香港中文大學圖書館系統 University Library System

香港中文大學圖書館系統University Library System

The Chinese University of Hong Kong

A Conceptual Model of Name Access Control for Institutional Repository

By Fanny Chan & Ernest Yik

February 24, 2006

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香港中文大學　大學圖書館系統

OutlineOutline

1. Introduction

2. Traditional personal name authority control

3. Proposed conceptual model of name access control for IR

4. How to link to DSpace Repository & supports OAI-PMH integration

5. Limitations & suggestions

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IntroductionIntroduction

• Why is name access control important for institutional repository?

Author search is common for IR. Different name forms of authors

resulted in incomplete retrieval. Proper name access control enhances

collocation.

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Existing author search is Existing author search is unsatisfactory.unsatisfactory.

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Traditional personal name Traditional personal name authority control for IRauthority control for IR

• Unable to achieve complete retrieval: Based on the real existence in bibliographic

records. Different name authority records may be

created for the same author.

• Require great effort to establish & maintain the name authority file.

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001 n 85347260a 003 DLC 005 20001026123400.0 008 870112nc acannaabn |a aaa ||| cz n 010 n 85347260 040 DLC|beng|cDLC|dOCoLC|dHkCU 066 |c$1 100 1 Lu, Weiluan,|d1939- 400 1 |wnne|aLu, Wei-luan,|d1939- 400 1 Lo, Wai-Luen,|d1939- 400 1 Lu, Fan,|d1939- 400 1 盧颿,|d1939- 500 0 |wnnnc|aXiaosi,|d1939- 500 0 |wnnnc|a小思,|d1939- 500 1 |wnnnc|aMing, Chuan,|d1939- 500 1 |wnnnc|a明川,|d1939- 663 For works of this author entered under other names, search also under:|bMing, Chuan, 1939-;|bXiaosi, 1939- 670 Hsiang-kang ti yu yü (香港的憂鬱) , 1983:|bt.p. (Lu Wei-luan 盧瑋鑾) front flap (pen names: Hsiao-ssu 小思,; Ming Ch{176}uan 明川; grad., Hsiang-kang Chung wen ta hsüeh Hsin Ya shu yüan; with Hsiang-kang Chung wen ta hsüeh Chung wen hsi) 670 Hsiao-ssu. Jih ying hsing (日影行), 1982:|bt.p. (Hsiao-ssu 小思) p. 4 of cover (b. 1939) 670 LC manual auth. cd.|b(Ming, Ch{176}uan; variants: Lo, Wai-Luen; Lu Wei-luan) 670 香港早期(1921-1937)文藝雜誌目錄, 1996:|b書名頁 (盧瑋鑾) 670 香港文學作家傳略, 1996:|bp. 163-164 (小思, 本名盧瑋鑾, 另有筆名明川, 盧颿, 1939年生於香港, 原籍廣東番禺, 700 1 盧瑋鑾,|d1939-

Not-used headings

See-also references

Established heading

Bibliographic information

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001 n 83001382a

003 DLC 005 20020717064258.0 008 830502nc acannabbn |a aaa ||| cz n 010 n 83001382 040 DLC|beng|cDLC|dDLC|dOCoLC|dDLC|sHkCU 066 |c$1 100 0 Xiaosi,|d1939- 400 0 Hsiao-ssu,|d1939- 500 1 |wnnnc|aLu, Weiluan,|d1939- 500 1 |wnnnc|a盧瑋鑾,|d1939- 663 Works of this author are entered under the name used in the item. For a listing of other names used by this author, search also under:|bLu, Weiluan, 1939- 670 Her Lu shang t{176}an (路上談), 1982:|bt.p. (Hsiao-ssu 小思) 670 Her Jih ying hsing (日影行), 1982:|bt.p. (Hsiao-ssu 小思) p. 4 of cover (b. 1939) 670 Hsiang-kang ti yu yü (香港的憂鬱), 1983:|bfront flap (Lu Wei-luan 盧瑋鑾; pen name: Hsiao-ssu 小思; Ming Ch{176}uan 明川; grad., Hsiang-kang Chung wen ta hsüeh Hsin Ya shu yüan in 1964; with Hsiang- kang Chung wen ta hsüeh Chung wen hsi) 700 0 小思,|d1939-

Another established hdg.

