Functional Requirements for Bibliographic Records

Final Report — 1998

Continued

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4. Attributes

4.1 Attributes of Entities

Each of the entities defined in the model has associated with it a set of characteristics or attributes. The attributes of the entity serve as the means by which users formulate queries and interpret responses when seeking information about a particular entity.

Attributes, as they are defined in the model, generally fall into two broad categories. There are, on the one hand, attributes that are inherent in an entity, and on the other, those that are externally imputed. The first category includes not only physical characteristics (e.g., the physical medium and dimensions of an object) but also features that might be characterized as labeling information (e.g., statements appearing on the title page, cover, or container). The second category includes assigned identifiers for an entity (e.g., a thematic catalogue number for a musical composition), and contextual information (e.g., the political context in which a work was conceived). Attributes inherent in an entity can usually be determined by examining the entity itself; those that are imputed often require reference to an external source.

A given instance of an entity will generally exhibit only one value for each attribute (e.g., the value for the "physical medium" attribute of a particular object may be "plastic"). In some cases, however, a given instance of an entity may have multiple values for a single attribute (e.g., a book may contain more than one statement indicating the "title of the manifestation"). There are also cases where the value for an attribute of a given instance of an entity may change over time (e.g., the "extent of the carrier" for a serial will change as new volumes are issued). The value for an attribute (particularly an imputed attribute) of a given entity may sometimes be subject to variation, depending on the source that is used as a point of reference.

The attributes defined for each of the entities in the model will not necessarily be exhibited by all instances of that particular entity type. In the list of attributes for each entity, those that are generally applicable to the entity type as a whole are listed first. Those that are applicable only to a sub-type of the entity are listed after those that are generally applicable, and are qualified by a term indicating the sub-type to which they apply (e.g., "musical work" as a sub-type of work). However, not every instance of an entity type nor every instance of an entity sub-type will exhibit all the attributes listed.

At first glance certain of the attributes defined in the model may appear to duplicate objects of interest that have been separately defined in the model as entities and linked to the entity in question through relationships. For example, the manifestation attribute "statement of responsibility" may appear to parallel the entities person and corporate body and the "responsibility" relationships that link those entities with the work and/or expression embodied in the manifestation. However, the attribute defined as "statement of responsibility" pertains directly to the labeling information appearing in the manifestation itself, as distinct from the relationship between the work contained in the manifestation and the person and/or corporate body responsible for the creation or realization of the work. In many cases the information presented in the "statement of responsibility" will be substantively the same as that which is reflected through the relationships between the work and/or expression and the person and/or corporate body responsible.
However, the information may not always be the same. In drawing responsibility relationships to the entities person and corporate body it is possible to correct false or misleading information presented in a "statement of responsibility" or to expand on that information. Using the responsibility relationship to the entities person and corporate body also provides a means of identifying the person or corporate body in a consistent way irrespective of the way in which that person or corporate body is identified in the "statement of responsibility" in that particular manifestation.

The model does not, however, parallel entity relationships with attributes in all cases where such parallels could be drawn. For example, "place of publication/distribution" is defined as an attribute of the manifestation to reflect the statement appearing in the manifestation itself that indicates where it was published. Inasmuch as the model also defines place as an entity it would have been possible to define an additional relationship linking the entity place either directly to the manifestation or indirectly through the entities person and corporate body which in turn are linked through the production relationship to the manifestation. To produce a fully developed data model further definition of that kind would be appropriate. But for the purposes of this study it was deemed unnecessary to have the conceptual model reflect all such possibilities. In cases such as the place of publication example it was considered sufficient simply to define an attribute to reflect labeling information as such without taking the analysis further to delineate a parallel entity relationship. Parallel delineation was done only in cases where it seemed warranted by the need to provide for controlled or normalized access to the information reflected in the attribute.

The attributes defined for the study were derived from a logical analysis of the data that are typically reflected in bibliographic records. The principal sources used in the analysis included the International Standard Bibliographic Descriptions (ISBDs), the Guidelines for Authority and Reference Entries (GARE), the Guidelines for Subject Authority and Reference Entries (GSARE), and the UNIMARC Manual. Additional data were culled from other sources such as the AITF Categories for the Description of Works of Art, from input provided by experts who were consulted as drafts of the report were being prepared, from an extensive review of published user studies, and from comments received as part of the world-wide review of the draft report. The scope of attributes included in the model is intended to be comprehensive but not exhaustive.

For the purposes of this study attributes have been defined at a logical level. That is to say that attributes have been expressed in terms of the characteristics of an entity as they might be viewed by a user, rather than as specific data elements defined by those responsible for compiling bibliographic data. In some cases the logical attribute parallels an individual data element (e.g., the logical attribute "manifestation identifier" has been defined in a way that parallels the definition of "standard number (or alternative)" in the ISBD(G)). But in most cases the logical attribute represents an aggregate of discrete data elements (e.g., the logical attribute defined as "title of the manifestation" encompasses several ISBD data elements: title proper (including number/name of part), parallel title, notes giving variant and transliterated titles, and key title). The descriptions of the logical attributes that are given in this chapter provide an indication of the scope of each logical attribute. Appendix A provides a detailed mapping of the logical attributes defined in the model to individual data elements in the ISBDs, the Guidelines for Authority and Reference Entries (GARE), the Guidelines for Subject Authority and Reference Entries (GSARE), and the UNIMARC Manual.

For the purposes of this study, the logical attributes for the entities person, corporate body, concept, object, event, and place include only those that are conventionally displayed as part of the bibliographic record per se. Additional logical attributes that might be reflected in an authority record are not included.

4.2 Attributes of a Work

The logical attributes of a work defined for this study are the following:

title of the work
form of work
date of the work
other distinguishing characteristic
intended termination
intended audience
context for the work
medium of performance (musical work)
numeric designation (musical work)
key (musical work)
coordinates (cartographic work)
equinox (cartographic work)

4.2.1 Title of the Work

The title of the work is the word, phrase, or group of characters naming the work. There may be one or more titles associated with a work. If the work has appeared under varying titles (differing in form, language, etc.), a bibliographic agency normally selects one of those titles as the basis of a "uniform title" for purposes of consistency in naming and referencing the work. Other titles under which the work has appeared may be treated as variant titles for the work, or in some cases as a parallel uniform title. The title of a work that forms part of a larger work may consist solely of a number or other generic designation that is dependent on the title of the larger work.

4.2.2 Form of Work

The form of work is the class to which the work belongs (e.g., novel, play, poem, essay, biography, symphony, concerto, sonata, map, drawing, painting, photograph, etc.).

4.2.3 Date of the Work

The date of the work is the date (normally the year) the work was originally created. The date may be a single date or a range of dates. In the absence of an ascertainable date of creation, the date of the work may be associated with the date of its first publication or release.

4.2.4 Other Distinguishing Characteristic

A distinguishing characteristic is any characteristic that serves to differentiate the work from another work with the same title (e.g., the area of origin that serves to differentiate the medieval miracle play known as The Adoration of the Shepherds originating in Coventry from the play known by the same name that originated in Chester).

4.2.5 Intended Termination

Intended termination of a work is a reflection of whether the work has been conceived as having a finite end or whether it is intended to continue indefinitely.

4.2.6 Intended Audience

The intended audience of the work is the class of user for which the work is intended, as defined by age group (e.g., children, young adults, adults, etc.), educational level (e.g., primary, secondary, etc.), or other categorization.

4.2.7 Context for the Work

Context is the historical, social, intellectual, artistic, or other context within which the work was originally conceived (e.g., the 17th century restoration of the monarchy in England, the aesthetic movement of the late 19th century, etc.).

4.2.8 Medium of Performance (Musical Work)

Medium of performance is the instrumental, vocal, and/or other medium of performance for which a musical work was originally intended (e.g., piano, violin, orchestra, men's voices, etc.).

4.2.9 Numeric Designation (Musical Work)

A numeric designation is a serial number, opus number, or thematic index number assigned to a musical work by the composer, publisher, or a musicologist (e.g., the numbers assigned to the works of Mozart by Ludwig Köchel).

