACR2 Part I chapters.
For example, AACR2 guidelines for describing color content can be found in “Area
5” of the general instructions in AACR2 Chapter 1. Additional guidelines for describing
color content can also be found in the same area of AACR2 Chapter 2 (“Books, Pam-
phlets, and Printed Sheets”), AACR2 Chapter 3 (“Cartographic Materials”), AACR2
Chapter 7 (“Motion Pictures and Videorecordings”), AACR2 Chapter 8 (“Graphic
Materials”), AACR2 Chapter 9 (“Electronic Resources”), and AACR2 Chapter 12
(“Continuing Resources”). In RDA the guidelines for describing color content are
found only in RDA Chapter 7, at instruction 7.17. Instructions for describing color
content for specific types of resources are found in subsections within this instruction.
To understand where RDA instructions are for the physical description area
and for data that used to be in the GMD area, catalogers need to develop a better
understanding of which bibliographic elements carry “content” information versus
“carrier” information. For example, if the MARC 300 $a contains information about
pagination, then this is an aspect of the carrier, so the relevant instructions are found
in RDA Chapter 3. However, if the MARC300 $a contains information about dura-
tion, then this is an aspect of the content, so the relevant instructions are found in
RDA Chapter 7. Likewise, if the MARC 300 $b contains information about illustra-
tive, sound, or color content, then these are aspects of the content, and the relevant
instructions are in RDA Chapter 7. However, if the MARC 300 $b contains infor-
mation about the type of recording or the configuration of playback channels, then
these are aspects of the carrier, so the relevant instructions are in RDA Chapter 3.
ELIMINATION OF THE “RULE OF THREE”
A long-term goal of the JSC was to provide instructions for recording access points
that met the general objectives of functionality and adaptability. To meet this goal,
the JSC aimed to “[r]evise the instructions relating to the choice of access points to
address issues associated with the concept of ‘authorship’ as it is currently reflected in
AACR2 and restrictions imposed by the ‘rule of three.’” In short, the AACR2 “rule
of three” was not carried over into RDA.
In AACR2, if up to three authors or contributors are associated with a resource,
then access points would be provided for all of them. However, if there were more
than three authors or contributors, then only the first one named would have an
access point added to the record. Moreover, if a resource had three or fewer authors,
then the first author would be entered as the main entry (or in the 1XX field of a
bibliographic record). However, if there were more than three authors, then the first
would be recorded as an added entry (or in the 7XX field of a record). This has
implications for the identification of works, where if three or few authors are as-
sociated with a work, then the AACR2 entry for the work includes the name of the
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- 6. Making the Move to RDA A Self-Study Primer for Catalogers Chamya Pompey Kincy with Sara Shatford Layne ROWMAN & LIT TLEFIELD Lanham • Boulder • New York • Toronto • Plymouth, UK WEB.indb 1 1/7/14 2:20 PM
- 7. Published by Rowman & Littlefield 4501 Forbes Boulevard, Suite 200, Lanham, Maryland 20706 www.rowman.com 10 Thornbury Road, Plymouth PL6 7PP, United Kingdom Copyright © 2014 by Rowman & Littlefield All rights reserved. No part of this book may be reproduced in any form or by any electronic or mechanical means, including information storage and retrieval systems, without written permission from the publisher, except by a reviewer who may quote passages in a review. British Library Cataloguing in Publication Information Available Library of Congress Cataloging-in-Publication Data Kincy, Chamya Pomey, 1976- Making the move to RDA : a self-study primer for catalogers / Chamya Pomey Kincy with Sara Shatford Layne. pages cm Includes bibliographical references and index. ISBN 978-0-8108-8769-5 (pbk. : alk. paper) — ISBN 978-0-8108-8770-1 (ebook) 1. Resource description & access—Handbooks, manuals, etc. 2. Descriptive cataloging— Standards—Handbooks, manuals, etc. I. Layne, Sara Shatford. II. Title. Z694.15.R47K56 2014 025.3'2—dc23 2013035367 ™ The paper used in this publication meets the minimum requirements of American National Standard for Information Sciences—Permanence of Paper for Printed Library Materials, ANSI/NISO Z39.48-1992. Printed in the United States of America WEB.indb 2 1/7/14 2:20 PM
- 8. This book is dedicated to Chamya’s mother, Gwendolyn Jean Kincy WEB.indb 3 1/7/14 2:20 PM
- 9. WEB.indb 4 1/7/14 2:20 PM
- 10. v Chamya Pompey Kincy had almost finished writing this book when a devastating cancer claimed her at the age of 37. With the assistance of colleagues Luiz Mendes, John Riemer, and Hermine Vermeij, Sara Shatford Layne completed this book fol- lowing Chamya’s untimely passing. Chamya was so very happy when she could help others, and this book was part of her efforts to help other librarians. She is remem- bered with gratitude for her dedication to her work, her kindness, and her generosity. In Memoriam Chamya Pompey Kincy February 27, 1976–July 20, 2013 WEB.indb 5 1/7/14 2:20 PM
- 11. WEB.indb 6 1/7/14 2:20 PM
- 12. vii Contents Essential Acronyms Decoded and Explained ix Preface xiii Part I. Understanding RDA’s Background and Use 1 Development, Objectives, and Principles 3 2 Underlying Models and Organization 11 3 Major Differences between RDA and AACR2 25 Part II. Mastering RDA Basics 4 Attributes of Manifestations and Items 37 5 Attributes of Works and Expressions 81 6 Attributes of Persons, Families, Corporate Bodies, and Places 125 7 Recording Relationships 171 Part III. Applying RDA in the MARC Environment 8 Creating and Interpreting Bibliographic Records for Books 201 9 Creating and Interpreting Bibliographic Records for Nonbook Resources 245 10 Creating and Interpreting Authority Records 279 Bibliography 315 Index 317 About the Authors 331 WEB.indb 7 1/7/14 2:20 PM
- 13. WEB.indb 8 1/7/14 2:20 PM
- 14. ix Essential Acronyms Decoded and Explained AACR2: Anglo-American Cataloguing Rules, Second Edition. A code of cataloging rules prepared by the American Library Association and other organizations, first published in 1978, and widely used beginning in the early 1980s. AACR2 was su- perseded in 2013 by RDA (Resource Description and Access) for cataloging done by many national libraries. CONSER: Cooperative Online Serials Program of the PCC. “CONSER is an authori- tative source for bibliographic records, documentation, and training materials for serials cataloging” (http://www.loc.gov/aba/pcc/conser/). DACS: Describing Archives: A Content Standard. DACS was approved by the Society of American Archivists in 2004. “DACS is an output-neutral set of rules for describ- ing archives, personal papers, and manuscript collections, and can be applied to all material types” (http://www.archivists.org/governance/standards/dacs.asp). FRAD: Functional Requirements for Authority Data. This report by the IFLA Work- ing Group on Functional Requirements and Numbering of Authority Records (FRANAR) was first published in 2009. It serves as a conceptual foundation for RDA. http://www.ifla.org/publications/functional-requirements-for-authority-data. FRBR: Functional Requirements for Bibliographic Records. This report of the IFLA Study Group on Functional Requirements for Bibliographic Records was first pub- lished in 1998. FRBR serves as a conceptual foundation for RDA. http://www.ifla .org/publications/functional-requirements-for-bibliographic-records. WEB.indb 9 1/7/14 2:20 PM
- 15. x Essential Acronyms Decoded and Explained FRSAD: Functional Requirements for Subject Authority Data. This report of the IFLA Working Group on Functional Requirements for Subject Authority Records (FRSAR) was first published in 2011. http://www.ifla.org/publications/ifla-series -on-bibliographic-control-43. GMD: General Material Designation. A term used in AACR2 to describe the general nature of the format of a resource. Examples of GMDs are “microform” and “sound recording.” IFLA: International Federation of Library Associations and Institutions. “The Inter- national Federation of Library Associations and Institutions (IFLA) is the leading international body representing the interests of library and information services and their users” (http://www.ifla.org/about). ISBD: International Standard Bibliographic Description. A standard developed and maintained by IFLA. A consolidated edition was published in 2011. http://www.ifla .org/publications/international-standard-bibliographic-description. JSC: Joint Steering Committee for Development of RDA. http://www.rda-jsc.org/rda .html. LC: Library of Congress. http://www.loc.gov/index.html. LCNAF: Library of Congress Name Authority File. The common name for what is of- ficially the LC/NACO Authority File, as the records in it are created not just by the Library of Congress but also by NACO participants from many other agencies. It is freely available via the Library of Congress linked data service as Library of Congress Names (http://id.loc.gov/authorities/names.html), Library of Congress Authorities (http://authorities.loc.gov), and also, for subscribers, via OCLC. “The Library of Congress Name Authority File (NAF) file provides authoritative data for names of persons, organizations, events, places, and titles” (Library of Congress Names website). LC-PCC PS: Library of Congress-Program for Cooperative Cataloging Policy Statement. RDA provides many options. These Policy Statements reflect decisions made regard- ing RDA implementation at LC and PCC libraries and others who wish to follow their decisions. LCSH: Library of Congress Subject Headings. A vocabulary for subject access, devel- oped and maintained by the Library of Congress. It is freely available via Library of Congress Authorities (http://authorities.loc.gov) and the Library of Congress linked data service as Library of Congress Subject Headings (http://id.loc.gov/authorities/ subjects.html). WEB.indb 10 1/7/14 2:20 PM
- 16. Essential Acronyms Decoded and Explained xi MARC: Machine Readable Cataloging. MARC is a standard developed by Henriette Avram at the Library of Congress in the late 1960s. It is currently maintained by the Network Development and MARC Standards Office at the Library of Congress. “The MARC formats are standards for the representation and communication of bibliographic and related information in machine-readable form” (http://www.loc .gov/marc/). MeSH: Medical Subject Headings. A vocabulary for subject access to medical topics, developed and maintained by the U.S. National Library of Medicine (NLM). MeSH is freely available via the MeSH Browser. http://www.nlm.nih.gov/mesh/. NACO: Name Authority Cooperative Program of the PCC. “Through this program, participants contribute authority records for personal, corporate, and jurisdictional names; uniform titles; and series headings to the LC/NACO Authority File” (http:// www.loc.gov/aba/pcc/naco/). NLM: National Library of Medicine. http://www.nlm.nih.gov/about/. OCLC: “OCLC” is no longer technically an acronym, but is rather the current name of a not-for-profit organization: “a worldwide library cooperative, owned, governed and sustained by members since 1967 . . . Our public purpose is to establish, main- tain and operate a computerized library network” (http://www.oclc.org). PCC: Program for Cooperative Cataloging. “The PCC is an international cooperative effort aimed at expanding access to library collections by providing useful, timely, and cost-effective cataloging that meets mutually-accepted standards of libraries around the world” (http://www.loc.gov/aba/pcc/). RDA: Resource Description and Access. RDA is a cataloging standard implemented widely in 2013. It is available as part of the online product RDA Toolkit (http:// www.rdatoolkit.org/). WEB.indb 11 1/7/14 2:20 PM
- 17. WEB.indb 12 1/7/14 2:20 PM
- 18. xiii Preface As the title Making the Move to RDA: A Self-Study Primer for Catalogers suggests, this book is intended as a guide for catalogers new to applying RDA: Resource Description and Access. Although this book can be used by catalogers who are completely new to cataloging, it is hoped that it will be particularly useful to ex- perienced catalogers who are familiar with the code of rules that has been widely used for the last thirty years, Anglo-American Cataloguing Rules, Second Edition, commonly known as AACR2, but who are less familiar with RDA. Understanding how to use RDA for cataloging can be a daunting prospect. It is hoped that this book will help those who need to understand RDA, particularly those who need to apply it in a MARC environment. WHAT IS IN THIS BOOK? This book is divided into three parts. Part I, consisting of chapters 1–3, provides the history of the development of RDA, then explains the underlying models and the resulting organization of RDA, and finishes by examining the major differ- ences between RDA and its predecessor, AACR2. Part II, consisting of chapters 4–7, summarizes RDA itself, explaining the major instructions contained in RDA and giving examples in MARC coding. Part III, consisting of chapters 8–10, shows how RDA plays out in the creation and interpretation of bibliographic and authority records in the MARC environment, using examples of MARC fields and MARC records. Examples used in part II of this book come primarily from RDA itself. The record examples in part III are based on bibliographic records from the Library of Congress WEB.indb 13 1/7/14 2:20 PM
- 19. xiv Preface Online Catalog, bibliographic records from the RDA sample set assembled by mem- bers of the Program for Cooperative Cataloging (PCC) Standing Committee on Training (SCT) RDA Records Task Group, and authority records from Library of Congress Authorities. The examples assume a basic familiarity with MARC encoding; readers wishing for introductory as well as detailed information about MARC are urged to consult the MARC Standards website. Note that the following conventions are used in this book for the representation of MARC field indicators: # is used when the indicator is defined, but the value is not specified in the example; and either [blank space] or [un- derscore] is used when the indicator is undefined or it is defined and its value is [blank] in the example. Note also that the MARC examples include ISBD punctuation. HOW TO USE THIS BOOK This book can be used in a variety of ways. Part I can be read by those who simply want a basic understanding of the background that led to the development of RDA. Part II can serve as a summary of RDA for someone wanting more knowledge about RDA than is contained in part I. Part II can also be used as a guide to the RDA Toolkit, which is the online product containing the full, and most current, version of RDA. Finally, part III can function as a reference for anyone wanting to consult a detailed outline of the instructions in RDA. Part III provides detailed examples that are useful to catalogers who need to create or modify MARC records created using RDA, as well as to anyone who wishes to understand these records. Part III should ideally be used in conjunction with the RDA Toolkit. Although every effort has been made to make this book consistent with RDA in- structions as of July 2013, these instructions are subject to almost constant revision and change. Similarly, every effort has been made to ensure that references to the MARC formats are current as of July 2013, but changes are also made from time to time to these formats. Furthermore, RDA is often applied in the United States in accord with Policy Statements developed by the Library of Congress in consultation with the Program for Cooperative Cataloging. Referred to as “LC-PCC PS,” these Policy Statements are also subject to relatively frequent revision; they are freely avail- able as part of the RDA Toolkit. WEB.indb 14 1/7/14 2:20 PM
- 20. I UNDERSTANDING RDA’S BACKGROUND AND USE WEB.indb 1 1/7/14 2:20 PM
- 21. WEB.indb 2 1/7/14 2:20 PM
