ANSI NISO Z39.19-2005 Guidelines for the Construction Format and Management of Monolingual Controlled Vocabularies《单语种主题词表的构建、格式和管理指南》.pdf

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1、 ANSI/NISO Z39.19-2005 ISBN: 1-880124-65-3 Guidelines for the Construction, Format, and Management of Monolingual Controlled Vocabularies Abstract: This Standard presents guidelines and conventions for the contents, display, construction, testing, maintenance, and management of monolingual controlle

2、d vocabularies. This Standard focuses on controlled vocabularies that are used for the representation of content objects in knowledge organization systems including lists, synonym rings, taxonomies, and thesauri. This Standard should be regarded as a set of recommendations based on preferred techniq

3、ues and procedures. Optional procedures are, however, sometimes described, e.g., for the display of terms in a controlled vocabulary. The primary purpose of vocabulary control is to achieve consistency in the description of content objects and to facilitate retrieval. Vocabulary control is accomplis

4、hed by three principal methods: defining the scope, or meaning, of terms; using the equivalence relationship to link synonymous and nearly synonymous terms; and distinguishing among homographs. An American National Standard developed by the National Information Standards Organization Approved July 2

5、5, 2005 by the American National Standards Institute Published by the National Information Standards Organization NISO Press, Bethesda, Maryland, U.S.A. ANSI/NISO Z39.19-2005 About NISO Standards NISO standards are developed by the Standards Committees of the National Information Standards Organizat

6、ion. The development process is a strenuous one that includes a rigorous peer review of proposed standards open to each NISO Voting Member and any other interested party. Final approval of the standard involves verification by the American National Standards Institute that its requirements for due p

7、rocess, consensus, and other approval criteria have been met by NISO. Once verified and approved, NISO Standards also become American National Standards. This standard may be revised or withdrawn at any time. For current information on the status of this standard contact the NISO office or visit the

8、 NISO website at: http:/www.niso.org Published by NISO Press 4733 Bethesda Avenue, Suite 300 Bethesda, MD 20814 www.niso.org Copyright 2005 by the National Information Standards Organization All rights reserved under International and Pan-American Copyright Conventions. For noncommercial purposes on

9、ly, this publication may be reproduced or transmitted in any form or by any means without prior permission in writing from the publisher, provided it is reproduced accurately, the source of the material is identified, and the NISO copyright status is acknowledged. All inquires regarding translations

10、 into other languages or commercial reproduction or distribution should be addressed to: NISO Press, 4733 Bethesda Avenue, Suite 300, Bethesda, MD 20814. ISSN: 1041-5653 ISBN: 1-880124-65-3 ANSI/NISO Z39.19-2005 2005 NISO iii Contents Foreword viii 1 Introduction 1 1.1 Need for Vocabulary Control .1

11、 1.2 How Vocabulary Control is Achieved 1 2 Scope 1 2.1 Applying the Standard . 2 2.2 Monolingual Controlled Vocabularies 2 2.3 Types of Terms Covered by the Standard 2 2.4 Interoperability . 3 2.5 Maintenance 3 2.6 Testing and Evaluation 3 3 Referenced Standards 3 4 Definitions, Abbreviations, and

12、Acronyms 3 4.1 Definitions 3 4.2 Abbreviations and Acronyms. 10 5 Controlled Vocabularies Purpose, Concepts, Principles, and Structure 10 5.1 Purpose . 10 5.2 Concepts 11 5.2.1 Terms 11 5.2.2 Content Objects 11 5.2.3 Indexing 12 5.3 Principles . 12 5.3.1 Ambiguity 13 5.3.2 Synonymy. 13 5.3.3 Semanti

13、c Relationships 14 5.3.4 Facet Analysis 14 5.3.5 Using Warrant to Select Terms 16 5.3.6 Controlled Vocabulary Impact on Information Retrieval. 16 5.4 Structure 16 5.4.1 List 17 5.4.2 Synonym Ring 18 5.4.3 Taxonomy. 18 5.4.4 Thesaurus. 18 5.5 Controlled Vocabulary Metadata and Metadata Schemas 19 6 T

