CC:DA/TF/Rule of Three/3 June 5, 2001 Committee on Cataloging: Description and AccessTask Force on the Rule of ThreeReportPlease note that the purpose of the following series of pages is to facilitate the work of the Committee and to provide a means for outreach to both library and non-library cataloging communities. The documents accessible here are intended for the exclusive use of CC:DA and its cataloging constituencies. Under no circumstances should the information here be copied or re-transmitted without prior consultation with the current Chair of CC:DA. ![]() IntroductionThe Task Force on the Rule of Three reviewed 4JSC/ACOC/1/ACOC follow-up to report on and determine the action CC:DA should take in response to the proposals. Background. Based on recommendations 2 and 5 of Tom Delseys The Logical Structure of the Anglo-American Cataloguing Rules Part II, the JSC agreed at its 22-24 March 2000 meeting that the application of the rule of three should be an option, and asked the Australian Committee on Cataloguing to draft a rule change proposal (4JSC/M/347.8 and 347.11). ACOC proposed three options for dealing with this (4JSC/ACOC/1):
At its 13-15 September 2000 London meeting, JSC instructed ACOC to revise the proposal to develop option 2; 4JSC/ACOC/1/ACOC follow-up is the revised proposal.
General Issues and RecommendationsThe Task Force supports the general concept of an alternative to the Rule of three in AACR2. The Task Force recognizes that JSC instructed ACOC to submit the revised proposals as options to the current rules; the Task Force will comment below on specific proposals in the document as it stands. However, it should be noted that the majority of the Task Force felt strongly that JSC should reconsider the instruction and instead give further consideration to relegating instances of rule of three language to the optional rules. The Task Force came up with a number of reasons for a case against option 2 (the status quo):
These objections could be categorized as being of 2 basic types: inconsistent with basic principles (a.-b.) and inefficient in explanatory force (c.-f.) a-b. Delsey report, principles, and logic. The Delsey report only mentions rule of three concerns in Part II, which deals with the structure of AACR2 Part 2 (access points). The rule of three is singled out as an exception that limit[s] the application of the basic principle that would flow from statements 2.1(a) and 2.2(a) in the Paris Principles. Logical Structure Part II, p. 74; see also p. 83). The recommendations resulting from this observation are:
(2) Re-assess the concept of authorship as it relates to the function of the catalogue, and determine whether the exceptions to the rules that limit the assignment of access points in certain instances (including the rule of three) should be altered. There is no mention of rule of three in Logical Structure Part I, which deals with AACR2 Part 1 (description), although the procedure is found in AACR2 Part 1. As ACOC pointed out, because rule 21.29F requires justification of access points in the description, the Delsey recommendations for AACR2 Part 2 have implications for Part 1 as well, notably 1.1F5, which implements the rule of three in the descriptive portion of the record. The Paris Principles referred to in the Delsey report read:
2. Functions of the Catalogue These principles were reaffirmed in the IFLA report Functional Requirements for Bibliographic Records (Munich: Saur, 1998, p. 97), which states that at its basic level of functionality, the bibliographic record (i.e., the collection of bibliographic records in the catalog) should assist the user to do at least the following:
[1] Find all manifestations embodying: No rationale is given in AACR2 for the rule of three but the common assumption is that it became a part of the rules because of maintenance requirements of card catalogs; every added access point beyond the main entry required production of new cards, additional card filing, and less physical space in the catalog, and so various rules were formulated to reduce the number of access points, presumably those deemed less important. The rule of three was certainly not based on the functions of the catalog as stated in the basic principles cited above; when access is deliberately left out of the record for a given author, then the catalog will not be an efficient instrument to find out which works by a particular author are in the library; the user will not find all of the works for which a given person or corporate body is responsible which the library owns or has access to. On the contrary, the rule of three is inconsistent with some of the most fundamental principles of cataloging theory. The JSC feels that the rule of three ought to remain an option available to catalogers, and there is justification for this. Even though in the automated environment additional access points do not require the expenditure of manual labor and materials to produce new card sets, the addition of fields beyond what is now the norm would still require extra work, both a minimal amount of work in simply adding the field, but more importantly, a potential expenditure in required authority work for each additional controlled access point (although not all of these extra access points would require authority work beyond finding the established heading in the authority file). Having acknowledged the Delsey reports claim that the rule of three is not consistent with the fundamental principles of cataloging theory, it is illogical for the JSC to continue to maintain the rule of three as the standard rule. Logically, the standard or default rule should support the fundamental principles of cataloging theory; any pragmatic deviation from the fundamental principle should be the option. c.-f. Simplifying interpretation and explanation. Maintaining this logical inconsistency in turn makes the rules more difficult to learn, teach, and explain. Rather than simplifying by addressing the basic problem, ACOC option 2 actually adds a layer of complexity to the rules. Under the current rules a decision chain, e.g., for 1.1F, would go as follows:
Under ACOC option two, the decision chain would remain the same, but with a third decision added:
[Note the ACOC gives no option between invoking the rule of three and transcribing the entire statement. There is no option for transcribing a part beyond the three but not the entire statement.] In addition to being more in keeping with fundamental cataloging principles, ACOCs option three is also a simpler solution. If the rule of three became the option (rather than the option being to disregard it), instead of an elaborate option at the end of 1.1F5, complete with examples, 1.1F5 could be amended by the sole addition of one word at the beginning of the rule, Optionally:
If there is concern that this is an all or nothing approach, the rule could be reworded instead to say something like Optionally, if a single
degree of responsibility, omit any or all names except the first of each group
1.1F1 would become the basic rule covering all cases, unless the option in 1.1F5 were invoked. It would require no revision, although it would be made clearer if one or two of the ACOC examples showing transcription of more than three were added to it.