- 22. 3 1 Development, Objectives, and Principles Many catalogers are familiar with the differences between AACR2 and RDA, but there are also significant similarities between the two standards. Areas of change and continuity may seem arbitrary and often difficult to remember without knowing the context behind them. This chapter details the rationale for RDA’s development in order to shed some light on why some guidelines were changed and why some remained the same. It also covers RDA’s stated objectives and principles to further elucidate the similarities and differences between the two standards. HISTORY OF THE DEVELOPMENT RDA was originally envisioned as the Anglo-American Cataloguing Rules, 3rd Edition (AACR3). It was developed by the Joint Steering Committee for Revision of AACR (JSC) in line with its 2005–2009 Strategic Plan for AACR. The Strategic Plan’s goals called for structural, conceptual, and terminological changes from AACR2 that would better align the standard with international efforts to improve access to resources within the digital context. The rules would be based on a variety of inter- national cataloging standards and principles, particularly the Functional Requirements for Bibliographic Records (FRBR), a conceptual model published in 1998. The rules would also be more compatible with other metadata standards and incorporate the concept of authority control. The Strategic Plan also aimed to provide instructions that more comprehensively addressed resources of all types and to write the guidelines within a framework that would accommodate emerging formats over time. AACR2 Part I comprises chapters that are devoted to a limited set of format types, which makes it difficult to incor- porate rules for new formats into the standard’s structure. The rules in AACR2 also WEB.indb 3 1/7/14 2:20 PM
- 23. 4 Chapter 1 do not clearly distinguish between the content and the physical aspects of a resource, often conflating these attributes into one data element. AACR3 would be reorga- nized and provide special instructions on content and media types to address these concerns. This would eliminate many of the redundancies found across the format- based chapters of AACR2 Part I, which was another aim of AACR3. AACR3 was projected to comprise three parts offering guidelines similar to AACR2, but within a different organizational framework. Part I would provide instructions similar to AACR2 Part I, but would be organized into three sections: general rules, supplementary rules for specific types of content, and supplementary rules for specific types of media. Part II would be based on AACR2 Chapter 21 (“Choice of Access Points”) and would provide guidelines for adding access points that represent relationships among resources and relationships between resources and the entities responsible for them. Part III would incorporate authority control principles. As such, it would provide guidelines for formulating authorized and vari- ant access points for persons, corporate bodies, titles, and other entities along lines similar to those in Chapters 22–26 of AACR2. Part III would also provide guidelines for recording the attributes of these entities. The draft of AACR3 Part I was submitted for constituency review in December 2004, and the JSC deliberated on the constituencies’ comments during its April 2005 meeting. The constituencies agreed with the goals of the JSC’s Strategic Plan, but they expressed dissatisfaction with Part I’s organization and with the language of the text, which some considered to be abstruse and rife with library jargon. The constituencies also believed that the code should be modeled on metadata standards used by other communities beyond the library context. Based on constituency feedback, the JSC decided to embark on a new direction for revising AACR. The committee argued that the current digital environment is different from the one in which AACR2 was developed, and that it posed new challenges that would be more adequately addressed by a new standard for resource description and access. This new standard would be based on AACR2. However, the structure would be more aligned with the two conceptual models that define the functional requirements for bibliographic and authority records: FRBR and Functional Requirements for Authority Data (FRAD). The new standard would also separate the instructions for recording data from the instructions for displaying data and would have a more “user-friendly” layout and format. To signify this change in direction, the new standard was renamed Resource Description and Ac- cess, or RDA. After its 2005 meeting, the JSC rewrote and reorganized the standard and issued drafts of the text from December 2005 through November 2008 for constituency review. Throughout the review period, the JSC met twice a year to deliberate on constituency responses and make decisions on revision proposals. In June 2009, the JSC delivered the full text of the new standard to the publishers of RDA. In 2010, the text was released as part of an online product called RDA Toolkit. WEB.indb 4 1/7/14 2:20 PM
- 24. Development, Objectives, and Principles 5 THE CURRENT TEXT OF RDA RDA emerged from the development and review process as a cataloging standard framed within the theoretical context of FRBR and FRAD, yet brimming with in- structions that were carried over from AACR2. Many of the instructions are similar, if not identical, to AACR2, which facilitates coexistence of records described using both standards. However, there are some significant differences that have resulted from the effort to make RDA more responsive to the end user’s needs and to make it more extensible and adaptable by other communities. The instructions were written to be simpler to understand and with terminology more in keeping with other meta- data standards. The instructions also encourage avoiding esoteric terminology in the recording of data to make this data more understandable to today’s users. AACR3 was originally envisioned as a loose-leaf product, similar to AACR2. However, RDA was the result of the JSC’s fundamental shift in direction toward a standard created within the digital context. Thus, RDA was written to be operable in a web-based environment, and its primary format is an online product—the RDA Toolkit—with print derivatives issued periodically. For RDA’s ultimate organization, the JSC abandoned the three-part precept and divided RDA into thirty-seven chapters in ten sections, each tied inextricably to FRBR and FRAD concepts. Two of the chapters provide extensive guidelines for addressing a variety of formats (including digital formats) and offer instructions for describing the physical aspects of a resource, the formatting and encoding of infor- mation stored in the resource, and the content of the resource. Several other chapters provide guidelines that address the recording of authority data, which was not explic- itly addressed in AACR2. In addition to the main chapters, appendices were added to provide guidance on the presentation of data and other supplemental instructions. The resulting text is substantially different from AACR2, yet grounded in many of AACR2’s cataloging tenets. Even with a firm understanding of RDA’s develop- ment and rationale, it may still be difficult to tease out, let alone understand, areas of change and of continuity. To further elucidate this, RDA includes a list of four objec- tives and eight principles that may help contextualize the similarities and differences. RDA OBJECTIVES Responsiveness to User Needs The first objective of RDA is responsiveness to user needs, which means that the data describing resources should enable the user to carry out a variety of tasks. First, the data should help users find all relevant resources in response to their search criteria. To this end, the instructions are written so that catalogers will record all the attri- butes and relationships that thoroughly connect users with their desired resources. WEB.indb 5 1/7/14 2:20 PM
- 25. 6 Chapter 1 The data should also help users find all resources that embody a work; all resources associated with a person, family, or corporate body; persons, families, and corporate bodies associated with other persons, families, or corporate bodies; and all resources on a given subject. In meeting this aim, RDA provides an extensive set of instruc- tions for describing various types of relationships. Recording primary relationships helps organize resources for better navigability for the user. Recording responsibility relationships helps users find all the resources created or produced by a particular entity. Recording subject relationships helps users find all the resources on a given topic. The data should help users identify resources and the entities responsible for the creation or production of those resources. This often means recording data in a way that helps users confirm that the resource or responsible entity found in a search result corresponds to the one that was sought. To facilitate this, RDA instructions encourage transcription of data that faithfully represent the unique attributes of a particular resource to better ensure unambiguous identification. Helping users iden- tify resources and the entities responsible for them sometimes means providing data that help them distinguish between similarly named entities. Thus, RDA provides guidelines on recording additional data in access points that help users readily differ- entiate between two or more entities within a browse list. It also provides guidelines for recording additional attributes in bibliographic and authority records that can give the user further confirmation that the entity found corresponds with the one that was sought. The data should help users select a resource based on its physical characteristics, intended audience, language, or other attributes. One of the main aims for RDA was to tease out the characteristics related to carrier from those related to content. In meeting this aim, RDA provides a chapter of instructions that has as its goal the recording of data that will help users select a resource based on carrier attributes and a separate chapter that has the same goal for content attributes. The data should help users obtain a resource by purchase, loan, or accession via the Internet. RDA provides instructions for recording data to facilitate this user task. Finally, RDA states that the data should help users understand the relationship between entities, the relationship between different forms of names for the same entity, and the reason that a name or title was chosen as the preferred form for an entity. In meeting this aim, RDA provides specific instructions on authority control that encourage catalogers to record information that helps users understand the ra- tionale behind why authorized and variant forms of names and titles are chosen and to document any relevant relationships they may have. Cost Efficiency The second objective, cost efficiency, means that the data should meet functional requirements for the support of user tasks in a cost-efficient manner. RDA instructions lack many of the cataloging-specific conventions prescribed in AACR2, such as how WEB.indb 6 1/7/14 2:20 PM
- 26. Development, Objectives, and Principles 7 data should be abbreviated and when data should be omitted. Moreover, when there is more than one of the same type of data element listed for a resource, RDA allows for omission of all but the first. The end result is a set of instructions that can be learned more quickly and that facilitate the streamlining of workflows, both of which can lead to cost savings. Flexibility Flexibility, the third objective, means that the data should function independently of the format, medium, or system used to store or communicate the data. They should be amenable to use in a variety of environments. Unlike AACR2, RDA was written out- side of the card catalog context. Thus, the instructions do not prescribe truncation or omission of data along the same space-saving conventions as AACR2. Moreover, the card catalog–based terminology of main and added entry is absent from RDA. Furthermore, the instructions are not written within the MARC-centric dichotomy of bibliographic and authority records. They are written in terms of the attributes of and relationships among resources and the entities associated with them. RDA instructions prescribe the recording of data that can be encoded into the MARC record. However, the instructions are flexible enough to be applied in the non- MARC context as well. Continuity Finally, Continuity means that the data should be amenable to integration into exist- ing databases (particularly those developed using AACR and related standards). Though most catalogers tend to focus on the differences between AACR2 and RDA, they have more similarities. This is because RDA is based on AACR2, with many of the latter’s rules carried over into RDA with little, if any, modification (save for a differ- ence in the wording of the instructions). This facilitates the coexistence of AACR2 and RDA records within the same database. Many catalogers will find that the same information is coded in many of the same fields in the same manner, but with a few changes in abbreviation conventions or other differences. For example, if users wanted to check the record for the presence of a bibliogra- phy, they would find this information in the 504 field, regardless of the cataloging standard used for describing the data. They might even see similar wording, such as “Includes bibliographical references.” The only difference would be if there were a page span involved; an AACR2 record would precede the page span with the ab- breviation “p.,” whereas an RDA record would precede it with the spelled-out form of the word “page.” This would at most create inconsistency for the user, in terms of seeing the abbreviated form sometimes and the spelled-out form at other times. However, the meaning of the data, their location in the record, and the general word- ing in which they are conveyed is the same, so that users can rely on this information, whether it is in an AACR2 record or an RDA record. WEB.indb 7 1/7/14 2:20 PM
- 27. 8 Chapter 1 RDA PRINCIPLES Differentiation Differentiation means that the data should differentiate one resource from another. The data describing an entity associated with a resource should differentiate that entity from other entities. To help meet the objective of responsiveness to users’ needs, RDA instruc- tions encourage addition of data beyond the core set of elements needed to describe a resource or an entity associated with a resource, if the cataloger feels this is necessary for distinguishing that resource or entity from others. One example of this is the ad- dition of a note explaining the unique characteristics of a particular resource. Another is the addition of a term of profession or occupation to the authorized access point representing a person, to distinguish that person from another similarly named person. Sufficiency Sufficiency means that the data should be sufficient to meet the user’s needs with respect to selection of an appropriate resource. To further meet its objective of respon- siveness to users’ needs, RDA parses out attributes related to the content from those related to the carrier and provides a plethora of guidelines for recording both sets of attributes. This facilitates a more comprehensive, granular description of the data, so that a user can choose, for example, a resource that is an unmediated English- language text with illustrations, an online bilingual text without illustrations, or a spoken-word Spanish narrative on audiocassette. Relationships Relationships means that the data should indicate significant relationships between a resource and other resources and entities associated with it. RDA places a greater emphasis on relationships than AACR2 did. Indeed, twenty-one out of thirty-seven chapters in RDA are devoted to providing instructions for recording various types of relationships. Moreover, RDA provides instructions on recording relationship designators that clarify the nature of the relationship and provides appendices with an open list of specific terms and phrases that can be used. For example, a person responsible for the creation of a work could have the designator “author” added to specify the nature of that per- son’s relationship with the work. Likewise, a translation or a revision of a resource could have the designators “translation of” and “revision of” added, respectively. Representation Representation means that the data describing a resource should reflect the resource’s representation of itself. Application of this principle can often result in the most com- monly recognizable changes from AACR2 to RDA. AACR2 prescribes the alteration of data in many ways. It requires the cataloger to apply specific capitalization and ab- WEB.indb 8 1/7/14 2:20 PM