14、erm Choice, Scope, and Form 20 6.1 Choice of Terms 20 ANSI/NISO Z39.19-2005 iv 2005 NISO 6.2 Scope of Terms20 6.2.1 Homographs20 6.2.2 Scope Notes22 6.2.3 History Notes.22 6.3 Term Form .23 6.3.1 Single-Word vs. Multiword Terms.23 6.3.2 Types of Concepts 23 6.3.3 Unique Entities24 6.4 Grammatical Fo

15、rms of Terms 25 6.4.1 Nouns and Noun Phrases.25 6.4.2 Adjectives26 6.4.3 Adverbs .27 6.4.4 Initial Articles.27 6.5 Nouns.28 6.5.1 Count Nouns .28 6.5.2 Mass Nouns 29 6.5.3 Other Types of Singular Nouns.29 6.5.4 Coexistence of Singular and Plural Forms .29 6.6 Selecting the Preferred Form.30 6.6.1 Us

16、age30 6.6.2 Spelling .30 6.6.3 Abbreviations, Initialisms, and Acronyms .31 6.6.4 Neologisms, Slang, and Jargon31 6.6.5 Popular and Scientific Names.32 6.6.6 Loanwords, Translations of Loanwords, and Foreign-Language Equivalents32 6.6.7 Proper Names.33 6.7 Capitalization and Non-alphabetic Character

17、s 34 6.7.1 Capitalization.34 6.7.2 Non-alphabetic Characters .34 6.7.3 Romanization 36 7 Compound Terms 36 7.1 General 36 7.2 Purpose of Guidelines on Compound Terms.36 7.2.1 Precoordinated Terms 37 7.2.2 Retrieval Considerations.37 7.3 Factors to be Considered When Establishing Compound Terms37 7.4

18、 Elements of Compound Terms 38 7.5 Criteria for Establishing Compound Terms39 7.6 Criteria for Determining When Compound Terms Should be Split 40 7.6.1 Factors to be Considered40 7.6.2 Hierarchical Structure40 7.7 Node Labels .41 7.8 Order of Words in Compound Terms.41 7.8.1 Cross-references from In

19、versions.41 8 Relationships 42 8.1 Semantic Linking42 ANSI/NISO Z39.19-2005 2005 NISO v 8.1.1 Indicating Relationships Among Terms 43 8.2 Equivalence Relationships 43 8.2.1 Synonyms. 44 8.2.2 Lexical Variants 45 8.2.3 Near-Synonyms 45 8.2.4 Generic Posting 45 8.2.5 Cross-references to Elements of Co

20、mpound Terms 46 8.3 Hierarchical Relationships. 46 8.3.1 Generic Relationships 47 8.3.2 Instance Relationships . 48 8.3.3 Whole-Part Relationships. 49 8.3.4 Polyhierarchical Relationships . 49 8.3.5 Node Labels in Hierarchies 51 8.4 Associative Relationships 51 8.4.1 Relationships Between Terms Belo

21、nging to the Same Hierarchy 51 8.4.2 Relationships Between Terms Belonging to Different Hierarchies 53 8.4.3 Node Labels for Related Terms . 56 8.4.4 Specifying Types of Related Term References 57 9 Displaying Controlled Vocabularies 57 9.1 General Considerations. 57 9.1.1 Elements to Address 57 9.1

22、.2 User Categories 57 9.2 Presentation. 58 9.2.1 Displaying the Equivalence Relationship . 58 9.2.2 Displaying Hierarchical and Associative Relationships 60 9.2.3 Indentation 61 9.2.4 Typography. 62 9.2.5 Capitals and Lowercase Letters . 63 9.2.6 Filing and Sorting 63 9.3 Types of Displays 64 9.3.1

23、Alphabetical Displays . 64 9.3.2 Permuted Displays . 65 9.3.3 Term Detail Displays 66 9.3.4 Hierarchical Displays 68 9.3.5 Graphic Displays 73 9.4 Display Formats Physical Form 74 9.4.1 Print Format Special Considerations. 74 9.4.2 Screen Format Special Considerations. 75 9.4.3 Web Format Special Co