4.2.10 Key (Musical Work)

Key, in tonal music, is the set of pitch relationships that establishes a single pitch class as a tonal centre (e.g., D major). The key for a musical work is the key in which the work is originally composed.

4.2.11 Coordinates (Cartographic Work)

Coordinates are the degrees, minutes, and seconds of longitude and latitude, or the angles of declination and ascension that form the outer boundaries for the area represented in the cartographic image or object.

4.2.12 Equinox (Cartographic Work)

Equinox is the year that serves as the point of reference for a celestial chart or model.

4.3 Attributes of an Expression

The logical attributes of an expression defined for this study are the following:

• title of the expression
• form of expression
• date of expression
• language of expression
• other distinguishing characteristic
• extensibility of expression
• revisability of expression
• extent of the expression
• summarization of content
• context for the expression
• critical response to the expression
• use restrictions on the expression
• sequencing pattern (serial)
• expected regularity of issue (serial)
• expected frequency of issue (serial)
• type of score (musical notation)
• medium of performance (musical notation or recorded sound)
• scale (cartographic image/object)
• projection (cartographic image/object)
• presentation technique (cartographic image/object)
• representation of relief (cartographic image/object)
• geodetic, grid, and vertical measurement (cartographic image/object)
• recording technique (remote sensing image)
• special characteristic (remote sensing image)
• technique (graphic or projected image)

4.3.1 Title of the Expression

Title of the expression is a word, phrase, or group of characters naming the expression. There may be one or more titles associated with an expression. The title of an expression that forms part of a larger expression may consist solely of a number or other generic designation that is dependent on the title of the larger expression.

4.3.2 Form of Expression

The form of expression is the means by which the work is realized (e.g., through alpha-numeric notation, musical notation, spoken word, musical sound, cartographic image, photographic image, sculpture, dance, mime, etc.).

4.3.3 Date of Expression

The date of expression is the date the expression was created (e.g., the date the particular text of a work was written or revised, the date a song was performed, etc.). The date may be a single date or a range of dates. In the absence of an ascertainable date of expression, the date of the expression may be associated with the date of its publication or release.

4.3.4 Language of Expression

The language of the expression is the language in which the work is expressed. The language of the expression may comprise a number of languages, each pertaining to an individual component of the expression.

4.3.5 Other Distinguishing Characteristic

A distinguishing characteristic is any characteristic of the expression that serves to differentiate the expression from another expression of the same work (e.g., the names used to differentiate the various versions of the English text of the Bible, or an "edition" or version designation relating to the intellectual content of the expression such as "2nd revision").

4.3.6 Extensibility of Expression

Extensibility reflects the expectation that the expression will have additional intellectual or artistic content added to it (e.g., an expression that is completed one part at a time, segment by segment, issue by issue, etc.).

4.3.7 Revisability of Expression

Revisability reflects the expectation that the intellectual or artistic content of the expression will be revised (e.g., a draft or interim report, a directory that is expected to be updated periodically).

4.3.8 Extent of the Expression

The extent of an expression is a quantification of the intellectual content of the expression (e.g., number of words in a text, statements in a computer program, images in a comic strip, etc.). For works expressed as sound and/or motion the extent may be a measure of duration (e.g., playing time).

4.3.9 Summarization of Content

A summarization of the content of an expression is an abstract, summary, synopsis, etc., or a list of chapter headings, songs, parts, etc. included in the expression.

4.3.10 Context for the Expression

Context is the historical, social, intellectual, artistic, or other context within which the expression was realized (e.g., the Art Deco period, etc.).

4.3.11 Critical Response to the Expression

Critical response is the reception given to the expression by reviewers, critics, etc., as encapsulated in an annotation (e.g., "Critically acclaimed for its use of....").

4.3.12 Use Restrictions on the Expression

Use restrictions are restrictions on access to and use of an expression. Use restrictions may be based in copyright, or they may extend beyond the protections guaranteed in law to the owner of the copyright.

4.3.13 Sequencing Pattern (Serial)

Sequencing pattern for an expression issued as a serial is the form anticipated to be used in designating volumes/issues, etc. and/or dates for the individual units of the serial (e.g. Volume ..., number ...).

4.3.14 Expected Regularity of Issue (Serial)

Expected regularity of issue of an expression issued as a serial is the anticipated regularity of release of individual issues (i.e., whether the release is expected to be regular or irregular).

4.3.15 Expected Frequency of Issue (Serial)

Expected frequency of issue for an expression issued as a serial is the interval at which individual issues of the serial are anticipated to be released (e.g., weekly, monthly, quarterly, annually, etc.).

4.3.16 Type of Score (Musical Notation)

Type of score is the format used to represent a musical composition (e.g., short score, full score, condensed score, close score, etc.).

4.3.17 Medium of Performance (Musical Notation or Recorded Sound)

Medium of performance is the instrumental and/or vocal medium of performance represented in the expression of a musical work (e.g., two pianos, soprano and alto, etc.). The instruments and/or voices represented in a particular expression of a work (e.g., in a transcription, in an arrangement, or in a performance) may differ from the medium of performance for which the work was originally intended. C.f., 4.2.8 Medium of Performance (Musical Work).

4.3.18 Scale (Cartographic Image/Object)

Scale is the ratio of distances in a cartographic expression to the actual distances they represent. Scale may apply to horizontal, vertical, angular, and/or other distances represented in the expression.

4.3.19 Projection (Cartographic Image/Object)

Projection is the method or system used to represent the surface of the Earth or of a celestial sphere on a plane (e.g., transverse Mercator, azimuthal equidistant, etc.).

4.3.20 Presentation Technique (Cartographic Image/Object)

Presentation technique is the method used to represent geographic or other features in a cartographic image (e.g., anaglyphic, diagrammatic, pictorial, etc.).

4.3.21 Representation of Relief (Cartographic Image/Object)

Representation of relief is the technique used to depict the elevations or the inequalities of a land surface or of the bed of a body of water in a cartographic image (e.g., contours, shading, hachures, spot heights, bathymetric tints, etc.).

4.3.22 Geodetic, Grid, and Vertical Measurement (Cartographic Image/Object)

Geodetic, grid, and vertical measurements include information on the spheroid used to construct the cartographic image, the grid or referencing systems used in the image, horizontal datum, vertical datum, mathematical data on contour intervals, bathymetric intervals, etc.

4.3.23 Recording Technique (Remote Sensing Image)

Recording technique is the technique used to capture an image through remote sensing (e.g., multispectral photography, infrared line scanning, SLAR, passive microwave mapping, etc.).

4.3.24 Special Characteristic (Remote Sensing Image)

A special characteristic of a remote sensing image or an image produced through aerial photography is the altitude and attitude of the sensor, the position of the platform, the category and name of the satellite, the number of spectral bands involved, the quality of the image, the extent of cloud cover, or the mean value of the ground resolution.

4.3.25 Technique (Graphic or Projected Image)

Technique is the method used to create a graphic image (e.g., engraving, etc.) or to realize motion in a projected image (e.g., animation, live action, computer generation, 3D, etc.).

4.4 Attributes of a Manifestation

The logical attributes of a manifestation defined for this study are the following:

• title of the manifestation
• statement of responsibility
• edition/issue designation
• place of publication/distribution
• publisher/distributor
• date of publication/distribution
• fabricator/manufacturer
• series statement
• form of carrier
• extent of the carrier
• physical medium
• capture mode
• dimensions of the carrier
• manifestation identifier
• source for acquisition/access authorization
• terms of availability
• access restrictions on the manifestation
• typeface (printed book)
• type size (printed book)
• foliation (hand-printed book)
• collation (hand-printed book)
• publication status (serial)
• numbering (serial)
• playing speed (sound recording)
• groove width (sound recording)
• kind of cutting (sound recording)
• tape configuration (sound recording)
• kind of sound (sound recording)
• special reproduction characteristic (sound recording)
• colour (image)
• reduction ratio (microform)
• polarity (microform or visual projection)
• generation (microform or visual projection)
• presentation format (visual projection)
• system requirements (electronic resource)
• file characteristics (electronic resource)
• mode of access (remote access electronic resource)
• access address (remote access electronic resource)

4.4.1 Title of the Manifestation

The title of the manifestation is the word, phrase, or group of characters naming the manifestation. There may be one or more titles associated with a manifestation. Titles associated with a manifestation include all those that appear in the manifestation itself (e.g., the title on the title page, title frame, etc., a cover title, added title-page title, caption title, running title, spine title, etc., the title in a colophon, explicit, etc., the title on a container, on a microfiche header, etc.), as well as those that have been assigned to the manifestation for purposes of bibliographic control (e.g., key title, expanded title, translated title, supplied title, etc.).