Similarly in Chapter 21, to fulfill the basic functions of the catalog, access points should be added for all persons responsible, and for all works embodied in the item being cataloged, and this should be the basic rule, not the option. This could be accomplished in 21.6B1, for example by revising the last sentence to read Make added entries under the headings for other persons or bodies involved. Examples 1, 2, 4 and 5 would remain, with ACOCs example moved up to illustrate the basic rule. After the examples, read:
Optionally, if more than two other persons or bodies are involved, make added entries for none, or any, of the other persons or bodies involved.
The Animal Motivation example would be moved here as an illustration of none and another example would be added to illustrate any.
Other rules in Chapter 21 would be handled in the same way.
It should be noted that ACOC remarks that A complete revision of Chapter 21 which addresses all of the issues raised by Delsey and others may be a better way to proceed.
(p. 3)
Thus the case against Option 2. In fairness, the report includes a case for ACOC option 2, since JSC has not yet articulated the reasons for its selection.
The Case for Option 2:
This document uses
[Note: The following comments apply to 4JSC/ACOC/1/ACOC follow-up as it stands; some of the comments would not apply if the rule of three were treated as an option.]
ACOC PROPOSED TEXT
Dickens 1970 [GMD] : centenary essays / by Walter Allen ... [et al.] ; edited by Michael Slater
A short-title catalogue of books printed in England, Scotland & Ireland ... 1475-1640 [GMD] / compiled by A. W. Pollard & G. R. Redgrave with the help of G. F. Barwick ... [et al.]
Proceedings of the Workshop on Solar Collectors for Heating and Cooling of Buildings, New York City, November 21-23, 1974 [GMD] / sponsored by the National Science Foundation, RANN–Research Applied to National Needs ; coordinated by University of Maryland ... [et al.]
Optionally, transcribe statements of responsibility appearing in the chief source of information in full, regardless of the number of persons or corporate bodies named.
Using and the scene : patterns and contexts of drug use among Sydney gay men / Kate Ireland, Erica Southgate, Stephanie Knox, Paul Van de Ven, John Howard, Susan Kippax
Footprints across our land : short stories by senior Western Desert women / Lumu Nungurrayi, Marri Yakuny Napurrula, Milyika Napaltjarri, Nancy Kungkulu Tax, Ningi Nangala, NgunytjaNapanangka Mosquito, Nyangayi Napangarti, Tjama Napanangka, Kuninyi Nampitjin, Yuka Napanangka, Yunitja Nampitjin, Yupinya Nampitjin, Yutjuyu Taampa Nampitjin ; compiled by Jordan Crugnale.
Editorial: Delete period after last example.
Comment: The TF supports the ACOC proposal to revise 1.1F5 rather than use the notes field, i.e., as an option to transcribe statements of responsibility in the chief source of information in full, regardless of the number of persons or corporate bodies named, in order to justify more than three added entries.
However, we also believe there may be situations where neither the default rule nor full transcription would be appropriate. For such cases we would propose a second option:
Full transcription:
Selective transcription
In 4JSC/ACOC/1/ACOC follow-up ACOC has modified the standard wording used in the optional provisions for access points by inserting the term additional, to make it clear that access points added under the optional provision are in addition to any required by the body of the rule. The TF strongly approves of this clarification to the standard wording but would suggest a slight modification to the proposed standard phrase.