- 28. Development, Objectives, and Principles 9 breviation conventions, instructs the cataloger to truncate or omit data in the state- ment of responsibility, and prescribes abbreviation of data in the edition statement and the publication statement. AACR2 also directs the cataloger to correct inaccura- cies in the title proper and the series statement, among other prescribed practices. RDA encourages catalogers to apply what has come to be known as the “take what you see” approach, in which data are faithfully transcribed into the record as they appear on the resource. As a result, catalogers will see inaccuracies in titles proper corrected in notes rather than in situ. They may also see edition statements and publication data spelled out, fuller statements of responsibility, and even data that are transcribed in all uppercase letters. Attribution Attribution means that the data should reflect attributions of responsibility made either in the resource itself or in reference sources, irrespective of whether the attribution of respon- sibility is accurate. AACR2 discourages false attribution and directs the cataloger to record information that correctly attributes responsibility for a resource. For example, if a fictitious character was cited on the resource as an author, AACR2 rules prescribed against attributing this responsibility through the provision of an access point for that character. However, RDA encourages faithful recording of the relationship between a fictitious character and the resource it is purported to have created or produced. Common Usage or Practice Common usage or practice means that data not transcribed from the resource itself should reflect common usage in the language and script preferred by the agency creating the data. As with representation, application of this principle often results in the re- cording of data that are recognizably different from AACR2. This can be seen most in cases in which AACR2 prescribes Latin abbreviations, for example s.n. and ca., whereas RDA prescribes the spelled-out equivalents in the language of the cataloging agency. For English-language cataloging agencies, this would mean recording pub- lisher not identified and approximately, respectively. Also, because of its international scope, an increasing number of translations of RDA will provide instructions that allow agencies beyond the Anglo-American context to record data in their own lan- guages and scripts. Finally, common usage or practice can be seen in certain RDA instructions that allow common usage terms, such as DVD, to be recorded in the extent, rather than the RDA vocabulary term, videodisc. Uniformity Uniformity means that the appendices on capitalization, abbreviations, order of elements, punctuation, etc., should serve to promote uniformity in the presentation of data describing a resource or an entity associated with a resource. To extend the reach of RDA beyond the library community, the JSC strategically separated the instructions for recording WEB.indb 9 1/7/14 2:20 PM
- 29. 10 Chapter 1 data from those for displaying data. To benefit traditional catalogers within the library context, instructions for display are still present in RDA, but they are relegated to ap- pendices. This means that the guidelines for punctuation and the order of elements, as outlined in the International Standard Bibliographic Description (ISBD), are not pres- ent in the main instructions to provide visual cues for the cataloger to replicate in the MARC record, as is the case with AACR2. Although this may make it more difficult for catalogers who regularly record data in accord with the ISBD standard, it does make the information more standard-neutral for those not applying ISBD specifications. And regardless of their location within the standard, these display guidelines ensure unifor- mity in the presentation of data for the network of cataloging agencies that apply them. Accuracy Accuracy means that the data should provide supplementary information to correct or clarify ambiguous, unintelligible, or misleading representations appearing in the resource it- self. As AACR2 did, RDA provides guidelines for correcting or clarifying information. For recorded data, both standards instruct the cataloger to add this information imme- diately after the “faulty” data. For transcribed data, both standards prescribe the same method for clarifying information. However, for correcting information in transcribed data, RDA differs from AACR2 in that it instructs catalogers to describe the correction in a note rather than inserting the correction immediately following the inaccuracy. CONCLUSION This chapter explores the history of RDA’s development, the rationale for its original incarnation as the third edition of AACR, and the evolution of that rationale, which changed the direction of its development and shaped the current text. This histori- cal overview, in conjunction with an explanation of RDA objectives and principles, attempts to contextualize the similarities and differences between AACR2 and RDA so that catalogers can understand them, learn them more quickly, and transition to RDA more smoothly. Chapter 3 covers the differences between AACR2 and RDA in more detail. How- ever, in order to know whether an AACR2 rule was carried over into RDA, one must know how to find the analogous instruction in RDA. Indeed, if the corresponding instruction is not located in RDA, a cataloger may not be sure if this was because the AACR2 rule was not carried over into RDA or because he or she failed to locate it within RDA’s new structure. Therefore, understanding RDA’s organization is crucial if catalogers are to successfully locate the instructions they need to inform them of changes in cataloging practice. The structure of RDA is inextricably linked to the conceptual models underlying the new standard. Therefore, chapter 2 explains these underlying models in detail and illustrates how they affect the organization of RDA. WEB.indb 10 1/7/14 2:20 PM
- 30. 11 2 Underlying Models and Organization Chapter 1 covered the history of RDA’s development and its objectives and principles in an attempt to contextualize its similarities to and differences from AACR2. One of the main differences from AACR2 is the theoretical framework upon which RDA was written and organized. The text of the June 2010 release of RDA was based on two underlying conceptual models: FRBR and FRAD. A third model, Functional Requirements for Subject Authority Data (FRSAD), will form the basis for subject- related content in future iterations of RDA. Together these three models form the “FR Family” of conceptual models, which encourage the recording of bibliographic and authority data in a way that optimizes search and retrieval of resources. This chapter introduces the basic concepts of all three models, but focuses on FRBR and FRAD and their influence on the current structure, organization, and content of RDA. FRBR FRBR forms the foundation upon which the other two models are built, so it helps to understand its basic premise. The FRBR model defines the key objects of interest to users of bibliographic data as entities and divides the entities into three groups. Group 1 entities are the primary objects of interest to users: works, expres- sions, manifestations, and items. These entities provide categories into which specific aspects of bibliographic data can be placed for optimal organization and navigation of resources. Those responsible for Group 1 entities are categorized as Group 2 enti- ties and comprise persons and corporate bodies. Group 3 entities are the subjects of works, which can include concepts, objects, events, and places. Group 3 entities can also include Group 1 and Group 2 entities, because those entities can also be the subjects of works. WEB.indb 11 1/7/14 2:20 PM
- 31. 12 Chapter 2 To optimize the end users’ search and retrieval of resources, four types of user tasks must be addressed. First, users must be able to find entities that meet their specified search criteria. Second, they must be able to identify an entity or distinguish one entity from other similarly named entities. Third, users must be able to select from among resources with similar characteristics. Finally, they must be able to obtain their desired resources. To help users accomplish these tasks, there are two types of bibliographic information with respect to entities that must be recorded. First, the entities’ attributes (or “charac- teristics”) must be recorded in order to provide the bibliographic details that help users identify their desired resources, select from among similar resources, and obtain the resources they need. Second, the relationships among the entities must be recorded in or- der to help users find related resources, find all the resources associated with a particular person or corporate body, or find all the resources on a particular subject. The FRBR model defines the relevant attributes and relationships with respect to each entity and maps them to the corresponding user tasks. RDA’s structure and terminology are heavily influenced by this conceptualization of bibliographic data. It is therefore imperative that catalogers familiarize themselves with FRBR concepts in order to understand and navigate RDA. FRAD The FRBR model conceptualizes how to record data of interest to users of biblio- graphic data. As such, it focuses on the attributes and relationships of Group 1 enti- ties. It defines a limited number of attributes for Group 2 and Group 3 entities and does not address relationships outside of those that involve Group 1 entities. FRAD conceptualizes how to record authority data, and it expands upon the original FRBR model in several important ways. First, FRAD defines two classes of entities: bibliographic entities and authority entities. Bibliographic entities comprise the ten entities defined by the FRBR model plus a new entity introduced by FRAD: family. Authority entities include name, identifier, controlled access point, rules, and agency. According to FRAD, bibliographic entities are known by names and/or identifiers, which form the basis for controlled access points. Rules as applied by (a cataloging) agency govern the content and form of the controlled access points. The FRAD model also introduces many new attributes for Group 2 entities and defines relationships between Group 2 entities that are not addressed in the original FRBR model. The FRAD model further expands upon the FRBR model by defining four user tasks for authority data. The first two—find and identify—are similar to those de- fined in FRBR, but the last two—contextualize and justify—are unique to FRAD. The contextualize user task necessitates placing an entity into context or clarifying a relationship between entities. The justify user task necessitates documenting the reason for the choice of a name used as the basis for a controlled access point. Because FRAD focuses on authority data, its influence on RDA’s content can be seen in the chapters containing instructions for recording data traditionally found WEB.indb 12 1/7/14 2:20 PM
- 32. Underlying Models and Organization 13 in authority records. This is particularly true for instructions on identifying Group 2 entities, but also, to a lesser extent, for instructions on identifying works and ex- pressions. FRAD’s influence on RDA can also be found in the chapters containing instructions for recording relationships between Group 2 entities. With these influ- ences on RDA’s content, FRAD fleshes out the conceptual gaps in the FRBR model and provides the theoretical basis for a more comprehensive set of RDA instructions that address both bibliographic and authority data. FRSAD FRSAD was developed as an extension of the FRBR and FRAD models to focus on subject authority data. According to the original FRBR model, all bibliographic entities can be the subject of a work and can therefore be classed under the Group 3 entities. Building on this, the FRSAD model groups all of the bibliographic enti- ties under a superclass of entities known as thema. Not surprisingly then, a thema is defined as “an entity used as a subject of a work.” Thema is one of two entities introduced by the FRSAD model. The second entity is nomen, which is defined as “any sign or sequence of signs (alphanumeric characters, symbols, sound, etc.) that a thema is known by, referred to, or addressed as.” According to the FRSAD model, a work has as a subject a thema—which could be any one of the eleven bibliographic entities—and that thema has an appellation re- ferred to as a nomen. The FRSAD model defines a new set of attributes and relation- ships for thema and nomen, the recording of which aims to address four user tasks. The first three tasks—find, identify, and select—are similar to the FRBR user tasks, except that they pertain to subject information. The fourth user task—explore—is unique to FRSAD and is aimed at allowing the user to explore a subject domain, its terminology, and the relationships among themas. FRSAD was published in 2011, more than a year after the first release of the RDA Toolkit. Its theoretical concepts have yet to make their way into the chapters involv- ing Group 3 entities, which—with the exception of RDA Chapter 16 (“Identify- ing Places”)—currently serve as placeholders. Since the content of RDA involving Group 3 attributes and relationships has yet to be developed, this chapter only lightly touches on them, focusing more on the attributes and relationships of Group 1 and Group 2 entities. UNDERSTANDING GROUP 1 ENTITIES One of the most challenging tasks with respect to the FRBR model is understand- ing the differences among works, expressions, manifestations, and items. The FRBR model defines a work as a distinct intellectual or artistic creation. An expression is defined as the intellectual or artistic realization of a work in the form of alpha-numeric, musical, or choreographic notation, sound, image, object, movement, etc., or any combi- nation of such forms. A manifestation is the physical embodiment of an expression of a work. Finally, an item is defined as a single exemplar of a manifestation. WEB.indb 13 1/7/14 2:20 PM
- 33. 14 Chapter 2 To understand how these definitions apply in practice, consider a hypothetical resource that compares various types of forestry data across the major regions of the United States. The work would be the intellectual idea of comparing regional forestry phenomena along specifically chosen parameters. The details of this work would be held in the mind of the creator who conceived them. In order for others to have insight into the ideas in the creator’s mind, the details would have to be realized through some form of communication or expression to the outside world. There are a variety of ways in which these ideas could be expressed. One is to con- vey the statistical details purely in the alphanumeric form of a text. For the visually impaired, such information could be rendered into braille. Another way is to visually communicate the information using a series of statistical charts, graphs, or other still images. Because the comparisons are across geographical regions, an alternate way is to represent the statistical phenomena cartographically. Still another way is to share these details in the audio context of an oral lecture. Finally, the information could be conveyed in any combination of the above (e.g., a PowerPoint lecture presentation using charts, maps, and text). (See Figure 2.1.) Figure 2.1. WEB.indb 14 1/7/14 2:20 PM
- 34. Underlying Models and Organization 15 If the expression is meant for sharing on a wider scale, it needs to be embodied in a physical carrier that can be mass produced and disseminated to a broader audience. This embodiment represents the manifestation, and this can be done in a variety of ways. If the original work was expressed as a text, a series of cartographic or other images, or a combination of these, then the manifestation could be in the form of a book, a packet of sheets, a web document, or microfiche. If the details of the work were conveyed in an oral lecture, then the audio could be captured on a cassette tape, a compact disc, or an mp3 file. If the oral lecture were accompanied with visuals (e.g., in a PowerPoint presentation), then it could be filmed and embodied in a VHS cassette, a videodisc, or a streamed video. (See Figure 2.2.) If the manifestation is meant for mass production, it can serve as a template for the physical details of each copy that gets produced. In this way, every copy of the same manifestation should be fabricated to have the same layout, the same number of pages, and the same dimensions. A newly produced copy of this mass production would exemplify the intended details of the manifestation. However, over time this exemplar might get damaged or eventually bear handwriting, inscriptions, or other annotations. The exemplification of a manifestation is called an item, and it will bear details specific to its own unique history. To further understand works, expressions, manifestations, and items, it may help to consider how changes in the content of a resource or the carrier embodying the content would result in a different work, expression, manifestation, or item. Figure 2.2. WEB.indb 15 1/7/14 2:20 PM