4.4.2 Statement of Responsibility

A statement of responsibility is a statement appearing in the manifestation (normally in conjunction with the title) that names one or more individuals or groups responsible for the creation or realization of the intellectual or artistic content embodied in the manifestation. An individual or group named may be directly responsible for the work embodied in the manifestation (e.g., the author, composer, etc.), or indirectly responsible (e.g., the author of a novel on which a film script is based). Other individuals or groups named in the statement may include those responsible for the expression of the work contained in the manifestation (e.g., translators, performers, etc.), or those responsible for the compilation of works contained in the manifestation (e.g., the editor, compiler, etc.). A statement of responsibility may name an organization responsible for sponsoring or issuing the work contained in the manifestation. The statement may also indicate the role or function performed by each of the individuals, groups, or organizations responsible. The names appearing in the statement of responsibility in the manifestation may or may not be those of the persons and corporate bodies actually responsible for the creation or realization of the intellectual or artistic content embodied in the manifestation. Similarly, the stated functions may or may not reflect the actual relationship that exists between the individuals and groups named and the intellectual or artistic content.

4.4.3 Edition/Issue Designation

The edition or issue designation of the manifestation is a word or phrase appearing in the manifestation that normally indicates a difference in either content or form between themanifestation and a related manifestation previously issued by the same publisher/distributor (e.g., second edition, version 2.0, etc.), or simultaneously issued by either the same publisher/distributor or another publisher/distributor (e.g., large print edition, British edition, etc.). The edition/issue designation pertains to all copies of a manifestation produced from substantially the same master and issued by the same publisher/distributor or group of publishers/distributors.

4.4.4 Place of Publication/Distribution

The place of publication/distribution of the manifestation is the city, town, or other locality associated in the manifestation with the name of the publisher/distributor. The place of publication may comprise the name of the state, province, territory, and/or country as well as the local place name. A manifestation may be associated with one or more places of publication/distribution.

4.4.5 Publisher/Distributor

The publisher/distributor of the manifestation is the individual, group, or organization named in the manifestation as being responsible for the publication, distribution, issuing, or release of the manifestation. A manifestation may be associated with one or more publishers or distributors.

4.4.6 Date of Publication/Distribution

The date of publication/distribution of the manifestation is the date (normally a year) of public release of the manifestation. The date may be a single date of publication or release, or a range of dates (e.g., in the case of a serial publication). In the absence of a date designated as the date of publication or release, a copyright date or a date of printing or manufacture may serve as a substitute.

4.4.7 Fabricator/Manufacturer

The fabricator/manufacturer of the manifestation is the individual, group, or organization named in the manifestation as being responsible for the fabrication or manufacture of the manifestation. A manifestation may be associated with one or more fabricators or manufacturers.

4.4.8 Series Statement

A series statement is the word, phrase, or group of characters appearing in the manifestation naming the series to which the manifestation belongs. A series statement may also include a number designating the sequential position of the manifestation within the series. There may be one or more series and/or subseries named in the manifestation.

4.4.9 Form of Carrier

The form of carrier is the specific class of material to which the physical carrier of the manifestation belongs (e.g., sound cassette, videodisc, microfilm cartridge, transparency, etc.). The carrier for a manifestation comprising multiple physical components may include more than one form (e.g., a filmstrip with an accompanying booklet, a separate sound disc carrying the sound track for a film, etc.).

4.4.10 Extent of the Carrier

The extent of the carrier is a quantification of the number of physical units making up the carrier (e.g., number of sheets, discs, reels, etc.).

4.4.11 Physical Medium

Physical medium is the type of material from which the carrier is produced (e.g., paper, wood, plastic, metal, etc.). The physical medium may include in addition to the base material any material that is applied to the base (e.g., oil paint applied to canvas, a chemical emulsion applied to a film base, etc.). Each component of a manifestation comprising multiple physical components may be produced from a different type of material.

4.4.12 Capture mode

Capture mode is the means used to record notation, sound, or images in the production of a manifestation (e.g., analogue, acoustic, electric, digital, optical etc.).

4.4.13 Dimensions of the Carrier

The dimensions of the carrier are the measurements of the physical components and/or the container of the manifestation. The dimensions may comprise measurements of height (e.g., 18 cm bound volume), width (e.g., 8mm film), height x width (e.g., 5 x 5 cm slide), height x width x depth (e.g., 9 x 30 x 20 cm model), or diameter (e.g., 30 cm disc).

4.4.14 Manifestation Identifier

The manifestation identifier is a number or code uniquely associated with the manifestation that serves to differentiate that manifestation from any other manifestation. A manifestation may have one or more identifiers associated with it. The identifier may be assigned as part of an international numbering or coding system (e.g., ISBN, etc.), as part of a national system (e.g., legal deposit number), or it may be assigned independently by the publisher or distributor of the manifestation (e.g., government publication number, music publisher's number, clearinghouse inventory number, etc.). A manifestation identifier may also be assigned by a bibliographer, musicologist, etc. The manifestation identifier may comprise both a numeric component and a textual or coded component identifying the system under which it was assigned and/or the agency or individual that assigned the number, so as to render the identifier unique to the manifestation.

4.4.15 Source for Acquisition/Access Authorization

The source for acquisition or access authorization of a manifestation is the name of a publisher, distributor, etc. indicated in the manifestation as the source from which the manifestation may be acquired or through whom access may be authorized. The source for acquisition/access authorization will normally also include an address for the publisher, distributor, etc. A manifestation may be associated with one or more sources.

4.4.16 Terms of Availability

Terms of availability are the terms indicated in the manifestation under which the supplier (i.e., the source for acquisition/access authorization) will normally make the manifestation available (e.g., free to members of a particular association), or the price for which the manifestation sells.

4.4.17 Access Restrictions on the Manifestation

Access restrictions are restrictions on access to and use of a manifestation. Access restrictions may be based in copyright, or they may extend beyond the protections guaranteed in law to the owner of the copyright.

4.4.18 Typeface (Printed Book)

Typeface is the style of type used to print a book (e.g., Baskerville, Times New Roman, etc.)

4.4.19 Type Size (Printed Book)

Type size is the size of the characters in a printed book (e.g., 10 point).

4.4.20 Foliation (Hand-Printed Book)

The foliation of a hand-printed book reflects the number of folds made in a printed sheet to form a gathering of leaves (e.g., a sheet folded twice to form a quarto, three times to form an octavo, etc.)

4.4.21 Collation (Hand-Printed Book)

Collation reflects the sequence of gatherings in a book as indicated by signatures on each gathering (e.g., four gatherings bearing signatures A through D).

4.4.22 Publication Status (Serial)

Publication status for a manifestation issued as a serial is the status of the serial with respect to its continuing publication (i.e., whether it is currently published or has ceased publication).

4.4.23 Numbering (Serial)

Numbering for a manifestation issued as a serial is the designation of volume/issue, etc. and/or date appearing in the manifestation. The numbering may comprise a numeric, alphabetic and/or a date component (e.g., Volume 1, number 1 (January 1971)).

4.4.24 Playing Speed (Sound Recording)

Playing speed for a sound recording is the speed at which the carrier must be operated to produce the sound intended (e.g., 33 1/3 rpm, 19 cm/s, etc.)