ACOC proposed wording:
TF proposed wording:
Rationale. If additional is intended to mean in addition to any headings required by the default rule, then all seems linguistically contradictory, in effect saying /In addition to the added entry required in the default rule
make added entries for all persons or bodies involved, whereas the phrase any other would bring out the intention of
additional. Further, replacing any or all0 with any other places a stronger emphasis on cataloger judgment; there is some concern that leaving in all might encourage routine assignment of an unmanageable number of added entries.
Here is how the TF proposed wording would apply to 21.6B1. In this instance, the default rule has been re-arranged for further clarity.
ACOC PROPOSED TEXT
Lady sings the blues / Billie Holiday with William Dufty
Animal motivation : experimental studies on the albino rat / by C.J. Warden with the collaboration of T.N. Jenkins ... [et al.]
Faustus : a musical romance ... / composed by T. Cooke, Charles E. Horn, and Henry R. Bishop
Aaron, r.f. / by Henry Aaron as told to Furman Bisher
Optionally, make additional added entries under the heading(s) for any or all persons or bodies involved.
TF MODIFICATION
If the name of another person or corporate body appears first in the chief source of information, make an added entry under the heading for that person or body.
Make added entries under the headings for other persons or bodies involved if there are not more than two.
Aaron, r.f. / by Henry Aaron as told to Furman Bisher
Animal motivation : experimental studies on the albino rat / by C.J. Warden with the collaboration of T.N. Jenkins ... [et al.]
Optionally, make additional added entries under the heading(s) for any other persons or bodies involved.
Examples are needed where added entries are not made for all names recorded in the statement of responsibility. The TF suggests that the second optional example for 21.6C2 be modified, since Thompson and Williams do not seem to have the same importance.
ACOC PROPOSED TEXT
Vertebrate palaeontology of Australasia / editors: P. Vickers-Rich, J.M. Monaghan, R.F. Baird & T.H. Rich ; with the assistance of E.M. Thompson & C. Williams
TF MODIFICATION
Vertebrate palaeontology of Australasia / editors: P. Vickers-Rich, J.M. Monaghan, R.F. Baird & T.H. Rich ; with the assistance of E.M. Thompson & C. Williams
The TF supports 4JSC/ACOC/1/ACOC follow-up proposal to split 21.7B1 into 21.7B1 and 21.7B2, with suggested modifications to 21.7B2. Both the last part of AACR2 21.7B1 and 4JSC/ACOC/1/ACOC follow-up address analytical added entries with the assumption that they are going to be name-title added entries, which is not always the case; the TF proposal addresses this oversight.
ACOC PROPOSAL
TF MODIFICATION
ACOC PROPOSAL (cont.)
If there are more than three works but only two or three persons or bodies responsible, make an added entry (or name-title added entry when appropriate) under the heading for each person or body.
TF MODIFICATION
ACOC PROPOSAL (cont.)
Regency poets : Byron, Shelley, Keats / compiled by C.R. Bull
Comment: The ACOC option appears to preclude multiple works by a smaller number of authors. The Four new poets example in 4JSC/ACOC/1/ACOC follow-up clearly illustrated an example of added name, not name-title added entries. The ACOC option has been modified and the example has been restored.
TF MODIFICATION
Plays from black Australia / Jack Davis, Eva Johnson, Richard Walley, Bob Maza ; with an introduction by Justine Saunders
Five plays of our time / edited by Sydney Box; [foreword by Irene Vanbrugh].
Remarks on the revision of the rules relating to sound recordings:
However, it would be unwise to proceed with these revisions in isolation when there are so many unresolved issues related to sound recordings. These include the inconsistencies identified by Delsey in The concept of authorship in The Logical Structure of the Anglo-American Cataloguing Rules Part II. The definition of principal performer is also problematic (see the LCRI for these rules), as are the types of relationship to the work which should be expressed in access points (see the draft report of the CC:DA task force on Works Intended for Performance).
Comment: The TF sees no advantage in rejecting the options at this time. They would simply sanction explicitly what the LCRIs have been doing all along (LCRI 21.29D).
PROPOSED TEXT
Comment: Review of rules 21.8-21.28 indicates that the rule of 3 is never invoked. Rule 21.28, Related Works, and 21.30G seem to assume that a work will be related to only one other work. Of all the examples in 21.28, there is not one that demonstrates a relationship to more than one other work. The TF therefore suggests alternative wording to the ACOC proposal.
ALTERNATE PROPOSAL:
Modifications indicated.
PROPOSED TEXT
Optionally, make additional added entries under the heading(s) for any other |