- 35. 16 Chapter 2 If the content of a resource changes so much that it substantially alters the nature or intent of the original work, then it is a new work. Examples of this include derivative works, such as film adaptations of novels and television adaptations of films. Other examples include sequels, prequels, commentaries, critical analyses, and abridgments. If the content of a resource changes in a way that leaves the original intent of the work intact, then it is a different expression of the same work. One way to imagine this is to picture two readers using different expressions of the same work. (See Figure 2.3, top.) As they read along with each other, one might encounter something in the text that could contextualize the content in a way that would give that reader a better understanding of the work. Minor examples include an index to help the first reader find concepts within the text, revisions that could keep the first reader up to date on specific topics, illustrations that could facilitate a greater understanding of certain concepts, and a foreword to contextualize the content for the reader. Major examples include whether the content is read as a text or heard as a spoken-word narrative and whether the content is rendered in the person’s na- tive language or in a foreign-language version. Each of these differences represents a change that could affect the person’s understanding of the content but leaves the overall intent of the work intact. Figure 2.3. WEB.indb 16 1/7/14 2:20 PM
- 36. Underlying Models and Organization 17 If there is no change in the content of a resource, but the carrier (or packaging) differs, then it is a different manifestation of the same expression. Let’s imagine our two readers using two different resources again, but this time the content of both resources is exactly the same. (See Figure 2.3, center.) However, the first reader has a 25 cm book with 500 pages, whereas the second has a 29 cm book with 300 pages. It would at first be difficult for both to read the text together if the first reader in- formed the second that he was on the fourth paragraph of page 30. However, once the second reader oriented herself and located the analogous text in her book, she could read along with the first reader without ever encountering a different illustra- tion, a newly revised section of a chapter, or any other difference in content. The only difference would be the packaging of the content: its size, its extent, its carrier type (physical volume vs. online resource), its publisher, or some other carrier- specific attribute. If there is no change in the carrier of a resource, but it is a different physical copy from another resource, then it is a different item of the same manifestation. In this case, our first reader should be able to state which page and paragraph he is on, and the other should be able to orient herself very quickly. However, the first reader’s copy may be dog-eared, with heavy highlighting, whereas the second reader’s copy may be nearly pristine, save for a few annotations in pencil here and there. (See Figure 2.3, bottom.) ATTRIBUTES OF GROUP 1 ENTITIES To keep track of the various details of a resource that help distinguish it from other resources, it is important to record its attributes. And to keep resources organized in a way that helps users navigate among the different entity levels, the attributes of resources must be recorded at the appropriate entity level. Each entity has its own set of attributes that helps users distinguish one work from all other works, one expres- sion from all other expressions, and so forth. Because the work is at a highly conceptual level, many of its attributes involve general details about the content (e.g., intended audience), details that help identify the work (e.g., title of work), and details that help distinguish it from other similarly named works (e.g., form of work and date of work). With the realization of a work through an expression come attributes that pro- vide more specific details about the content. One important attribute is the form of expression (referred to as content type in RDA terminology) in which the user experiences the content, such as alphanumeric notation (or text), cartographic im- ages, still images, moving images, spoken word, or performed music. For language- based resources, it would be helpful to record the language of the expression. Other expression-related attributes, such as the presence or absence of illustrations, bibliog- raphies, indexes, color content, and sound content, can help users select the precise expression that meets their specific needs. WEB.indb 17 1/7/14 2:20 PM
- 37. 18 Chapter 2 Manifestation-level attributes describe details related to the carrier embodying the expression or to the production or publication of the manifestation. These include title of the manifestation, statement of responsibility, edition statement, place of publi- cation, name of publisher, date of publication, identifier for the manifestation, extent, dimensions, and form of carrier (referred to as carrier type in RDA terminology). Finally, item-level attributes describe details related to a single copy, such as identi- fier for the item (e.g., a barcode) and access restrictions. ATTRIBUTES OF GROUP 2 ENTITIES Just as Group 1 entities have attributes that help users identify, select, and ob- tain resources, Group 2 entities have attributes that help users identify entities responsible for those resources. The original FRBR model focuses on the types of information about persons and corporate bodies typically found in their ac- cess points on bibliographic records and defines these as attributes. For persons this includes name of person, dates of person, titles of person, and other designation associated with the person. For corporate bodies this includes name of the corporate body, number associated with the corporate body, place associated with the corporate body, date associated with the corporate body, and other designation associated with the corporate body. FRAD builds on this and introduces an array of new attributes that—along with the attributes defined in FRBR—can be recorded in authority records. For persons this includes gender, place of birth, place of death, country, place of residence, affiliation, address, language of the person, field of activity, profession/occupation, and biography/ history. For corporate bodies this includes language of the corporate body, address, field of activity, and history. ATTRIBUTES OF GROUP 3 ENTITIES The FRBR model defines only one attribute for each of the four Group 3 enti- ties, namely term for the concept, term for the object, term for the event, and term for the place. The FRAD model does not address attributes of Group 3 entities at all. Interestingly, the FRSAD model also fails to address attributes of Group 3 entities, instead introducing two attributes for thema and eleven attributes for nomen. The current version of RDA provides instructions for recording the attributes of places, but of no other Group 3 entities (in large part because AACR2 included essentially the same chapter), and defines these attributes as Name of the Place and Identifier for the Place. It remains to be seen how the chapters on recording attributes of Group 3 entities will ultimately materialize and how FRBR, FRSAD, and the current scheme of Chapter 16 will influence the content of this set of instructions. WEB.indb 18 1/7/14 2:20 PM
- 38. Underlying Models and Organization 19 RELATIONSHIPS BETWEEN WORK, EXPRESSION, MANIFESTATION, AND ITEM The FRBR model details the various types of bibliographic relationships that each entity can have. The set of relationships most central to the model are the inherent relationships among the Group 1 entities, or the primary relationships. First, a work is realized through an expression. Then an expression is embodied in a manifestation. Finally, a manifestation is exemplified by an item. Reviewing the section “Under- standing Group 1 Entities” in this chapter may help elucidate the meanings of these relationships. RELATIONSHIPS BETWEEN GROUP 1 ENTITIES AND GROUP 2 ENTITIES Because Group 2 entities are responsible for Group 1 entities, the relationships between these two entity groups are referred to as responsibility relationships. Any of the Group 2 entities—persons, families, and corporate bodies—can be respon- sible for a Group 1 entity, and their level of responsibility depends on the Group 1 entity involved. A Group 2 entity—person, family, or corporate body—can create a work. For example, a person can write a novel or compose a musical piece, and a corporate body can create a catalog of its inventory of artworks. A Group 2 entity can con- tribute to the realization of an expression. For example, a person can translate or illustrate a novel, and a corporate body, such as an orchestra, can perform a musi- cal piece. A Group 2 entity can produce a manifestation. For example, a corporate body can publish a book. Finally, a Group 2 entity can own an item. For example, a person can be the former owner of a book that he or she donates to a corporate body, such as a library. RELATIONSHIPS BETWEEN WORKS AND GROUP 3 ENTITIES The relationship between a work and a Group 3 entity constitutes a subject relation- ship. A work can have as its subject matter a concept (e.g., “philosophy”), an object (e.g., “pollen”), an event (e.g., “World War II”), or a place (e.g., “Argentina”). It can also have as its subject matter a Group 1 or Group 2 entity. For example, a work can be about another work, such as Shakespeare’s Romeo and Juliet, or it can be about a person, such as Mozart. The FRSAD model defines four types of relationships: work-to-thema, thema- to-nomen, thema-to-thema, and nomen-to-nomen. Work-to-thema relationships WEB.indb 19 1/7/14 2:20 PM
- 39. 20 Chapter 2 involve the association of a work to its subject matter and are thus the most likely to influence the RDA instructions on relationships between works and Group 3 entities. However, it remains to be seen if these theoretical underpinnings will be incorporated into future versions of RDA and how they will influence the content of the instructions. OTHER RELATIONSHIPS BETWEEN GROUP 1 ENTITIES The FRBR model outlines the possible relationships between two different works, two different expressions, two different manifestations, and two different items. The possible relationships between two different works include derivative relationships, such as adaptations (e.g., the film The Wizard of Oz, adapted from the novel); succes- sive relationships, such as sequels (e.g., Mrs. Rochester: The Sequel to Jane Eyre); and whole-part relationships, such as journal articles within a serial, monographs within a series, and chapters within a book. The possible relationships between two expres- sions include translations (e.g., the English translation of the original Spanish text of Don Quixote) and revisions (e.g., the New American Edition of Gray’s Anatomy). The possible relationships between two manifestations include reproductions, facsimiles, and alternate formats (e.g., a PDF version of a print resource). The possible relation- ships between two items include reproductions and resources comprising one item bound with another item. RELATIONSHIPS BETWEEN PERSONS, FAMILIES, AND CORPORATE BODIES Recording the relationship between a Group 2 entity and another Group 2 entity is traditionally done in the authority environment. As a result, such relationships are not defined in the original FRBR model but are introduced in FRAD. A person can be related to another person in the form of an alternate identity (e.g., Lewis Carroll vs. Charles Dodgson). A person can be related to a family in the form of a membership (e.g., Marcel Duchamp, member of the Duchamp Family). Likewise, a person can be related to a corporate body in the form of a membership (e.g., Mick Jagger, member of the musical group The Rolling Stones). A family can be related to another family through a progenitor-descendant rela- tionship (e.g., the House of Conde, descendant family of the House of Conti). A family can be related to a corporate body through a founding relationship (e.g., the McMahon Family, founder of World Wrestling Entertainment, Inc.). A corporate body can be related to another corporate body in the form of a hierar- chical relationship (e.g., the Women in Physiology Committee, subunit of the Amer- ican Physiological Society) or a sequential relationship (e.g., American Veterinary Medical Association, successor to the United States Veterinary Medical Association). WEB.indb 20 1/7/14 2:20 PM
- 40. Underlying Models and Organization 21 RELATIONSHIPS BETWEEN CONCEPTS, OBJECTS, EVENTS, AND PLACES FRSAD describes thema-to-thema relationships as those that are hierarchical (e.g., “sculpture” being a narrower category of “art”) or associative (e.g., “forestry” vs. “forests”). The model also describes nomen-to-nomen relationships as those that are equivalence relationships, which can include authorized and variant forms of the same concept within the same system. Nomen-to-nomen relationships can also include equivalent terms across different languages or schemes (e.g., the Library of Congress’s “Medical Policy” versus the National Library of Medicine’s “Health Policy”). It is likely that the RDA instructions on the relationships between con- cepts, objects, events, and places may draw from these FRSAD concepts. However, it remains to be seen how this will actually materialize in the ultimate text of RDA. THE PROMISE OF THE “FR” FAMILY OF MODELS The attributes and relationships of the entities defined in the “FR” Family of Models encourage the recording of data that organize and describe bibliographic and author- ity information in a way that helps users meet their needs. Recording the relation- ships between Group 1 and Group 2 entities can help a user find all the resources associated with a person, family, or corporate body (e.g., all the works written by George Orwell). Similarly, recording the relationships between works and Group 3 entities can help users find all the resources on a given subject (e.g., all the works about the concept “political fiction”). Recording relationships between two different works can help users find related works of which they may have been unaware (e.g., movie adaptations and critical analyses of the novel 1984). Once a work has been located, the inherent relationships between works, expres- sions, manifestations, and items can help gather together all resources that are related to a given work and organize them in a way that facilitates easier navigation for the user. The details of each resource, recorded in the form of attributes, can help a user find, identify, and select the manifestation best suited to his or her needs, as can be seen in the following example. The novel 1984 can be found on George Orwell’s name because a relationship was made between him (the creator) and this novel (the work). p1: George Orwell w1: Nineteen Eighty-Four (Novel) w2: Road to Wigan Pier (Treatise) w3: Animal Farm (Novel) w4: Homage to Catalonia (Autobiography) WEB.indb 21 1/7/14 2:20 PM
- 41. 22 Chapter 2 The novel can also be found through a search on “political fiction” because a relation- ship was made between that concept and this work. c1: Political fiction w1: Nineteen Eighty-Four (Novel) by George Orwell w2: Camel Club (Novel) by David Baladicci w3: Man in full (Novel) by Tom Wolfe If the user prefers to watch the movie version of 1984 in English, he or she can search for the English-language expression of the moving image work, navigate through the manifestations listed under that expression, and choose between the MCA Distribut- ing Corporation’s videocassette published in 1984 and the MGM Home Entertain- ment’s videodisc published in 2003. w1: Nineteen Eighty-Four (Novel) by George Orwell e1: Original English-language text m: Secker and Warburg’s 1949 volume m: New American Library’s 1977 volume m: 1st World Library’s 1996 online resource e2: French translation in text m: Gallimard’s 1950 volume e3: English text in braille m: New American Library’s 1983 volume m: American Printing House for the Blind’s 1992 volume e4: English spoken word m: BBC Audiobooks’ 2006 audiocassette m: Blackstone Audiobooks’ 2009 online resource w1: Nineteen Eighty-Four (Motion Picture) e1: English-language two-dimensional moving image m1: MCA Distributing Corporation’s 1984 videocassette m2: MGM Home Entertainment’s 2003 videodisc Once the work is found, the user can burrow down to the English-language expression to identify and select the volume published by New American Library in 1977. Alternatively, the user can peruse through the spoken word expression in order to identify and select the audiocassette version published by BBC Audiobooks in 2006. This identification and selection is made possible because attibutes such as language, content type, carrier type, publisher, and date of publication were assigned to these resources at their respective levels. WEB.indb 22 1/7/14 2:20 PM