4.4.25 Groove Width (Sound Recording)

Groove width is indicative of the number of grooves per inch cut on a disc or cylinder (e.g., microgroove--i.e., 200 grooves per inch).

4.4.26 Kind of Cutting (Sound Recording)

Kind of cutting is the direction in which the grooves are cut on a disc or cylinder (e.g., lateral, vertical, etc.).

4.4.27 Tape Configuration (Sound Recording)

Tape configuration is the number of tracks on a sound tape (e.g., eight track, twelve track).

4.4.28 Kind of Sound (Sound Recording)

The kind of sound reflects the number of sound channels used to make the recording (monaural, stereophonic, quadraphonic, etc.).

4.4.29 Special Reproduction Characteristic (Sound Recording)

A special reproduction characteristic is the equalization system, noise reduction system, etc. used in making the recording (e.g., NAB, DBX, Dolby, etc.).

4.4.30 Colour (Image)

Colour is the colour(s), tone(s), etc. (including black and white) used in the production of an image.

4.4.31 Reduction Ratio (Microform)

Reduction ratio is the degree to which a text or image has been reduced in the process of microfilming (e.g., 42x, etc.). Reduction ratio may also be indicated as a range (e.g., very high reduction indicates a reduction in the range of 61x to 90x).

4.4.32 Polarity (Microform or Visual Projection)

Polarity is the relationship of the colours and tones in an image on film to the colours and tones of the object filmed. When the colours and tones in the film image reflect directly the colour and tones of the object filmed, the polarity is positive. When they are the reverse of the object the polarity is negative. The polarity of images in a manifestation comprising more than one image may be mixed.

4.4.33 Generation (Microform or Visual Projection)

Generation is a reflection of the number of times an image on film has been transferred from one carrier to another (e.g., a first generation camera master, a second generation printing master, a third generation service copy, etc.).

4.4.34 Presentation Format (Visual Projection)

Presentation format is the format used in the production of a projected image (e.g., wide screen, Beta, VHS, etc.).

4.4.35 System Requirements (Electronic Resource)

System requirements for an electronic resource include requirements related to hardware (e.g. machine make and model, RAM capacity, etc.), software (e.g., operating systems, programming language, supporting software, etc.), and peripherals (monitor, printer, mouse, etc.)

4.4.36 File Characteristics (Electronic Resource)

File characteristics for an electronic resource include standards or schemes used to encode the file (e.g., ASCII, SGML, etc.), physical characteristics of the file (e.g., recording density, parity, blocking, etc.), and other characteristics that have a bearing on how the file can be processed.

4.4.37 Mode of Access (Remote Access Electronic Resource)

Mode of access is the means of accessing a remote electronic resource (e.g., Internet, World Wide Web, etc.).

4.4.38 Access Address (Remote Access Electronic Resource)

Access address is an alpha-numeric code (e.g., universal resource locator - URL) used to facilitate remote access to an electronic resource.

4.5 Attributes of an Item

The logical attributes of an item defined for this study are the following:

• item identifier
• fingerprint
• provenance of the item
• marks/inscriptions
• exhibition history
• condition of the item
• treatment history
• scheduled treatment
• access restrictions on the item

Note: The attributes defined for the purposes of this study do not include those associated with transactions of an ephemeral nature such as the circulation or processing of an item.

4.5.1 Item Identifier

The item identifier is a number or code that is uniquely associated with the item, and serves to differentiate that item from any other item in the same collection and/or institution (e.g., call number, accession number, bar code, etc.). The number is normally assigned by the institution that holds the item. The item identifier may also include a name or code identifying the institution or repository in which the item is housed, and a name or code identifying a particular collection or sub-unit within the institution (e.g., a rare book collection, a branch library, etc.).

4.5.2 Fingerprint

A fingerprint is an identifier constructed by combining groups of characters transcribed from specified pages of a printed item. The technique is used primarily to signal differences between individual copies of early printed books. There are various formulae for constructing the fingerprint (e.g., the one specified in Fingerprints = Empreintes = Impronte, published by the Institut de Recherche et d'Histoire des Textes in Paris).

4.5.3 Provenance of the Item

The provenance of an item is a record of previous ownership or custodianship of the item.

4.5.4 Marks/inscriptions

Marks/inscriptions on an item include any signatures, numbering, annotations, etc. that have been applied uniquely to the item by the artist, fabricator, owner, etc.

4.5.5 Exhibition History

Exhibition history is a record of public exhibitions of an item, including dates, venues, etc.

4.5.6 Condition of the Item

Condition of an item is the physical condition of the item, particularly any variances between the physical makeup of the item and that of the manifestation it exemplifies (e.g., missing pages, plates, etc.). Condition may reflect other aspects of the physical condition of the item as well (e.g., brittleness, faded images, etc.).

4.5.7 Treatment History

The treatment history of an item is a record of the treatment the item has undergone (e.g., deacidification, restoration, etc.) Treatment history may also comprise details of the treatment process (e.g., chemical solutions used, techniques applied, etc.), the date the treatment was applied, etc.

4.5.8 Scheduled Treatment

The scheduled treatment of an item is a plan for future treatment of the item (e.g., chemical wash). Scheduled treatment may also comprise details of the planned treatment process and the scheduled date of application.

4.5.9 Access Restrictions on the Item

Access restrictions on an item are any limitations placed on physical access to the item (e.g., restricted to supervised on-site use, etc.).

4.6 Attributes of a Person

The logical attributes of a person defined for this study are the following:

• name of person
• dates of person
• title of person
• other designation associated with the person

4.6.1 Name of Person

The name of a person is the word, character, or group of words and/or characters by which the person is known (e.g., Donald Horne, A. A. Milne, Ellery Queen, etc.). A name may include one or more forenames (or given names), matronymics, patronymics, family names (or surnames), sobriquets, dynastic names, etc. A person may be known by more than one name, or by more than one form of the same name. A bibliographic agency normally selects one of those names as the uniform heading for purposes of consistency in naming and referencing the person. The other names or forms of name may be treated as variant names for the person. In some cases (e.g., in the case of a person who writes under more than one pseudonym, or a person who writes both in an official capacity and as an individual) the bibliographic agency may establish more than one uniform heading for the person.

4.6.2 Dates of Person

The dates associated with a person may include the precise or approximate date of the person's birth and/or death, or dates indicating the period in which the person was known to be active in a given field of endeavour.

4.6.3 Title of Person

The title of a person is a word or phrase indicative of rank, office, nobility, honour, etc. (e.g., Major, Premier, Duke, etc.), or a term of address (Sir, Mrs., etc.) associated with the person.

4.6.4 Other Designation Associated with the Person

A designation associated with a person is a numeral, word, or abbreviation indicating succession within a family or dynasty (e.g., III, Jr., etc.), or an epithet or other word or phrase associated with the person (e.g., the Brave, Professional Engineer, etc.).

4.7 Attributes of a Corporate Body

The logical attributes of a corporate body defined for this study are the following:

• name of the corporate body
• number associated with the corporate body
• place associated with the corporate body
• date associated with the corporate body
• other designation associated with the corporate body

4.7.1 Name of the Corporate Body

The name of a corporate body is the word, phrase, character, or group of words and/or characters by which the body is known (e.g., Royal Aeronautical Society, IBM, Séminaire européen sur la recherche en éducation, Friedrich Witte, etc.). A corporate body may be known by more than one name, or more than one form of the same name. A bibliographic agency normally selects one of those names as the uniform heading for purposes of consistency in naming and referencing the corporate body. The other names or forms of name may be treated as variant names for the corporate body. In some cases (e.g., in the case where a corporate body is known by different names at different periods in its history) the bibliographic agency may establish more than one uniform heading for the corporate body.

4.7.2 Number Associated with the Corporate Body

Number associated with the corporate body is the numerical designation sequencing a meeting, conference, exhibition, fair, etc. that constitutes one of a series of related meetings, conferences, exhibitions, fairs, etc., or any other numerical designation associated with a corporate body.