24、nsiderations. 79 9.5 Documentation 81 10 Interoperability 82 10.1 The Need for Interoperability.82 10.2 Factors Affecting Interoperability. 83 10.3 Multilingual Controlled Vocabularies . 84 10.4 Searching. 85 10.5 Indexing . 85 ANSI/NISO Z39.19-2005 vi 2005 NISO 10.6 Merging Databases85 10.7 Merging

25、 Controlled Vocabularies.86 10.8 Achieving Interoperability.86 10.9 Storage and Maintenance of Relationships among Terms in Multiple Controlled Vocabularies86 10.9.1 Authority Records 86 10.9.2 Vocabulary Mapping86 10.9.3 Semantic Network87 10.9.4 Lexical Database .89 11 Construction, Testing, Maint

26、enance, and Management Systems 90 11.1 Construction .90 11.1.1 Avoid Duplicating Existing Vocabularies .91 11.1.2 Determine the Structure and Display Formats 91 11.1.3 Construction Methods91 11.1.4 Term Records 93 11.1.5 Term Verification93 11.1.6 Candidate Terms .93 11.1.7 Levels of Specificity .94

27、 11.1.8 Unassigned Terms.94 11.2 Testing and Evaluation of Controlled Vocabularies.94 11.2.1 Testing Methods 95 11.2.2 Evaluation Criteria .95 11.3 Maintenance.96 11.3.1 Updating the Vocabulary .96 11.3.2 Vocabulary Updates and Database Records 97 11.3.3 Hyperlink Maintenance 99 11.4 Management Syst

28、ems .99 11.4.1 General System Considerations99 11.4.2 Term Records and Displays 100 11.4.3 Cross-References100 11.4.4 Term Deletion 101 11.4.5 Candidate Terms .101 11.4.6 Error Checking.101 11.4.7 Searching and Browsing102 11.4.8 Reports 102 11.4.9 Testing and Evaluating Systems for Use with Control

29、led Vocabularies102 Appendix A Summary of Standard Requirements / Recommendations .104 Appendix B Comparison of Vocabulary Types135 Appendix C Characteristics and Uses of Controlled Vocabulary Display Options .137 Appendix D Methods for Achieving Interoperability .142 Appendix E Sample Candidate Ter

30、m Forms 147 Appendix F References 149 Bibliography 152 Glossary.157 Index.168 ANSI/NISO Z39.19-2005 2005 NISO vii Figures Figure 1: Content objects .12 Figure 2: Ambiguity caused by homographs and polysemes.13 Figure 3: Information scatter caused by synonyms13 Figure 4: Facet analysis applied to con

31、tent objects and controlled vocabularies 14 Figure 5: Increasing structural complexity among controlled vocabularies17 Figure 6: All and some relationship passes test47 Figure 7: All and some relationship does not pass test.48 Figure 8: Derivation modeling.142 Figure 9: Translation / Adaptation 143

32、Figure 10: Satellite vocabularies 143 Figure 11: Node or leaf linking143 Figure 12: Direct mapping 144 Figure 13: Co-occurrence mapping144 Figure 14: Switching .145 Figure 15: Temporary union list linking 145 Figure 16: Server linking.146 Figure 17: DTIC Posting Term Request Form147 Figure 18: Art F

33、ood and Agriculture Organization of the United Nations; Gallery Systems; Getty Research Institute; Institute of Education Sciences and U.S. Department of Education; MACS project of the Conference of European National Librarians; Multisystems; Synaptica; Thomson Gale; U.S. Congressional Research Serv

34、ices Library Services Division; U.S. Defense Technical Information Center; U.S. Library of Congress Prints and Photographic Division; U.S. National Aeronautics and Space Administration; U.S. National Library of Medicine; United Nations Educational, Scientific and Cultural Organization; WordNet; and