- 42. Underlying Models and Organization 23 ORGANIZATION OF RDA RDA contains thirty-seven chapters divided into ten sections and includes an intro- duction, twelve appendices that provide supplementary instructions, a glossary, and an index. RDA’s organization is heavily tied to the concepts outlined in the “FR” Family of Models. Each of the ten sections is devoted to recording information about one of the entity groups, and the order follows that of the FR models: that is, first the instructions for Group 1 entities are provided, then the Group 2 entities, and then the Group 3 entities. The first four sections provide instructions for recording attributes of the entities, while the last six provide instructions for recording relation- ships among the entities. RDA Sections 1 and 2 provide instructions on recording attributes of Group 1 entities. RDA Section 1 (Chapters 1–4) addresses attributes of manifestations and items, while RDA Section 2 (Chapters 5–7) addresses attributes of works and expres- sions. RDA Section 3 (Chapters 8–11) addresses attributes of the Group 2 entities— persons, families, and corporate bodies. RDA Section 4 (Chapters 12–16) addresses attributes of the Group 3 entities—concepts, objects, events, and places. Most of the instructions for Group 3 entities—namely concepts, objects, and events—are still under development, so the relevant RDA chapters (Chapters 12–15) currently serve as placeholders for future instructions. However, the instructions for identifying places (RDA Chapter 16) are provided. RDA Section 5 (Chapter 17) provides instructions for recording the primary relationships among Group 1 entities. RDA Section 6 (Chapters 18–22) addresses relationships between Group 1 and Group 2 entities. RDA Section 7 (Chapter 23) comprises a placeholder chapter that will address relationships between works and the Group 3 entities in future versions of RDA. RDA Section 8 (Chapters 24–28) addresses relationships between Group 1 entities of the same type (e.g., related works, related expressions, etc.). RDA Section 9 (Chapters 29–32) addresses re- lationships between Group 2 entities (e.g., related persons, related families, etc.). Finally, RDA Section 10 (Chapters 33–37) comprises placeholder chapters that will address the relationships between Group 3 entities of the same type in future versions of RDA (e.g., related concepts, related objects, etc.). As outlined in RDA’s introductory chapter at instruction 0.5, the organization is further broken down by user tasks. RDA Sections 3–10 involve only one user task and are thus easier to explain. RDA Section 3 provides instructions on identifying persons, families, and corporate bodies, whereas RDA Section 4 will provide instruc- tions for identifying concepts, objects, and events, and currently provides instruc- tions for identifying places. RDA Sections 5–10 provide instructions for recording relationships, which all meet the find user task. RDA Sections 1 and 2 are a little more complicated and contain chapters that ad- dress different user tasks. In RDA Section 1, RDA Chapter 2 addresses the identify user task, RDA Chapter 3 addresses the select user task, and RDA Chapter 4 ad- dresses the obtain user task. In RDA Section 2, RDA Chapter 6 addresses the identify user task, and RDA Chapter 7 addresses the select user task. As shown in chapter 3 of this book, this often causes data in adjacent MARC fields and subfields to be WEB.indb 23 1/7/14 2:20 PM
- 43. 24 Chapter 2 found in different areas of RDA, because they address different user tasks. Indeed, if catalogers followed the order of the MARC bibliographic record, they would feel as if they were jumping around in RDA in an attempt to find the analogous instructions. Tying the organization to attributes, relationships, and user tasks can be a real source of confusion for catalogers working with MARC fields and trying to find the corresponding instructions in RDA. A firm handle on the concepts involving the en- tities, their attributes and relationships, and the various user tasks will help catalogers understand the rationale for the placement of instructions for certain bibliographic data and may ultimately help them predict where to find the instructions they need for a given MARC field or subfield. CONCLUSION The current version of RDA is based on two underlying models, FRBR and FRAD, which heavily influence its organization. The eleven bibliographic entities—works, expressions, manifestations, items, persons, families, corporate bodies, concepts, objects, events, and places—have specific attributes and relationships. The recording of these attributes and relationships helps users meet specific bibliographic tasks (find, iden- tify, select, and obtain) and specific authority tasks (find, identify, contextualize, and justify). The organization of RDA is heavily based on these concepts, which often results in a disconnect between the instructions and the order of MARC fields and subfields. It is therefore imperative that catalogers familiarize themselves with the conceptual models underlying RDA so that they can more easily locate and apply RDA instructions. In the next chapter we look at some of the major differences between RDA and AACR2 and discuss some generalities that catalogers can apply in specific situations to help them make the move to cataloging with RDA. WEB.indb 24 1/7/14 2:20 PM
- 44. 25 3 Major Differences between RDA and AACR2 The first two chapters provided an overview of RDA’s development, its objectives and principles, and the underlying models that shaped its structure and much of its terminology. This chapter details some of the common differences between AACR2 and RDA, pulling from many of the issues covered in the previous chapters to con- textualize these changes. Because RDA records are expected to coexist in the same databases as AACR2 records, RDA instructions were written to be compatible with AACR2. Thus, there are many similarities between the two standards. Some stem from carrying AACR2 rules over into RDA with no alteration. Others arise from application of an RDA objective or principle, which renders similar looking data with a few cosmetic differences. There are, however, many differences that result from either significantly chang- ing an AACR2 rule, not carrying an AACR2 rule over into RDA, or introducing an RDA instruction that did not exist in AACR2. Any combination of these intricate factors can provide the rationale for a difference—be it major or minor—between the two standards. This chapter attempts to synthesize the complexities involved to offer a more simplified, predictable way to anticipate these changes. CHANGES IN ORGANIZATION When the JSC shifted the direction from writing the third edition of AACR to creat- ing the standard that became RDA, the committee modified their strategic plan and developed a set of long-term goals. One of these goals was to “provide a consistent, flexible and extensible framework for both the technical and content description of all types of resources and all types of content.” One way that the JSC aimed to meet this goal was to “[a]lign the structure, concepts and terminology of the instructions WEB.indb 25 1/7/14 2:20 PM
- 45. 26 Chapter 3 more directly with the FRBR and FRAD models.” This has resulted in a radical dif- ference in the organization of RDA instructions compared with AACR2. Whereas AACR2 chapters are organized, roughly, by type of format (AACR2 Part I) and type of heading (AACR2 Part II), RDA chapters are organized by bib- liographic entities, the attributes and relationships of these entities, and user tasks. The chapters in Part I of AACR2 are further broken down by ISBD area, whereas RDA chapters are further broken down by elements. Thus, catalogers accustomed to using AACR2 in the MARC environment will have to suppress the impulse to look for RDA instructions based on format, ISBD area, and type of heading. Instead, they will have to think about how the MARC data elements relate to the FRBR and FRAD models and search for the analogous instructions within this framework. Another goal of the JSC was to “ensure that descriptions and access points pro- duced through the application of RDA meet the goals for functionality.” Therefore the committee aimed to “[d]irectly relate the elements of the description and access points to the user tasks that they support.” In RDA, this materialized into the objec- tive responsiveness to users’ needs. As mentioned in chapter 2 of this book, RDA Sections 3 and 4 address the identify user task, and RDA Sections 5–10 address the find user task. However, RDA Sec- tions 1 and 2 address more than one user task. RDA Section 1, Chapter 2 contains instructions that address the identify task; RDA Section 1, Chapter 3 addresses the select task; and RDA Section 1, Chapter 4 addresses the obtain task. RDA Section 2, Chapter 6 addresses the identify task, and RDA Section 2, Chapter 7 addresses the select task. It is important to understand how the user tasks are tied to chapters within RDA Sections 1 and 2, because this often explains why two adjacent MARC fields and subfields are in two different areas of RDA. For example, many of the 2XX fields in MARC bibliographic records correspond to instructions in RDA Chapter 2, be- cause these 2XX fields encode information that helps users identify a manifestation. For books, many of the MARC 3XX fields in bibliographic records correspond to instructions in RDA Chapter 3, because these 3XX fields encode information that helps users select a manifestation. However, the instructions for recording data en- coded in the MARC 336 field are found in RDA Chapter 6, because this informa- tion helps users identify an expression, and the instructions for recording illustrative content that is encoded in the MARC 300 $b are found in RDA Chapter 7, because this information helps users select an expression. In the format-based structure of AACR2, much of this information would be contained in one or two chapters. For example, all of the AACR2 rules that apply to a book and that correspond to the MARC bibliographic fields 2XX through 5XX (often referred to as the description) can be found in the “General Rules for Description” and the “Books, Pamphlets, and Printed Sheets” chapters of AACR2. In contrast, to find the analogous instructions in RDA, catalogers will really have to know which entity is involved, whether or not it is an attribute or a relationship, and which user task is being addressed. WEB.indb 26 1/7/14 2:20 PM
- 46. Major Differences between RDA and AACR2 27 CHANGES IN TERMINOLOGY Another goal of the JSC was to create instructions that would be “usable primarily within the library community, but be capable of adaptation to meet the specific needs of other communities.” To this end, the JSC aimed to “[r]evise and modernise terminology to eliminate unnecessary library jargon, and eliminate ambiguous and inconsistent terminology.” Therefore, although many AACR concepts were carried over into RDA, terminology was changed. For example, the term “heading,” though the concept was carried over into RDA, was altered to “access point.” Taking this further, “authorized heading” was changed to “authorized access point”; “personal name heading” was changed to “authorized access point representing the person”; and “uniform title” was changed to “preferred title” for the work or expression. Other terms, like “see reference” and “see also reference,” were brought over to RDA as “variant access point” and “authorized access point representing the related [entity],” respectively. Terms like “entry” introduce complications when comparing terminology be- tween AACR2 and RDA. The terminology of main and added entry was not carried over into RDA. However, there are some RDA elements that, by and large, fill the same roles as main and added entries. Thus, catalogers working in the MARC envi- ronment who are familiar with the AACR2 instruction to “enter a work . . . under the heading for . . . [a person or corporate body]” will, when using RDA, generally construct an authorized access point for the first (or only) named creator and encode it in the 100 or 110 or 111 field of the MARC record, as well as using that access point when formulating the “authorized access point for a work.” Along similar lines, “added entries” in AACR2 have become “access points for other persons, families, or corporate bodies associated with a work” or “access points for contributors” in RDA. And the AACR2 “series added entry” has become an “access point for the related work” in RDA. CONCEPTUAL DIFFERENCES Just as there are differences in terminology, there are conceptual differences from AACR2 that, when understood, will better guide the cataloger in the use of RDA. First is the conceptual difference of “rules” versus “instructions.” AACR2 has stricter guidelines—referred to as “rules”—that often direct the cataloger to alter or omit data, and it provides fewer options for recording data. RDA guidelines are seen as “instructions” that are more flexible and allow more room for the cataloger’s judg- ment. For example, in many cases AACR2 directs the cataloger to omit all but the first of more than three of the same data elements. While RDA allows this omission, it does not require it. Another conceptual difference can be seen in that AACR2 provides guidelines for three levels of description, whereas RDA provides a set of core and “beyond core” WEB.indb 27 1/7/14 2:20 PM
- 47. 28 Chapter 3 elements that are required to meet the basic needs of users. Whereas AACR2’s levels of description are rooted in the card catalog and record-based context of the library community, RDA’s core elements transcend this idea of “packaging data” and are terminologically more in line with non-MARC metadata standards. Finally, there are differences in how “sources of information” are conceptualized. RDA does away with AACR2’s dual concept of “chief source of information” ver- sus “prescribed source of information” and simply offers the concept of “preferred source of information.” There are further differences between the standards in terms of sources of information, which have implications for the choice of data that get recorded and the manner in which they are recorded. These differences are detailed later in this chapter. DIFFERENCES IN GRANULARITY There are many instances in which RDA is more granular than AACR2. One ex- ample involves the replacement of AACR2’s general material designation—which en- compasses one element—with three new data elements in RDA: content type, media type, and carrier type. In the MARC context, this means eliminating the 245 $h and replacing it with three new fields that were added in MARC to accommodate RDA: the 336 field for content type, the 337 field for media type, and the 338 field for car- rier type. As discussed later, this allows for more consistent and more comprehensive treatment of data related to a resource’s technical and content description. Another example of how RDA is more granular is in the parsing out of AACR2’s Publication, Distribution, Etc. Area with five discrete data elements: Production State- ment, Publication Statement, Distribution Statement, Manufacture Statement, and Copy- right Date. In MARC terms, this has meant the creation of a new field—the 264 field— with specific second indicator values for each of the different elements. For Production Statement, the second indicator value is 0; for Publication Statement, the second indica- tor value is 1; for Distribution Statement, the second indicator value is 2; and so forth. Another example is the parsing out of Dissertation or Thesis Information into three separate elements—thus introducing three new subfields in MARC field 502. Likewise, many of the physical details of carriers, which in AACR2 were all coded in the 300 $b, now have newly created fields—namely, 344, 345, 346, and 347—and subfields in the 340 field. A final example of RDA’s greater granularity can be seen in the many new MARC fields created to accommodate attributes for authority entities that were nonexistent in AACR2. DIFFERENCES IN TRANSCRIBING DATA As mentioned in chapter 1 of this book, RDA’s principle of representation results in substantially less alteration of data than AACR2. This means that inaccuracies in the WEB.indb 28 1/7/14 2:20 PM