4.7.3 Place Associated with the Corporate Body

Place associated with the corporate body is the city, town, or other designation of location in which a meeting, conference, exhibition, fair, etc. was held, or the location with which the corporate body is otherwise associated (e.g., Los Angeles, Bretton Woods, Oxford University, etc.). The place may comprise the name of the state, province, territory, and/or country as well as the local place name.

4.7.4 Date Associated with the Corporate Body

Date associated with the corporate body is the date or range of dates on which a meeting, conference, exhibition, fair, etc. was held, or a date with which the corporate body is otherwise associated (e.g., the date of its incorporation).

4.7.5 Other Designation Associated with the Corporate Body

A designation associated with the name of a corporate body is a word, phrase, or abbreviation indicating incorporation or legal status of the body (e.g., Inc., Ltd., etc.), or any term serving to differentiate the body from other corporate bodies, persons, etc. (e.g., firm, musical group, etc.).

4.8 Attributes of a Concept

The logical attributes of a concept defined for this study are the following:

term for the concept

4.8.1 Term for the Concept

The term for the concept is the word, phrase, or group of characters used to name or designate the concept (e.g., economics, existentialism, radioactivity, etc.). A concept may be designated by more than one term, or by more than one form of the term. A bibliographic agency normally selects one of those terms as the uniform heading for purposes of consistency in naming and referencing the concept. The other terms or forms of term may be treated as variant terms for the concept.

4.9 Attributes of an Object

The logical attributes of an object defined for this study are the following:

term for the object

4.9.1 Term for the Object

The term for the object is the word, phrase, or group of characters used to name or designate the object (e.g., a building, a ship, etc.). An object may be designated by more than one term, or by more than one form of the term. A bibliographic agency normally selects one of those terms as the uniform heading for purposes of consistency in naming and referencing the object. The other terms or forms of term may be treated as variant terms for the object.

4.10 Attributes of an Event

The logical attributes of an event defined for this study are the following:

term for the event

4.10.1 Term for the Event

The term for the event is the word, phrase, or group of characters used to name or designate the event (e.g., Battle of Hastings, Tour de France, etc.). An event may be designated by more than one term, or by more than one form of the term. A bibliographic agency normally selects one of those terms as the uniform heading for purposes of consistency in naming and referencing the event. The other terms or forms of term may be treated as variant terms for the event.

4.11 Attributes of a Place

The logical attributes of a place defined for this study are the following:

term for the place

4.11.1 Term for the Place

The term for the place is the word, phrase, or group of characters used to name or designate the place (e.g., London, St. Lawrence River, etc.). A place may be designated by more than one term, or by more than one form of the term. A bibliographic agency normally selects one of those terms as the uniform heading for purposes of consistency in naming and referencing the place. The other terms or forms of term may be treated as variant terms for the place.

5. Relationships

5.1 Bibliographic Relationships in the Context of the Model

Various terms are used by creators and publishers of intellectual and artistic entities to signal relationships between those entities. Terms such as "edition" and "version" are frequently encountered on publications and other materials, as are statements such as "based on ..." or "translated from ...." In many cases such terms or statements serve as a signal to the cataloguer that a relationship should be reflected in the bibliographic record. The problem with relying on commonly applied terms as a starting point for analyzing bibliographic relationships is that those terms are neither clearly defined nor uniformly applied. In this study relationships are examined in the context of the entities defined for the model, i.e., they are analysed specifically as relationships that operate between one work and another, between one expression and another, between a manifestation and an item, etc.

In the context of the model, relationships serve as the vehicle for depicting the link between one entity and another, and thus as the means of assisting the user to "navigate" the universe that is represented in a bibliography, catalogue, or bibliographic database. Typically the user will formulate a search query using one or more attributes of the entity for which he or she is searching, and it is through the attribute that the user finds the entity sought. The relationships reflected in the bibliographic record provide additional information that assists the user in making connections between the entity found and other entities that are related to that entity.

Relationships may be reflected in bibliographic records in a number of ways. Some relationships, especially those depicted in the entity-relationship diagrams in Chapter 3 (Figures 3.1 through 3.3), are often reflected simply by concatenating attributes of one entity with attributes of the related entity in a single record. For example, a record will normally couple the attributes of a particular manifestation with the attributes of the expression that is embodied in that manifestation and with the attributes of the work that is realized through that expression. Relationships are also frequently reflected implicitly by appending to the record a heading identifying a related entity. The relationship of the work to the person or corporate body, for example, is normally reflected implicitly by appending to the record a heading identifying the person or corporate body responsible for the work. Relationships are sometimes reflected by "layering" attributes of one entity with those of related entities (e.g., in a multi-level record describing both an aggregate entity and its individual component entities). Relationships are also frequently made explicit through the use of a note or similar device that indicates not only that a relationship exists between the entity described in the record and another entity, but also states specifically the nature of the relationship (e.g., "Translated from the English text of the 1891 edition").

It is important to bear in mind that for the purposes of this study a relationship is not operative unless the entities on each side of the relationship are explicitly identified. For example, "based on a play by Henrik Ibsen" does not operatively state a work-to-work relationship; "based on Ghosts by Henrik Ibsen" does.

It is also important to note that within the entity-relationship model relationships can be depicted either at the level at which they actually operate, or at a more general level when the precise relationship cannot be easily determined. For example, a concordance to Joyce's Finnegans Wake in reality will have been based on a particular embodiment (i.e., manifestation) of a particular text (i.e., expression); it may not be possible, if the precise edition of the base text is unknown, to state the relationship of the concordance to the particular expression and/or manifestation on which it is based. In that case it is possible only to state the relationship of the concordance to Finnegans Wake (i.e., work). The model therefore provides an option for certain kinds of relationships to be expressed at either one of two levels.

The sections that follow describe the relationships used in the model and how they function.

Sections 5.2 through 5.2.3 describe the logical relationships between entity types that are shown on the high level entity-relationship diagrams in Chapter 3 (Figures 3.1 through 3.3). In the entity-relationship diagrams those relationships are shown simply to indicate how at a generalized level the entities are connected with one another (i.e., how works are connected with expressions, how they are connected with persons and corporate bodies, how they are connected with concepts, objects, events, etc.; how expressions are connected with manifestations, how they are connected with persons and corporate bodies; etc.). At a more specific level, the same relationships are used to link a particular expression with the work it realizes, a particular manifestation with the expression it embodies, etc.

Sections 5.3 through 5.3.6.1 describe another set of relationships associated with the four primary entities (work, expression, manifestation, and item) that operate more specifically between designated instances of entities (e.g., between one work and another, between two expressions of the same work, between an expression of one work and an expression of another work, etc.).

5.2 Relationships Depicted in the High Level Diagrams

The entity-relationship diagrams in Chapter 3 (Figures 3.1 through 3.3) show logical relationships between entities at the highest level of generalization in the model. The relationships depicted in the diagrams indicate simply how at a logical level the different types of entities in the model are connected with one another (i.e., how works are connected with expressions, how they are connected with persons and corporate bodies, etc.). For example, the line labeled "realized through" that links work with expression indicates in generalized terms that a work is realized through an expression.

As noted in Chapter 3 (sections 3.1.1 through 3.1.3), the entities in the model fall into three groups. The primary group comprises the products of intellectual or artistic endeavour: work, expression, manifestation, and item. The second group comprises those entities responsible for the intellectual or artistic content, the production and dissemination, or the custodianship of such products: person and corporate body. The third group comprises an additional set of entities that together with the entities in the first and second groups may serve as the subject of a work: concept, object, event, and place.

5.2.1 Relationships Between Work, Expression, Manifestation, and Item

The relationships depicted in Figure 3.1 that link work to expression, expression to manifestation, and manifestation to item are central to the structure of the entity-relationship model. Each of the three primary relationships (i.e., the "realized through" relationship connecting work and expression, the "embodied in" relationship connecting expression and manifestation, and the "exemplified by" relationship connecting manifestation and item) is unique and operates between only one pair of entities in the model. In all three cases, in fact, the relationships reflected in the link are integral to the definition of the entities involved in the relationship.