35、Xrefer. The Committee wishes to acknowledge Gale Rhoades of Wise Bytes, Daly City, California for facilitating permission to use Macrex Indexing software to create the index for this standard. NISO acknowledges the early contributions of Amy Warner to the revision of this standard. About This Standa

36、rd ANSI/NISO Z39.19, now in its fourth edition, is truly “built on the shoulders of giants.” The first edition of ANSI/NISO Z39.19, published in 1974, was prepared by Subcommittee 25 on Thesaurus Rules and Conventions of the American National Standards Committee Z39 on Standardization in the Field o

37、f Library Work, Documentation, and Related Publishing Practicesthe forerunner to NISO. The authors of that first standard drew heavily on standards of practice developed by experts in the field including the Engineers Joint Council, the Committee on Scientific and Technical Information of the Federa

38、l Council for Science and Technology, and UNESCO. In the late 1970s the standard was revised by Madeline Henderson and a new edition was released in 1980. In 1988, under the leadership of Dr. Bella Haas Weinberg, work began to revise Z39.19 and a significantly expanded standard, taking into account

39、variations in approach, was released in 1993. In 1998 the standard was reviewed by the NISO Members during its regular five-year review cycle. The NISO members supported reaffirming the standard, however, many members advised that there soon would be a need to reexamine the standard in light of the

40、rapidly evolving electronic information environment. In response, NISO organized a national Workshop on Electronic Thesauri, held November 4-5, 1999, to investigate the desirability and feasibility of developing a standard for electronic thesauri. This revision of Z39.19 grew out of the recommendati

41、ons developed by consensus at that Workshop.1Similar revision work is underway internationally on ISO 2788, Guidelines for the establishment and development of monolingual thesauri. In the UK, work is under way to revise and extend BS 5723, which is equivalent to ISO 2788. Publication of the new BS

42、8723 Parts 1 and 2, which will cover similar ground as Z39.19, is expected in 2005. Parts 3, 4, and 5, expected during 2006, will deal respectively with other vocabularies such as taxonomies and classification schemes; interoperability between vocabularies; and protocols and formats for exchange of

43、thesaurus data. This standard continues to be a reflection of its time. When Z39.19 was first conceived, thesaurus terms were generally applied when indexing collections of documents, most commonly printed 1The workshop was co-sponsored with the American Psychological Association (APA), the American

44、 Society of Indexers (ASI), and the Association for Library Collections and Technical Services (ALCTS), a division of the American Library Association. The Report on the Workshop on Electronic Thesauri, November 4-5, 1999 is available at: http:/www.niso.org/news/events_workshops/thes99rprt.html. ANS

45、I/NISO Z39.19-2005 2005 NISO ix resources such as journal articles, technical reports, newspaper articles, etc. As new information storage and retrieval systems have emerged, the concept of document has expanded to include patents, chemical structures, maps, music, videos, museum artifacts, and many

46、 other types of materials that are not traditional documents. This revision addresses this more inclusive notion of document. Furthermore, the display methods described in earlier editions of the standard were almost entirely for printed products. This revision expands the description of display opt

47、ions and provides new examples to illustrate these display options. The revision process was supported by The H.W. Wilson Foundation, the Getty Grant Program, and the National Library of Medicine. Through their generosity and interest, these institutions brought validation and resources that enabled

48、 this revision to be launched and arrive at a successful and timely conclusion. Trademarks, Service Marks Wherever used in this standard, all terms that are trademarks or service marks are and remain the property of their respective owners. Permission to reprint copyrighted material was granted from

49、: Lois Chan; Energy Technology Data Exchange and International Atomic Energy Agency; Food and Agriculture Organization of the United Nations; Gallery Systems; Getty Research Institute; John Wiley MACS project of the Conference of European National Librarians; Multisystems; OCLC, Inc.; Synaptica; Thomson Gale; WordNet; Xrefer; and Marcia Lei Zeng. NISO Voting Members At the time this standard was balloted, NISO had the following voting members: 3M Susan Boettcher, Roger Larson (Alt) AIIM International Betsy A. Fanning American Association of Law Libraries Robert