- 48. Major Differences between RDA and AACR2 29 title proper and the series numbering will not be followed by sic or by the correction in brackets. It also means that terms like “Mr.” and “Ph. D,” institutional affiliations, and creators and contributors numbering more than three will generally be included in the statement of responsibility. It further means that edition statements, publica- tion data that include states and provinces, and terms used with series numbering will be spelled out, unless abbreviated on the source of information. Finally, it means that some records may reflect capitalization conventions that follow what appears on the source. This may result in data that show all letters in uppercase or the first letter of each functional word in uppercase. DIFFERENCES IN RECORDING DATA Chapter 1 of this book mentioned that RDA’s principle of common usage or practice will result in the recording of data that are spelled out in English (for English- language cataloging agencies). One example of this is recording the phrase “and oth- ers” (along with the specific number) in a truncated statement of responsibility rather than recording AACR2’s “et al.” Another example is recording “that is” to clarify or correct pagination information rather than AACR2’s “i.e.” Yet another example is recording Place of publication not identified and Publisher not identified rather than AACR2’s “S.l.” and “s.n.,” respectively. A final example is recording “approximately” in the pagination or in an access point rather than AACR2’s “ca.” DIFFERENCES IN THE SOURCE OF INFORMATION As mentioned previously, RDA does not continue the concept of chief versus pre- scribed source of information in AACR2, but simply uses preferred source of informa- tion. In addition, AACR2 and RDA sometimes differ on what constitutes the pre- ferred (or prescribed) source of information. As we saw with the difference between the organization of the two standards, AACR2 chapters on description are broken down by ISBD area, whereas RDA chapters are broken down by element. Along these lines, prescribed sources of information are broken down by ISBD area in AACR2, but by element in RDA. Since the MARC format largely follows the ISBD areas, this means that, for catalogers using RDA and encoding data in MARC, dif- ferent preferred sources of information may be specified for sources of data encoded within a single MARC field. One example of this difference between RDA and AACR2 is publication informa- tion for a book. In RDA, the preferred source of information for all resources Place of Publication is the same source as the Publisher’s Name, and the preferred source for the Publisher’s Name and the Date of Publication is the same source as the title proper. Though slightly convoluted, the result is that the preferred source for all three of these elements is the same source as the title proper. In AACR2, the prescribed WEB.indb 29 1/7/14 2:20 PM
- 49. 30 Chapter 3 source for a printed book encompasses three options, with no one source preferred over the others: title page, other preliminaries, and colophon. Publication data on the title page sometimes differ from those in other areas on the resource. With the less precise directives from AACR2, the source of information can be chosen inconsis- tently from cataloger to cataloger, yielding a variety of possible renderings of the data. RDA’s more precise and granular directive may yield more consistent choices for sources of information that will better identify a resource and distinguish it from similar resources. CONTENT, CARRIER, AND REPLACEMENT OF THE GMD The JSC had as a goal to “provide a consistent, flexible and extensible framework for both the technical and content description of all types of resources and all types of content.” In addition to aligning RDA with FRBR and FRAD, another way that the committee aimed to meet this goal was to “[r]esolve problems associated with the class of materials concept and the related issue of GMDs.” They also sought to “[e]xtend consistency within the technical and content description, and eliminate unnecessary redundancy.” The general material designation (GMD) in AACR2 posed problems, because it inconsistently used terms related to the content description (such as “cartographic material” and “sound recording”) and the technical description (such as “microform” and “videorecording”). It sometimes provided one term that could describe a variety of resources. For example, any resource accessed via the Internet would be given the GMD “electronic resource,” regardless of whether it was textual, cartographic, or au- diovisual. To address this, the RDA divides the aspects of different classes of materials into three elements: content type, media type, and carrier type. Content type details the form in which a resource is expressed, such as text, still im- age, spoken word, two-dimensional moving image, and three-dimensional object. Media type is an aspect of the physical description that details the type of intermediation device needed to access the content. Some examples are audio, computer, and video. If no intermediation device is needed to access the content—as would be the case with a book—then the media type is unmediated. Finally, carrier type details the physical form in which the content is embodied, such as audiocassette, online resource, video- disc, and volume. Together, these three elements successfully separate aspects of the content from those of the carrier and provide more granular information about the format of a resource than the GMD. Because of this, the GMD concept was carried over into RDA but significantly altered so that it was replaced collectively by content type, media type, and carrier type. In addressing the aim to eliminate redundancy, the JSC abandoned the AACR2 approach of relegating similar instructions for the technical and content description of resources to the GMD and physical description area (ISBD areas 2 and 5) of each chapter in Part I. Instead, the committee introduced two chapters in RDA: one for WEB.indb 30 1/7/14 2:20 PM
- 50. Major Differences between RDA and AACR2 31 describing carriers (Chapter 3) and another for describing content (Chapter 7). In these chapters, the instructions are provided in one location rather than repeatedly, as was done across analogous areas of AACR2 Part I chapters. For example, AACR2 guidelines for describing color content can be found in “Area 5” of the general instructions in AACR2 Chapter 1. Additional guidelines for describing color content can also be found in the same area of AACR2 Chapter 2 (“Books, Pam- phlets, and Printed Sheets”), AACR2 Chapter 3 (“Cartographic Materials”), AACR2 Chapter 7 (“Motion Pictures and Videorecordings”), AACR2 Chapter 8 (“Graphic Materials”), AACR2 Chapter 9 (“Electronic Resources”), and AACR2 Chapter 12 (“Continuing Resources”). In RDA the guidelines for describing color content are found only in RDA Chapter 7, at instruction 7.17. Instructions for describing color content for specific types of resources are found in subsections within this instruction. To understand where RDA instructions are for the physical description area and for data that used to be in the GMD area, catalogers need to develop a better understanding of which bibliographic elements carry “content” information versus “carrier” information. For example, if the MARC 300 $a contains information about pagination, then this is an aspect of the carrier, so the relevant instructions are found in RDA Chapter 3. However, if the MARC300 $a contains information about dura- tion, then this is an aspect of the content, so the relevant instructions are found in RDA Chapter 7. Likewise, if the MARC 300 $b contains information about illustra- tive, sound, or color content, then these are aspects of the content, and the relevant instructions are in RDA Chapter 7. However, if the MARC 300 $b contains infor- mation about the type of recording or the configuration of playback channels, then these are aspects of the carrier, so the relevant instructions are in RDA Chapter 3. ELIMINATION OF THE “RULE OF THREE” A long-term goal of the JSC was to provide instructions for recording access points that met the general objectives of functionality and adaptability. To meet this goal, the JSC aimed to “[r]evise the instructions relating to the choice of access points to address issues associated with the concept of ‘authorship’ as it is currently reflected in AACR2 and restrictions imposed by the ‘rule of three.’” In short, the AACR2 “rule of three” was not carried over into RDA. In AACR2, if up to three authors or contributors are associated with a resource, then access points would be provided for all of them. However, if there were more than three authors or contributors, then only the first one named would have an access point added to the record. Moreover, if a resource had three or fewer authors, then the first author would be entered as the main entry (or in the 1XX field of a bibliographic record). However, if there were more than three authors, then the first would be recorded as an added entry (or in the 7XX field of a record). This has implications for the identification of works, where if three or few authors are as- sociated with a work, then the AACR2 entry for the work includes the name of the WEB.indb 31 1/7/14 2:20 PM
- 51. 32 Chapter 3 first author. However, if there are more than three authors, then the AACR2 entry for the work omits the first author’s name and consists only of the title of the work. In RDA, catalogers have the option of recording only the first named principal au- thor or contributor, or they can record as many of the other authors as they choose, regardless of the number. Also, the first named principal author is always recorded in the 1XX field of the bibliographic record, if a cataloger is working in the MARC environment. Moreover, if an authorized access point for the work is constructed, it always includes the name of the first named principal author, regardless of how many other authors are involved. ISBD PRESENTATION OF DATA Another aim of the JSC was to provide instructions for recording descriptive data that met the goal of making RDA adaptable to other metadata environments, while meeting the RDA objective of uniformity. The committee addressed this by separat- ing the instructions on recording data from those on presenting data. This means that catalogers consulting RDA instructions will not have the benefit of seeing examples of how to record data elements in a particular order using specific ISBD punctuation, as they are accustomed to seeing in AACR2. For instance, in AACR2 an example for transcribing other title information would appear after an example for the title proper, and both elements would be separated by the correct ISBD punctuation, as follows: Title proper: other title information. In RDA, the example for transcribing other title information would appear in isolation, with no punctuation at all, such as: other title information. The cataloger would then have to consult RDA Appendix D for guidance on how to present data within the context of that particular ISBD area. RDA is often described as a “content standard rather than a display standard.” Catalogers will have to adjust to seeing guidelines on the content of bibliographic data in one location in RDA and guidelines on the ISBD display of the data in an- other location, whereas they were all in the same location in AACR2. NEW INSTRUCTIONS The differences between AACR2 and RDA mentioned thus far involve situations in which there were radical changes between the two different standards, something in AACR2 was carried over into RDA with minor or major alteration, and something from AACR2 was not carried over into RDA at all. In some cases, a difference in RDA can stem from the fact that there are no analogous concepts in AACR2. Among its various goals, the JSC aimed to create guidelines that “facilitate col- location at the FRBR work and expression levels.” This led to the creation of RDA Chapter 17, which offers guidelines for recording primary relationships, a chapter for WEB.indb 32 1/7/14 2:20 PM
- 52. Major Differences between RDA and AACR2 33 which there is no exact equivalent in AACR2. The JSC also supported the inclusion of explicit and detailed instructions for authority work in RDA. Therefore, in the RDA chapter that provides general guidelines on recording works and expressions (RDA Chapter 5) and the chapter that provides general guidelines on recording names (RDA Chapter 8), there are certain authority data elements that were not included in AACR2. These include Scope of Usage, Date of Usage, and Cataloguer’s Note, all three of which map to MARC authority field 667. Other elements are Undifferentiated Name Indicator (MARC authority field 008 byte 32), Status of Identification (MARC author- ity field 008 byte 33), and Source Consulted (MARC authority fields 670 and 675). Additional instructions introduced in RDA that are absent in AACR2 involve rela- tionship designators. In RDA, Sections 5, 6, 8, and 9 have introductory chapters that include instructions on recording relationship designators. These instructions point the cataloger to several appendices (I, J, and K) that provide open lists of relationship designator terms or phrases from which the cataloger can choose to clarify or explain the nature of a relationship. All of these instructions are absent from AACR2 but are crucial in RDA, which places a heavier emphasis on explicit relationships. CONCLUSION The differences between AACR2 and RDA mentioned in this chapter involve several types of situations. In one case there have been radical changes, such as in the organi- zation of the two different standards. In other cases there is something from AACR2 that has been altered in a minor way. For example, the term “heading” in AACR2 has become “access point” in RDA, and many Latin abbreviations in AACR2 have been replaced by the spelled-out modern form due to the principle of common usage or prac- tice. In yet other cases there is something from AACR2 that has changed in a major way. For example, the ISBD display of information has been carried over into RDA but relegated to the appendices, and the GMD has been replaced by three new elements. There are also some cases in which something from AACR2 has not been carried over into RDA at all. These include the “rule of three” and the terminology “main entry” and “added entries.” Also not carried over are the various AACR2 rules that prescribed the abbreviation, omission, and in situ correction of data, which were not carried over into RDA because of the principle of representation. Finally, there are cases in which RDA introduces new instructions that have no counterpart in AACR2, such as the instructions for recording certain kinds of authority data, ex- plicit instructions for collocation at the FRBR work and expression levels, and the greatly expanded use of relationship designators. Part III of this book revisits many of the differences outlined in this chapter, but within a field-specific scope that provides basic guidance for how to create and in- terpret MARC bibliographic and authority records using RDA. First, however, part II takes a closer look at RDA’s structure, examining the specific elements, then maps these elements to specific MARC fields and subfields. WEB.indb 33 1/7/14 2:20 PM
- 53. WEB.indb 34 1/7/14 2:20 PM
- 54. II MASTERING RDA BASICS WEB.indb 35 1/7/14 2:20 PM
- 55. Random documents with unrelated content Scribd suggests to you:
- 57. CHAPTER XXII AT LANDSBERG Praga was in his customary devil-may-care humor, and in reply to my earnest request for information he laughed and showed his teeth, tossed his head and shrugged his shoulders, and his first answer was a volley of his strangely phrased oaths. "Safe so far, Prince, but it was a devilish tight place you put us in. That fellow of yours, von Krugen, is true grit, by the devil, a good fellow right through." "What have you done with the duke? Don't waste words, man," I said, with much impatience. "Poor little beast!" exclaimed the Corsican, with an ugly laugh. "We had to frighten him till the sweat stood thick on his forehead, his teeth chattered, and his knees knocked together like loose spokes in a rickety wheel. In truth we didn't know what to do with him, and I was half for knocking him on the head to be done with it, but von Krugen wouldn't. Then it occurred to us that we could play at being about to put him to death, and, as von Krugen was in his fancy dress, we let him play the part of his mad Majesty's executioner. We patched up a few lies, sewed them together with threats, and trimmed them with plenty of oaths. Told him the whole plot was discovered, that the madman's agents had found it all out, that my lord the duke was first on the honorable list for having his head chopped off, and that von Krugen had been sent out to give him the happy despatch. It was magnificent," and he laughed loudly at the recollection. "Well?" I cried, the delay irritating me.