The first of those relationships indicates that a work is "realized through" expression. Viewed from the reverse direction, the relationship indicates that an expression "is a realization of" a work, which is in fact how expression is defined as an entity ("the intellectual or artistic realization of a work.... "). The logical connection between work and expression, as reflected in the model through the relationship link, serves as the basis both for identifying the work represented by an individual expression and for ensuring that all expressions of a work are linked to the work. Indirectly the relationships between a work and the various expressions of that work also serve to establish an implicit "sibling" relationship between the various expressions of the work.

Similarly, the relationship connecting expression with manifestation, indicating that an expression is "embodied in" a manifestation, or conversely that a manifestation is the embodiment of an expression, reflects the definition of manifestation ("the physical embodiment of the expression...."). In this case the logical connection serves as the basis both for identifying the expression of a work embodied in an individual manifestation and for ensuring that all manifestations of the same expression are linked back to that expression. Indirectly the relationships between an expression and the various manifestations of that expression also serve to establish an implicit "sibling" relationship between the various manifestations of the expression.

The same holds true for the "exemplified by" relationship that connects manifestation with item. Again, this is a unique relationship that is integral to the definition of item ("a single exemplar of a manifestation"). The logical connection serves as the basis both for identifying the manifestation exemplified by an individual item and for ensuring that all copies (i.e., items) of the same manifestation are linked to that manifestation. Indirectly the relationships between a manifestation and the various items exemplifying that manifestation also serve to establish an implicit "sibling" relationship between the various copies (i.e., items) of a manifestation.

It should be noted that although the relationships between work, expression, manifestation, and item are depicted in the entity-relationship diagram in a segmented way, they operate logically as a continuous chain. That is to say that the relationship from work to expression carries through to the relationship from expression to manifestation, and those two relationships subsequently carry through to the relationship from manifestation to item. Thus when a relationship is made between an expression and a manifestation that embodies the expression, the manifestation is at the same time logically linked to the work that is realized through the expression, given that the expression has been linked to the work it realizes.

5.2.2 Relationships to Persons and Corporate Bodies

The entities in the second group (person and corporate body) are linked to the first group by four relationship types: the "created by" relationship that links both person and corporate body to work; the "realized by" relationship that links the same two entities to expression; the "produced by" relationship that links them to manifestation; and the "owned by" relationship that links them to item.

The "created by" relationship may link a work to a person responsible for the creation of the intellectual or artistic content of the work; it may also link a work to a corporate body responsible for the work. The logical connection between a work and a related person or corporate body serves as the basis both for identifying the person or corporate body responsible for an individual work and for ensuring that all works by a particular person or corporate body are linked to that person or corporate body.

The "realized by" relationship may link an expression to a person or corporate body responsible for the realization of a work. It is similar in function to the "created by" relationship, but it implies a difference in the nature of the relationship that parallels the difference between work and expression as entities. A person or corporate body responsible for the intellectual or artistic content of a work is responsible for the conception of the work as an abstract entity; a person or corporate body responsible for the expression of the work is responsible for the specifics of the intellectual or artistic realization or execution of the expression. The logical connection between an expression and a related person or corporate body serves as the basis both for identifying the person or corporate body responsible for an individual expression and for ensuring that all expressions realized by a person or corporate body are linked to that person or corporate body.

The "produced by" relationship may link a manifestation to the person or corporate body responsible for publishing, distributing, fabricating or manufacturing the manifestation. The logical connection between a manifestation and a related person or corporate body could serve as the basis both for identifying the person or corporate body responsible for producing or disseminating a manifestation and for ensuring that all manifestations produced or disseminated by a person or corporate body are linked to that person or corporate body.

The "owned by" relationship may link an item to the person or corporate body that is the owner or custodian of the item. The logical connection between an item and a related person or corporate body could serve as the basis both for identifying the person or corporate body that owns or has custodianship of an item and for ensuring that all manifestations owned by or in the custodianship of a particular person or corporate body are linked to that person or corporate body.

5.2.3 Subject Relationships

The entities in all three groups are connected to the work entity by a subject relationship. The "has as subject" relationship indicates that any of the entities in the model, including work itself, may be the subject of a work. Stated in slightly different terms, the relationship indicates that a work may be about a concept, an object, an event, or place; it may be about a person or corporate body; it may be about an expression, a manifestation, or an item; it may be about another work. The logical connection between a work and a related subject entity serves as the basis both for identifying the subject of an individual work and for ensuring that all works relevant to a given subject are linked to that subject.

5.3 Other Relationships Between Group 1 Entities

Tables 5.1 through 5.11 give an overview of additional relationships between group 1 entities that were not depicted on the high level entity-relationship diagram in Figure 3.1. They identify the major types of relationships that operate between instances of the same entity type or between instances of different entity types, and they include examples of specific kinds of entities that are typically involved in each type of relationship, but they are not meant to be exhaustive. In order to facilitate the description of the relationships, specific relationships have been grouped into logical relationship types, and each group has been given a relationship type name. The primary goal of this study, however, is not to provide higher level groupings for relationships, but rather to describe the nature of bibliographic relationships by "deconstructing" conventional terms and categories, and to show how the relationships operate in the context of the four primary entities in the model (i.e., work, expression, manifestation, and item).

The tables (as illustrated below) are set up to show in the left-hand column the various types of relationships that operate between the entity types specified in the heading for each table (in this case manifestation-to-manifestation). For each relationship type there is a pair of relationship statements formulated as they would appear in an entity-relationship diagram. The first statement in the pair indicates the relationship as it would be drawn from the first entity to the second entity; the second indicates the reciprocal relationship as it would be drawn from the second entity to the first entity. The column to the right lists examples of the kinds of entities that would typically occupy the position of the second entity in each relationship type.

Manifestation-to-Manifestation Relationships

Relationship Type	Manifestation
Reproduction has a reproduction → ← is a reproduction of	Reproduction Microreproduction Macroreproduction Reprint Photo-offset reprint Facsimile

In the table illustrated above, under the relationship type labeled as "reproduction," the first statement (has a reproduction →) indicates the relationship as it would be drawn from the first manifestation in the relationship to the second manifestation in the relationship. In this case the second manifestation would typically be one of the kinds of entities listed in the right-hand column (a microreproduction, reprint, facsimile, etc.).  The reciprocal relationship statement (← is a reproduction of) indicates the relationship as it would be drawn from the second manifestation (i.e., from the microreproduction, reprint, facsimile, etc.) to the first manifestation (i.e., the manifestation that has been reproduced). Expanding on the notation that has been used in the examples to reflect the implicit relationships between a work, an expression, a manifestation, and an item, the relationship in the table above would be illustrated by example as follows:

In some tables there is only one column of examples; in others the entities have been divided into two categories (e.g., dependent and independent) and there are two columns of examples. The reasons for subdividing the examples in some instances into two categories, and the distinctions between the categories, are explained in the sections that follow.

5.3.1 Work-to-Work Relationships

Table 5.1 shows different kinds of work-to-work relationships.

Table 5.1  Work-to-Work Relationships

Relationship Type	Referential Work	Autonomous Work
Successor has a successor → ← is a successor to	Sequel	Sequel Succeeding work
Supplement has a supplement → ← supplements	Index Concordance Teacher's guide Gloss Supplement Appendix	Supplement Appendix
Complement has a complement → ← complements	Cadenza Libretto Choreography Ending for unfinished work	Incidental music Musical setting for a text Pendant
Summarization has a summary → ← is a summary of		Digest Abstract
Adaptation has adaptation → ← is an adaptation of		Adaptation Paraphrase Free translation Variation (music) Harmonization (music) Fantasy music (music)
Transformation has a transformation → ← is a transformation of		Dramatization Novelization Versification Screenplay
Imitation has an imitation → ← is an imitation of		Parody Imitation Travesty

A basic premise of the work-to-work relationship is that two different works have been recognized to exist; that is, the intellectual or artistic content of one work has been judged sufficiently different from the other to constitute a separate work.