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001 n 80109807a 003 DLC 005 20001026095320.0 008 800926nc acannaabn |a aaa ||| cz n 010 n 80109807 040 DLC|beng|cDLC|dDLC|dOCoLC|dHkCU 066 |c$1 100 1 Ming, Chuan,|d1939- 400 1 |wnnaa|aMing, Ch{176}uan 400 0 Mingchuan,|d1939- 400 1 Ming, Tsuen,|d1939- 400 0 Ming-ch{176}uan,|d1939- 500 1 |wnnnc|aLu, Weiluan,|d1939- 500 1 |wnnnc|a盧瑋鑾,|d1939- 663 Works of this author are entered under the name used in the item. For a listing of other names used by this author, search also under:|bLu, Weiluan, 1939- 670 Author's Feng Tzu-k{176}ai man hua ... 1977. 670 Hsiang-kang ti yu yü, 1983:|bfront flap (Lu Wei-luan; pen names: Hsiao-ssu; Ming Ch{176}uan; grad., Hsiang-kang Chung wen ta hsüeh Hsin Ya shu yüan in 1964; with Hsiang-kang Chung wen ta hsüeh Chung wen hsi) 670 豐子愷漫畫選繹, 1993:|b書名頁 (明川) 700 1 明川,|d1939-

Another established hdg.

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The conceptual model of name The conceptual model of name access control for IRaccess control for IR

• Goal

Achieve complete retrieval by one stop author search.

Require the least effort to establish and maintain the name file.

Support cross-institutional search.

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Features of the conceptual Features of the conceptual model of name access controlmodel of name access control

Focus on personal name. One record for one author. No established names but the display

names simply based on the official staff list, etc.

All name forms are equally valid and bear the author’s unique number for linking & matching.

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Features of the conceptual model Features of the conceptual model of name access control (Cont’d)of name access control (Cont’d)

Not rely on real existence in bibliographic records but focus on post-coordination.

Names are not stored in MARC records but decomposed into components & stored in separate name file.

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Sample name fileSample name file

Assuming user may search by any one of the following:Lau Lai Mei Grace Liu LiweiChau Lau Lai Mei Grace Liu Li WeiLau Lai Mei Zhou-Liu LiweiLau L.M. Zhou-Liu Li WeiLau Grace 劉麗薇Grace Lau 周劉麗薇Grace Lau Lai Mei ……

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Author search under the Author search under the conceptual model, example 1conceptual model, example 1

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How the name file is linked to How the name file is linked to Dspace repository Dspace repository

• The unique author ID in the name file serves as a matching key to map the names on DSpace repository.

• Each name when input onto DSpace repository would be pre-assigned with the author ID.

• This unique author ID could then link up all variant name forms of the same author on Dspace repository.

• No matter which form is searched by, the publications of the same author would be collocated & retrieved.

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Search mechanism: Search mechanism: from name file to DSpace Repositoryfrom name file to DSpace Repository

User starts a newauthor search

System searchesname file for

matching names

Anymatches?

N

Y

System presentsthe list of matchingauthors with details

to the user

User checks thelist of authors

One or morenames meet the

need of the user?

N

User selectsthe appropriateNames fromthe list

System convertsthe namesinto uniqueauthor IDs

System submitsauthor IDs toDSpace forauthor search

Y

DSpace retrievesall publicationswhich contain thespecific author IDs

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Search mechanism: Sample searchSearch mechanism: Sample search

User searchesby Grace Lau

System searchesname file forGrace Lau

Anymatches?

N

Y

Lau, Lai Mei GraceLau, Lai Ming GraceLau, Mei Mei Grace

User checks thelist of authors

One or morenames meet the

need of the user?

N

Lau, Lai Mei Grace

Author ID F123System searchesauthor ID F123on DSpace

Y

DSpace retrievesall publicationswhich contain author ID F123

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How the NAC conceptual model How the NAC conceptual model supports OAI-PMH integrationsupports OAI-PMH integration

• In order to work with OAI-PMH harvesters that do not adapt the name access control model, we will need to add a “translation layer” to map author IDs back into their names.

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OAI-PMH integrationOAI-PMH integration

Harvester

DSpace-OAI

DSpaceRepository

“Translation layer” -Mapping author IDs topreferred author names

Name filesdatabase

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Limitations & suggestionsLimitations & suggestions

• The response time is likely longer than the existing direct author search.

• Author search is confined to CUHK authors.

• However, the name file is extendable & allows cross-institutional search if other institutions are willing to adopt the similar name access control model & share the IRs & name files.

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Cross-institutional searchCross-institutional search

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Thank You!

香港中文大學圖書館系統 University Library System

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Transcript of 香港中文大學圖書館系統 University Library System