- 58. "Your duke's a lily-livered wretch enough when it comes to facing cold steel, and I'm bound to say von Krugen looked devilish ugly and dead set in earnest as, wearing his mask, he drew his sword and gave the little crank five minutes to balance up his ledgers with Heaven. He was in no mood for that sort of work, as we had guessed of course, and instead of putting up a few concentrated prayers of the customary strength he flopped down on his knees and begged us to spare his life, and he grovelled and squirmed and wriggled on his belly and wept till I could have spat on him. Faugh!" and the Corsican's face was a picture of disgust. "I begin to see," I said. "Not quite," said my companion, with a laugh. "For the next act was that von Krugen and I quarrelled, and we pretended to wrangle and jangle until I seemed to gain my end, and the little fool thought he owed his life to me. He clung to me and shrank from the 'executioner,' and was altogether in a fit state to promise anything I told him in order to save his skin. I told him it would cost von Krugen his life if it were known that he had not done the work, and that if any one had even a suspicion of who the duke was and who we were all our lives would be sacrificed in a twinkling. By that time he was about wet through with fear, so we told him he must consent to be thought a mad patient of ours whom we, as doctor and attendant, were conveying to an asylum. In this way we took him to Gramberg—not to the castle, but to some place where von Krugen said he would be safe for a time. There he is awaiting your instructions. He's safe enough for a few days, but what after?" "You have done well and cleverly," I said warmly. "A little fright won't hurt him, and meanwhile matters here have taken a turn which may render it necessary for us to set him free in a few hours," and I told Praga what had happened—except as to the discovery of my imposture—and the tale made a considerable impression on him. "When that wily old Iscariot says one thing, I always look for another meaning. But you had a master card to play. He must have
- 59. been mad. And what will you do?" "If I do not hear from him at once, I shall go on to Landsberg on the chance of my cousin's letter being right, and I will send a messenger to the baron at once." I was in the act of ringing for a servant when one entered to tell me that Baron Heckscher was waiting to see me. "He had better not see me," said the Corsican. "There is no need. I will go to him. Meanwhile get ready to go with me, and communicate with von Krugen to keep the duke where he is until he hears from me." Then I hurried to the room where Baron Heckscher was waiting. "I deemed it best to come to you myself," he said on my entrance. "I have been delayed, because I wished to be able to assure you that others are with us in what we propose. Further, there is very important news." "Stay, if you please," I interposed, "before you tell me any more of your news. Understand, I am not, and will not, be a party to any of your schemes. I have no wish to be in any degree in your confidence." I guessed that the purport of his news was that some sort of interference from Berlin was threatened, and I had the strongest reasons for keeping clear of any complications whatever in that direction. "I don't think I quite understand you," he said sharply. "I mean that up to this point you have been working against the Countess Minna and myself and I against you. So far I have outwitted you, and you are taking the present step of freeing the countess because you can't help yourself, not in any spirit of co- operation with me, but under pressure from me, and because, if you
- 60. don't do it, you know that your whole plan will be spoiled. We are still opponents, and I decline to be associated with you and your colleagues, and I retain complete freedom of action and entire liberty to explain exactly the circumstances under which this new development has taken place." "You mean that you have threatened to murder the rightful heir to the Bavarian throne," he said, harshly and angrily. "That I have taken less shameful steps in regard to one of the heirs than you took in regard to the other. Precisely," I retorted. "If you will not act with us, there must be an end of things, then." "Yes, if you mean that I must act with you, I will have no hand in your plot." "You make needless difficulties." "On the contrary, I make no difficulties. I refuse only to be drawn into your plot, or to be considered as one of you." "A sudden development of scruples, under the circumstances," he sneered. "A proper development of caution I prefer to call it, seeing that I am acting as the only real representative of the Countess Minna, and am dealing with those who have tricked her so abominably." I spoke with all the warmth I felt. "You wish to pose as my enemy?" "I am quite indifferent. I know already the whereabouts of the countess from a source independent of you, and I have taken means to insure her safety." This was not strictly accurate, but it was indirectly true, for I knew that so long as the Duke Marx remained in my hands Minna was safe enough.
- 61. He paused to think. "Do you mean you wish to break away from the arrangement we made this morning?" "Not so far as the renunciation of the throne is concerned; but the arrangement as to my cousin's freedom is to be considered as forced from you, not made in complicity with you. I do not wish you to tell me anything because you think I am acting with you. I am not." "So long as you do what you've agreed, I ask no more," he answered, with a shrug of the shoulders, as though he considered the matter not worth discussing. But I knew his indifference was only assumed to cover his chagrin. "The news is that the greatest haste is now imperative, or everything will be lost. The Duke Marx must be back in Munich to- night or at latest to-morrow. The whole city is in an uproar, and if the duke is not back the ill consequences may be irretrievable. Moreover, I have news of action from Berlin." "You mean you wish to pull the wires at once for an agitation in favor of your duke, I suppose, but dare not until you know he is at liberty and able to come forward. A very pretty dilemma," and I smiled. "I am in luck, it seems. But now what of this Landsberg business? The countess is there. What have you done?" "I have wired to our leader there, Major Gessler, to expect you to take away the countess; and I have written you an authority to him that will do all you need. Give him that—you will know him, for you saw him last night when you visited the town-house of Herr Schemmell—and that very moment the countess will be placed in your hands." "Good!" I cried gladly, my blood warming at the thought of Minna being again in my charge. "But you know that von Nauheim has gone to Landsberg."
- 62. A frown crossed his face, but with an impatient wave of the hand he exclaimed: "He can do nothing. Now as to your part. As soon as the countess is in your care again you will hand to Gessler an authority to set the Duke Marx at liberty?" "Yes," I replied after a moment's consideration. "Then the sooner you are en route the better," he said, rising as he spoke. "I have no more to say to you. We part as——?" "As we met—opponents, Baron Heckscher," I answered promptly; and as soon as he had gone I hurried back to Praga to tell him what had occurred. Within a few minutes we were driving rapidly on our way to Landsberg. My heart was beating with pleased anticipation of seeing Minna, though I was not without some apprehension as to how she would take the news I had to tell of myself and of the deception I had practised. Nor was I altogether free from disquieting fears that in some way there was danger to her from the presence of von Nauheim. I had, too, many plans to make regarding our future movements, so that I was in no mood for conversation. Praga began to beguile the journey by attempting to tell me a number of piquant and characteristic anecdotes of his experiences; but he soon found I was not listening, and he then relapsed into silence, and sat smoking furiously. Once when he broke a long silence his words chanced to chime with my thoughts and I answered. "When am I to have my revenge on that brute von Nauheim?" he asked, his dark face lowering with anger. "You have had much of it already, for most of his plans have miscarried."
- 63. "Ay, but I want to be face to face with him, with nothing between but a couple of sharp swords," and his eyes flashed as he spoke. "That may come sooner than we think. I care not how soon," I said. "But I do. Body of Bacchus, but I long to see him squirm and shiver and shrink when I fix his eyes with mine and press his sword with the touch of death." "I have a score to settle with him, too, and it grows in the waiting." "My turn first. You can have him when I've done with him—or at least what's left of him," he cried, with a callous laugh. "Not before. And what are you going to do afterward?" "I am still undecided," I replied; and again we were both silent. The journey was a very tedious one, for the train was slow, and we were much delayed owing to a breakdown on the line, which made our train several hours late. The delay fretted and galled me, for I could not make sure that von Nauheim would not use the interval for some devilment of his own. My impatience made the time pass with wings of lead. It was well toward evening when we reached our destination, and then came another delay. There was an eight-mile drive to the house, and at first we couldn't get horses. After much difficulty we procured a couple of riding hacks of very indifferent quality, and as soon as we were mounted we pushed forward at such speed as the nature of our beasts would allow. The effect of the comparatively rapid motion through the air was exhilarating and braced me. It was dusk, however, when we reached the village, at the far end of which was the mansion. "At last!" I exclaimed as we turned in through a pair of massive gates and rattled up the drive at a quick trot.
- 64. As I glanced at the great, grim, square building, in which scarcely a light was to be seen, a thought that all was not right was put into words by my companion, who exclaimed with an oath: "I don't like the look of this place, Prince. I seem to smell something wrong. I'm not for trusting myself inside." "It's all right," I answered. "It must be; there's no object now to be gained by playing us false," and I jumped from the saddle and ran up the broad flight of steps to the front door. "Maybe," growled Praga. "But I'd rather stay where I am. I'll turn horse-minder. If it's a trap, it's as well for one of us to remain on the outside of it." I was not sorry for him to do that, as I did not wish Minna to see him until she knew how he had been helping us. His name was too repugnant to her in connection with her brother's death. My summons was answered at once, and I asked for Major Gessler. I was shown to a room at once, and as the door closed on me I heard a rush of footsteps, a cry or two of anger, a shout from Praga that we were betrayed, and then the quick gallop of horses down the drive. Before I had recovered from my consternation the door was opened again quickly, and an officer appeared at it, accompanied by a couple of men, who covered me with their guns. "What is the meaning of this?" I cried angrily. "Where is Major Gessler? I am the Prince von Gramberg, and am here with an authority from Baron Heckscher to the major. You will repent this attack, sir, whoever you are." "If you will be good enough to hand over any weapons you may have, and to sit down quietly there"—pointing to a chair—"I shall be glad to answer you."
- 65. "I'll see you damned first!" I cried in a blind rage, and I whipped out my revolver and levelled it point-blank at his face. "Stand out of my way, or I'll shoot you like a dog!" He was as cool as though I was merely offering him my card. "You will gain nothing by shooting me, except that my men will promptly shoot you," he answered. "Then tell me what the devil you mean by this outrage," I said; and despite my rage I saw readily the truth of what he said. "I allow no man to force me in this way," he answered calmly, looking me steadily in the face. "Give up your revolver and no harm will be done to you. Indeed I shall be glad to explain matters." I tossed the pistol on to the table, and he picked it up, handed it to one of the men, and ordered them to leave the room. "Remain at hand to come if I call," he told them. Then to me he said, shutting the door: "I am merely obeying orders. Major Gessler is away for a time, and my instructions were to detain you until he returned." "Why is not the major here? He was prepared for my coming by a telegram from Baron Heckscher." "You must put your questions to him. I only obey orders. But there has been some ugly business here in regard to the Countess Minna von Gramberg. She left the place secretly with her aunt and the Count von Nauheim, about three hours ago, and the major is gone in pursuit of them." The news set me on fire. "I must go after them!" I cried. "Don't try to stop me. Where have they gone?" "My orders are that you remain here," he answered stolidly, "and I cannot disobey them."