Among the work-to-work relationships shown in Table 5.1 there are two categories: those involving a work that is referential in nature, and those involving autonomous works. A referential work is one that is so closely connected to the other work in the relationship that it has little value outside the context of that other work. An autonomous work is one that does not require reference to the other work in the relationship in order to be useful or understood.

The centre column in Table 5.1 labeled "referential work" shows the different kinds of works that will have little use or meaning without reference to the other work in the relationship. Within this category fall sequels that depend on the preceding work in order to be understood, indexes and concordances to a work, cadenzas, etc.

The right-hand column of Table 5.1 labeled "autonomous work" shows different kinds of works that have a relationship to another work, but which can be used and understood without reference to the other work. Within this category fall autonomous successors and supplements, as well as abstracts, adaptations, dramatizations, parodies, etc.

Three types of relationships cut across the referential and autonomous categories: successor, supplement, and complement. The successor type of relationship involves a kind of linear progression of content from one work to the other. In some cases, the content of the successor may be closely connected to the content of the preceding work, which would result in a work that is referential. In others, such as with loosely connected parts of a trilogy, the successor will be autonomous. Serial publications that result from the merger or split of their predecessors and stand on their own without requiring reference to the predecessor are also examples of autonomous works that fall within the successor relationship type.

The supplement relationship type involves works that are intended to be used in conjunction with another work. Some of these, such as indices, concordances, teachers' guides, glosses, and instruction manuals for electronic resources will be so closely associated with the content of the related work that they are useless without the other work. Such works are by definition referential. Supplements and appendices also frequently fall within the referential category, but if they can be used without reference to the related work they fall within the autonomous category.

The third relationship type, complement, involves works that are intended to be combined with or inserted into the related work. In other words, they are intended to be integrated in some way with the other work, but were not part of the original conception of that prior work. As with successors and supplements, some complements can be used or understood on their own without reference to another work (i.e., they are autonomous), others require an understanding of another work (i.e., they are referential).

Also in the autonomous category are groupings of four additional relationship types: summarization, adaptation, transformation, and imitation. The kinds of works represented in these groupings all involve the modification of an original work that is sufficient in degree to warrant their being considered as new works, rather than simply different expressions of the same work. Any work falling into one of these four groupings is by definition considered autonomous.

The significance of the distinction that has been made between works that fall within the referential category and those in the autonomous category becomes clear when evaluating the relative importance of reflecting relationships in a bibliographic record. In terms of the relative utility of work-to-work relationships, it would be most important to provide information about a relationship between a referential successor, supplement, or complement and the work to which it is related, since meaningful use of the successor, supplement, or complement is highly dependent on the content of the other work. On the other hand, with an autonomous work an understanding of the predecessor work, while useful, would not be indispensable to understanding or using the successor, supplement, or complement. The same holds true for summarizations, adaptations, transformations, and imitations. Consequently, for autonomous works making the relationship explicit in the bibliographic record is less critical.

It should be evident from the examples above that the terms applied by publishers often may not be sufficient to indicate clearly whether a work should be considered referential or autonomous. Works characterized as sequels, supplements, and appendices can fall under either category. The cataloguer must judge whether the work can be used only with reference to the related work or if it can be used and understood independently.

5.3.1.1 Whole/Part Relationships at the Work Level

Table 5.2 shows whole/part relationships at the work level.

Table 5.2  Whole/Part Work-to-Work Relationships

Relationship Type	Dependent Part	Independent Part
Whole/Part has part → ← is part of	Chapter, Section, Part, etc. Volume/issue of serial Intellectual part of a multipart work Illustration for a text Sound aspect of a film	Monograph in a series Journal article Intellectual part of a multipart work

Within the whole/part relationships there are two categories: those involving dependent parts, and those involving independent parts. Dependent parts are component parts of a work that are intended to be used in the context of the larger work and as such depend on the context provided by the larger work for much of their meaning. Dependent components are often difficult to identify without reference to the larger work as they generally do not have distinctive names/titles. Independent parts are those that do not depend to any significant extent on the context provided by the larger work for their meaning. Typically, independent components have distinctive names/titles. It is assumed that in both cases, the work that represents the whole is an independent work.

The dependent category can itself be divided into two subcategories: segmental parts; and systemic parts of the work's content. Segmental parts are discrete components of a work whose content exists as a distinct identifiable segment within a whole. Among discrete components of works would be included prefaces, chapters, sections, parts, and so on.

A systemic part of a work, on the other hand, cannot be viewed as a bounded segment of the content of the work. Rather, a systemic part is an integral aspect that extends across and is interwoven with the rest of the content of the work. Illustrations for a text or the cinematography of a film are examples of the integral aspect; they can be identified and discussed as intellectual or artistic parts of the whole, but do not represent separate sequential segments of the content as segmental components do.

There often will be no reason for a dependent part of a work to be separately identified or described in a bibliographic record. In certain instances, however, such as when a preface or introduction has been written by a well-known author who is not the author of the main text, it may be considered useful to identify and describe the component in its own right. Because dependent parts by definition need to be placed in the context of the larger work, the relationship, if formally articulated, is typically done by appending an added entry for the component to the record describing the larger work; alternatively, the relationship can be reflected less formally through a contents note.

Independent parts of a work are much more apt to be identified and described in their own right. The category includes monographs in a monographic series (where the series represents the whole); articles in a journal or issues of a journal (where the journal represents the whole); or independent intellectual components of a multipart work or kit, where that component can have value outside the context provided by the other components of the kit. The independent category also includes commonly recognized parts of larger works such as books of the Bible, etc.

5.3.2 Expression-to-Expression Relationships

Tables 5.3 and 5.4 show different kinds of expression-to-expression relationships.

Expression-to-expression relationships fall into two major divisions: those in which each expression involved in the relationship is an expression of the same work; and those in which each expression involved in the relationship is an expression of a different work.

Table 5.3  Expression-to-Expression Relationships

Between expressions of the same work
Relationship Type	Referential Expression	Autonomous Expression
Abridgement has an abridgement → ← is an abridgement of		Abridgement Condensation Expurgation
Revision has a revision → ← is a revision of		Revised edition Enlarged edition State (graphic)
Translation has a translation → ← is a translation of		Literal translation Transcription (music)
Arrangement (music) has an arrangement → ← is an arrangement of		Arrangement (music)

Relationships between expressions of the same work (Table 5.3) occur when one expression has been derived from another. In these types of relationships, one expression is seen to be a modification of the other. The modification may be a literal translation, in which the intent is to render the intellectual content of the previous expression as accurately as possible (note that free translations are treated in the model as new works); a revision, in which the intent is to alter or update the content of the prior expression, but without changing the content so much that it becomes a new work; an abridgement, in which some content of the previous expression is removed, but the result does not alter the content to the extent that it becomes a new work; or an arrangement of a musical composition. The expressions resulting from such modification are generally autonomous in nature (i.e., they do not normally require reference to the prior expression in order to be used or understood).

Table 5.4 Expression-to-Expression Relationships (cont'd)

Between expressions of different works
Relationship Type	Referential Expression	Autonomous Expression
Successor has a successor → ← is a successor to	Sequel	Sequel Succeeding work
Supplement has a supplement → ← supplements	Index Concordance Teacher's guide Gloss Supplement Appendix	Supplement Appendix
Complement has a complement → ← complements	Cadenza Libretto Choreography Ending for unfinished work	Incidental music Musical setting for a text Pendant
Summarization has a summary → ← is a summary of		Digest Abstract
Adaptation has adaptation → ← is an adaptation of		Adaptation Paraphrase Free translation Variation (music)
Transformation has a transformation → ← is a transformation of		Dramatization Novelization Screenplay
Imitation has an imitation → ← is an imitation of		Parody Imitation

Expression-to-expression relationships, when they involve expressions of different works (Table 5.4) include the same relationship types that operate at the work-to-work level. Of the different types, successor, supplement, and complement relationships will be the ones most commonly stated at the expression level. For example, a note in a bibliographic record for a supplement might refer back to the specific edition (i.e., expression) of a preceding work that it was intended to supplement. It is important to bear in mind that the works represented by the expressions can be either referential or autonomous; judgments about the utility of the expression-to-expression relationship will be based on whether the work represented is referential or autonomous.