- 66. "But I have come to fetch the countess. This is the authority to Major Gessler to deliver her up to me," and, snatching the baron's letter from my pocket, I handed it to the officer. He took it slowly, examined it carefully, and held it out again. "It is addressed to my superior officer, I cannot open it," he said, with the same deliberate coolness. I tore open the envelope and gave him the letter. He shook his head. "It is not for me. I cannot read my superior's letters. I could not act upon it if I did." "But, good God, man, these women may be in desperate peril! You must read it!" He shook his head again with dogged obstinacy. At that I lost all control of myself, and with an oath I threw myself upon him to drag him out of the way of my escape from the place. He clung to me, and wrestled furiously, and with a call brought in the two men, who soon overpowered and forced me back in my chair, fuming with rage. "It is useless to struggle," he said in his cold, even tone. "I have my orders, and more than enough strength to see that they are obeyed." I recognized the force of this, and, though I cursed the blockhead stolidity of the man, I could do nothing but yield. I ceased to struggle, but felt like a madman in my baffled fury and fear for Minna. Heaven alone knew what use von Nauheim might make of this opportunity.
- 68. CHAPTER XXIII THE PURSUIT "Will you cease to resist if my men leave you?" asked the officer after I had been quiet some time. "Yes, but I shall hold you responsible for the consequences of this detention of me, and they may be heavy and serious," I replied. "I am only acting under orders," was his answer, and he signed to the men to withdraw again. "I am sorry you have compelled me to resort to force. It was not my wish." "How long will Major Gessler be?" "It is impossible to say. He may return in five minutes or in five hours; I can have no idea." "He knew that I was coming?" "Obviously, for I was told to expect you, and detain you when you arrived." "Told to lay a trap for me, you mean?" He made no reply. "Did your instructions include the unwarrantable attack I heard being made upon my companion?" "My instructions were to detain you, and I must really leave all explanations to my superior." "Then I wish you'd leave the room as well," I retorted curtly, and, to my surprise, he took me at my word, and went out immediately,
- 69. giving a command, in a tone loud enough to reach me, that the men stationed outside the door were to remain there. As soon as I was alone I resolved to escape by the window. I got up and stole softly to it. It was shuttered, but the fastenings were on the inside, and as I tried them gently and slowly I found they were easy to release. But I knew the men outside the door would be on the alert, and that the least noise I made would bring them in. I sat down again, therefore, and began to make a noisy clatter with some of the furniture. I banged the door of the big stove, upset a couple of chairs, and threw down some things from the table. As I stooped to pick them up one of the men put his head in at the door. "Well, what the devil do you want?" I cried, with an angry scowl. "I thought you called, sir," he answered. "That's a ready lie, my man. You came because you heard a noise. That was the noise," and I picked up a chair and threw it across the room at the door. "Just hand it back, will you?" He picked it up and placed it near the door, and went out, and I heard him mutter something to his companion about my being a "queer sort." I slipped to the window then, and, not being afraid of making a noise, I unfastened the shutters to find the catch of the window, and was in the act of undoing that when I heard steps approaching the door across the hall. In a moment I replaced the shutters, slipped back to my chair, and was yawning heavily when the door was opened and the officer came in. "They report to me that you have been making some disturbance here," he said shortly. "I will, therefore, leave a man in the room with you." I cursed the clumsiness of my ruse, which had thus frustrated the chance of my escape.
- 70. "I decline to submit to such an indignity, sir," I said angrily. "I will have no jailer here." But my protest, like everything else with this wooden idiot, passed unheeded, and one of the men was told to stand by the door inside. For a moment I was in despair. My first thought was to try and bribe him, but I abandoned the idea as readily, for I saw that if I failed he would report the attempt to the officer, and I should be in a worse plight than ever. Yet the thought that time was flying, and von Nauheim getting farther and farther away with Minna, while I was condemned to this helpless inactivity, was like hell to me. Then a last and desperate scheme suggested itself to me. The room was lighted by an oil lamp, and my thought was to try and extinguish it, and escape in the consequent confusion and darkness. I knew now that in a moment I could open the window. Keeping up my character for eccentricity, I jumped to my feet so suddenly that the man started and grasped his weapon, and, declaring that I was cold—though the evening was stifling, and my rage made me as hot as a fever patient—I began to stamp up and down the room, taking care at first to keep well away from the window, lest he should suspect my object. Next I declared that the lamp smelt vilely, and I set it down near the stove, and opened the little door that the fumes might escape up the flue. My next step was to whip the cover off the table, and throw it around my shoulders. The man kept his eyes steadily on me, obviously regarding me as more than half insane, but he made no attempt to interfere with me, and I continued my monotonous march backward and forward, backward and forward, until I noticed that his vigilant watch was gradually being relaxed. Then I altered my direction slightly, until each turn took me nearer and nearer to the window, and at last I prepared to make my effort.
- 71. "Turn that lamp down a bit, it stinks," I said, with a vigorous grimace of disgust, and, without in the least suspecting my intention, he went to do it. For a moment his back was toward me, and at that instant I snatched the cloth from my shoulders and threw it with all my force at the lamp, enveloping both it and the man as he was bending over it to do as I had requested. He shouted lustily for help, but there were a few seconds of darkness before any one could reach me, and I tore back the shutters, opened the window, leapt out, and dashed away through the darkness at top speed, running in zigzag fashion for the cover of some shrubbery about fifty yards distant. Before I reached the cover I heard the sounds of great commotion in the house, and a number of men started out in pursuit of me, but I plunged through the bushes at as great a speed as possible. The noise I made would, I knew, render pursuit an easy matter, and thus when I gained a small clearing I changed my direction, and raced across the lawn, taking my chance of where I was going. Fortune favored me, and I came upon a boundary wall, over which I climbed, dropping breathless and excited, but free, into a deep, dry ditch by the side of a lane. I lay down to regain my breath and to listen for any further signs of pursuit, as well as to think out my next step. I had escaped, but what use to make of my freedom I could not for a moment tell. Presently I heard the sound of a horse cantering on the turf by the side of the lane, and looking up cautiously I saw, by the light of the moon, which was shining brilliantly, a man riding toward me. As he came closer I recognized, to my infinite pleasure, that it was the Corsican, Praga. I scrambled out of the ditch and stood up to wait for him, calling to him when he was some twenty yards away. He reined up and jumped from his horse. I told him my experiences with that dolt of an officer in the house, and he told me he was just riding back to see what had become of me, and that he had news.
- 72. "It is great news," he said. "When they tried to get at me, I galloped off, and in the village I stumbled against an old Munich acquaintance, who is here over this business, and was just coming back from a start he had made with Major Gessler. He told me something of what had happened here to-day. It seems that that brute von Nauheim got wind that something was going to happen which he didn't like—I suppose it was your coming—and he bolted with the Countess Minna and her aunt. At that Gessler seems to have thought treachery was in the wind, and that you were in some way connected with it—these officers are always fools, especially when some one tells them about half the truth—and he set out after the runaways, and left orders that if you did come you were to be kept. I was coming back to try if I couldn't find you, and perhaps get you out of the house, so that we might start in pursuit on our own account." "Where has von Nauheim gone? Does any one know?" I asked. "Yes, the major is on their track, I think. They are supposed to have taken the south road, von Nauheim's object being apparently to strike the railway when some miles out, and presumably get out of Bavaria as soon as possible." "I have no horse," I said. "You had better give me yours, and then try to get one and follow me as soon as you can. I am on fire. I cannot wait." "It's not much of a beast, and very tired, but it may serve till you can get a better," said Praga. "Make for Waal first, and then try to find some traces, and leave word for me where I am to follow. I think I can find your horse. He followed me out of the place, and I tethered him up somewhere about here." I mounted, and after a few more hurried words from him about the direction to be taken I clapped my heels into the horse's ribs, and set off at a pace that was as near a gallop as the tired brute could imitate. The clattering of the beast's hoofs on the rough, uneven
- 73. road woke the echoes around me as I dashed forward, filled with the one consuming thought of rescuing Minna from the hands of the dastard who had carried her off from me. I found to my dismay, however, that my horse was quite incapable of any great effort, and soon began to show signs of fatigue. I had to ease him constantly, and after a few miles I could not urge him beyond a rather slow trot. To get another horse appeared difficult, and I did not pass any place that even offered a hope of one. My progress was thus irritatingly slow, and every mile I covered seemed to detract from, rather than add to, the chances of my overtaking von Nauheim. I had no difficulty, however, in tracing the fugitives. Major Gessler, in company with three other men, had passed scarcely two hours ahead of me, and as they had made inquiries all along the route, they had left a broad trail easy enough for me to follow. If they were on the right track it was certain that I was. After riding for a couple of hours at this slow pace I saw a mile or two ahead of me the lights of a small town, and, in the hope of being able to get a fresh mount there, I urged on my shambling steed to the utmost of his powers. But he was quite used up, and as I was forcing him down a slight hill I felt him stagger and stumble under me; and then down he went in a heap, throwing me clear of him. I could not afford to waste time over him, and as soon as I had managed to drag him to his feet I tied his head to a tree by the wayside, and set out to finish the remaining distance to the town on foot. I had not walked more than a few hundred yards, however, when I discovered that the fall from the horse had shaken me considerably. I turned dizzy, and reeled and staggered as I walked. I kept on as long as I could, but at last, despite my burning impatience to get forward, I was compelled to sit down by the roadside and rest until the feeling passed off.
- 74. How long I sat there I do not know, but I think that for a short time I must have lost consciousness. The rest refreshed me, however, and, feeling almost myself again, I jumped to my feet quickly, eager to resume my journey. As I did so I was startled by a low cry, like an exclamation of fear, from some one close to me; and by the moon's light I made out the darkly dressed figure of a woman some twenty or thirty paces ahead. I had been sitting in the shadow of an overhanging tree, and, no doubt, my sudden appearance had frightened her. She stood looking at me irresolutely, and when I commenced to walk toward her she turned and sped away on the grass by the roadside noiselessly, in the hope, no doubt, that I had not seen her. Obviously she wished to avoid me. She was nothing to me, and as I had no wish to add to her fright, I let her go, and merely watched her as she ran. I had no other feeling but curiosity, tempered with regret that all unwittingly I had been the means of frightening her. She had nearly passed out of sight when I heard her cry out again, this time a louder and shriller cry, and I thought I saw her trip and fall. I went after her then, as quickly as I could, and found her kneeling on the ground moaning, with her hands to her head. "Are you hurt?" I asked. "I am afraid I frightened you. I trust——" I stopped in amazement, for she turned her face quickly to me, and the next instant I was down by her side with my arm round her. It was Minna herself. "Oh, Hans, is it really you? I am so frightened. Save me." And without another word she let her head sink on my shoulder, while she twined her arms round me in quite hysterical fear. "Hush, my child. You are safe now," I said gently, in the soothing tone one might use to a child who had hurt itself.
- 75. And I held her in my arms in silence, my heart too full for words, as, indeed, hers was, with mingled fear, relief, and agitation. "Where are you hurt, Minna?" I asked after a time. "Let's see if I cannot help you." "Don't leave me; pray don't leave me," she whispered, clinging to me more tightly than ever. "I shall be better in a moment—now I am safe. I was running away from you. I was frightened when you jumped up suddenly in the road, and I fell and hurt my head. Don't leave me. I want to realize that I am really, really safe." "Don't doubt that. None can hurt you now." I would have added many a passionate protestation in my excitement, but I checked myself, remembering all I had yet to tell her. I let a longer interval pass before I spoke again; for, though I was burning with impatience to learn how she came to be in this way alone on the road and to take means to get her to some place of safety, I could not resist the thrilling delight of feeling her arms about me and her head nestling confidingly against my breast. The mere touch of her was an ecstasy of passion. "Let me see to your hurt, Minna," I whispered. "We have a long journey before us." At that she started, and began to tremble again, and said, her lips faltering as the words fell from them: "I had forgotten. I had forgotten everything when I felt your arms around me; but he will follow us. We must hurry on. Where can I go to escape him?" "You mean von Nauheim?" I asked, my face frowning at thought of him. "Oh, there is so much to tell and to ask. What does it all mean, Hans? I am not much hurt. It is here," and she put her hand to her forehead, which was bleeding slightly. "I struck it against a stone
- 76. when I tripped and fell, I think. And to think I was running from you, of all the world!" I could not answer the tenderness of her tone or the love that breathed in every syllable of the words. If I had tried, the passion that was pent in me must have come rushing out. I sought to affect indifference, therefore; and though my fingers trembled as I touched her face, and my heart ached at the sight of the little wound, I dressed it in silence, and bound it up with my handkerchief. She smiled to me several times as I did this, and when I had finished she murmured, lifting her eyes to mine: "It will soon be well, now you have touched it, cousin." And she sighed. But the next instant she started, and a look of fear showed on her face. "I can hear the sounds of a horse at full gallop. I have been hearing nothing else in imagination for the last two hours; but this time it is real." She spoke very wildly. I listened intently, but could hear nothing. "It is only imagination still," I replied. "And if it were real, it would mean nothing." "Listen!" and she put up her finger and strained her ears. She was right. She had caught the sound before me; but now I could distinguish the beat of hoofs in the far distance. "I hear it now. Which way is the sound from?" I asked. She began to tremble, and clung to me again. "It is from that way," pointing in the direction from which I had come. I listened again, and again found she was right.
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