For summarizations, adaptations, transformations, and imitations, it is perhaps less common to state a relationship to a particular expression of a prior work. Nonetheless, it may be useful to state the relationship at that level when the information is readily at hand, e.g., "Adaptation by John Barton based on William Caxton's 1485 edition of the text."

5.3.2.1 Whole/Part Relationships at the Expression Level

Whole/part relationships at the expression level (Table 5.5) are of the same general type as those at the work level. The specific kinds of parts recognized as components of the expression, however, will differ somewhat from those recognized as components of the work. For example, a table of contents, list of references, or index would be viewed as parts of the expression inasmuch as they normally entail reference to the particulars of the expression.

Table 5.5  Whole/Part Expression-to-Expression Relationships

Relationship Type	Dependent Part	Independent Part
Whole/Part has part → ← is part of	Table of contents, etc. Volume/issue of serial Illustration for a text Sound aspect of a film Amendment	Monograph in a series Journal article Intellectual part of a multipart work

5.3.3 Expression-to-Work Relationships

Table 5.6 shows the kinds of relationships that can be drawn between an expression of one work and a different work.

The relationships are of the same general type as for work-to-work relationships; successor, supplement, and complement relationships will exist, as will summarization, adaptation, transformation, and imitation. In each case, however, the more specific level of expression is being related to the more general level of work. Drawing the relationship from the expression level to the work level is done quite commonly, most often because a specific expression-to-expression relationship cannot be readily determined. For example, it may be difficult to determine the specific text (i.e., expression) that was used as the basis for a dramatization or screenplay. In such cases the relationship is often expressed simply in the form of a note or added entry referring only to the related work rather than to a specific expression of that work.

As with work-to-work relationships, it will be the nature of the work that the expression represents that will determine the importance of reflecting the expression-to-work relationship in the bibliographic record. If the work represented by the expression is referential, then it will be more important to state its relationship to the other work; if the work is autonomous, stating the relationship is less critical.

Table 5.6 Expression-to-Work Relationships

Relationship Type	Referential Expression	Autonomous Expression
Successor has a successor → ← is a successor to	Sequel	Sequel Succeeding work
Supplement has a supplement → ← supplements	Index Concordance Teacher's guide Gloss Supplement Appendix	Supplement Appendix
Complement has a complement → ← complements	Cadenza Libretto Choreography Ending for unfinished work	Incidental music Musical setting for a text Pendant
Summarization has a summary → ← is a summary of		Digest Abstract
Adaptation has adaptation → ← is an adaptation of		Adaptation Paraphrase Free translation Variation (music)
Transformation has a transformation → ← is a transformation of		Dramatization Novelization Screenplay
Imitation has an imitation → ← is an imitation of		Parody Imitation

5.3.4 Manifestation-to-Manifestation Relationships

Table 5.7 shows manifestation-to-manifestation relationships.

Table 5.7  Manifestation-to-Manifestation Relationships

Relationship Type	Manifestation
Reproduction has a reproduction → ← is a reproduction of	Reproduction Microreproduction Macroreproduction Reprint Photo-offset reprint Facsimile Mirror site
Alternate has an alternate → ← is an alternate to	Alternate format Simultaneously released edition

Manifestation-to-manifestation relationships normally involve manifestations of the same expression.

The reproduction relationship may involve varying degrees of fidelity to a previous manifestation. Included in this category are various kinds of reproductions. Although in reality a microform reproduction is normally made from a specific copy (i.e., item) of the original manifestation, it is customary to view the relationship as being between the microform manifestation and the print manifestation represented by the actual copy that served as the basis for the microform. In this kind of reproduction, what is important is that the same intellectual or artistic content is represented in the subsequent manifestation; replicating the look and feel of the previous manifestation is not the intent. Reprints represent another situation in which the primary intent is to reissue the intellectual or artistic content; with reprints, it may be assumed that the reprint process will result in a manifestation that exhibits many of the same physical characteristics as the original, although this often is not the main objective. With facsimiles, it is the specific intent not only to preserve the same content, but also to preserve the look and feel of the earlier manifestation.

The alternate relationship involves manifestations that effectively serve as alternates for each other. The alternate relationship obtains, for example, when a publication, sound recording, video, etc. is issued in more than one format or when it is released simultaneously by different publishers in different countries.

5.3.4.1 Whole/Part Relationships at the Manifestation Level

Table 5.8 shows whole/part relationships at the manifestation level.

Table 5.8  Whole/Part Manifestation-to-Manifestation Relationships

Relationship Type	Manifestation
Whole/Part has part → ← is part of	Volume of a multivolume manifestation Soundtrack for a film on separate medium Soundtrack for a film embedded in film

Physical content as represented by manifestation can be divided in much the same way that intellectual content can be divided in the case of work and expression. A component at the manifestation level may be a discrete physical unit of the manifestation. Volume 2 of a three-volume set of War and Peace would be a manifestation component. Similarly an instruction manual accompanying a CD-ROM would be a manifestation component. A component of a manifestation may also be an integral part of the manifestation that is physically inseparable from the whole, such as the soundtrack of a film that is embedded in the film.

It is important to remember that manifestation, while representing intellectual content as it has been expressed in a physical form, is still an abstraction. Therefore the parts and relationships articulated at this level represent generalizations that would be true for all instances of the manifestation that had been produced, and do not represent the parts of a particular copy held by an institution, which would be components at the item level.

5.3.5 Manifestation-to-Item Relationships

Table 5.9 shows manifestation-to-item relationships.

A manifestation-to-item relationship indicates that a given manifestation is the result of reproducing a particular item. The reproduction relationship will be stated at this level when it is useful to indicate the specific item used, as opposed to stating the relationship at the more general level of manifestation-to-manifestation.

Table 5.9  Manifestation-to-Item Relationships

Relationship Type	Manifestation
Reproduction has a reproduction → ← is a reproduction of	Reproduction Microreproduction Macroreproduction Reprint Photo-offset reprint Facsimile

5.3.6 Item-to-Item Relationships

Table 5.10 shows two types of item-to-item relationships.

Table 5.10  Item-to-Item Relationships

Relationship Type	Item
Reconfiguration has reconfiguration → ← is a reconfiguration of	Bound with Split into Extracted from
Reproduction has a reproduction → ← is a reproduction of	Reproduction Microreproduction Macroreproduction Facsimile

The reproduction relationship states that one particular item has been derived in some way from another item. As with manifestation, there can be varying levels of fidelity of the reproduction to the original item. Unlike the replication of manifestations, however, which in some cases will result in a change in the type of carrier, the replication of one item from another always results in an item of the same physical characteristics as the original.

The reconfiguration relationship is one in which one or more items are changed in such a way that a new item or items result. Most commonly, an item of one manifestation is bound with an item of a different manifestation to make a new item. For monographs, this is the typical "bound with" situation. For serials, reconfiguration happens when several unbound copies representing different issues are bound together to make a single new item. Less frequently, a single physical item may be split and rebound as two separate items.

5.3.6.1 Whole/Part Relationships at the Item Level

Table 5.11 shows whole/part relationships at the item level.

Table 5.11  Whole/Part Item-to-Item Relationships

Relationship Type	Item
Whole/Part has part → ← is part of	Physical component of copy Binding of a book

Parts of items can be discrete components or integral parts. A discrete component is a separable physical piece constituting part of the whole item. For example, copy 1 of a particular manifestation might consist of two separate volumes; each of those volumes can participate in a whole/part relationship to the copy as a whole.

An integral part of an item is one that is normally considered to be physically inseparable from the item. The binding of a book, for example, would be considered an integral part. So might a record jacket or a CD-ROM case which, though in reality a separate physical piece, would not normally be viewed as a separate part.

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