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Standing Committee on Training

Task Group on NACO Continuing Education

Cross-references for personal names

The basic rule for cross-reference instructs the cataloger to make a 400 reference from "a form of the name of a person … that might reasonably be sought to the form that has been chosen" as the 100 authority form [AACR2 26.1B1] and to make a 500 reference from one valid heading to another related heading. [AACR2 26.1C].

In practice cross-references are based on usage: that is the variant name appears either in the work in hand (the chief source for a new NAR), in the headings for some other bibliographic work found in a national database or in a standard reference source. Some types of cross-references, however, are prescribed by the form of the name itself. And cross-references may be made or added to an existing NAR for different romanizations of a name that appear in the descriptive part of the bibliographic record rather than in the headings.

DIFFERENT FORMS OF THE NAME
[AACR2 26.2 A2 & LCRI 26.2 A2]

Always make a cross-reference from a form of the name used by a person in the chief source, in a different work, in reference sources or resulting from a different romanization, if it differs significantly from the form of the name chosen as the 100 field heading. For the typical inverted heading this means any variation in the element to the left of the comma (the surname in most Western constructions) or in the first element to the right of the comma (the forename in most Western constructions). Some common instances are:

FULLNESS OF THE NAME

VARIANT SPELLINGS
ROMANIZATION
DIFFERENT LANGUAGE FORMS

In practice it doesn't matter which of the above categories the cross-reference falls into. The rules for including and forming them remain the same.

Be selective in making cross-references from variations that do not affect the elements defined above. In general do not make cross-references from variants of variants unless there is reason to believe that the added cross-reference would improve access. For example:

The second 400 field does not differ from the 100 field in the primary elements to the left and right of the comma.

Do not make cross-references from forms of the name that are not actually recorded. If Maggie Smith is the only form of the name that appears in the chief source, or other work by the same author, do not create a reference

Do not create a cross-reference where the only difference between the 100 or other 400 fields is the addition or deletion of a diacritical character, or a difference in capitalization. Normalization eliminates these differences so that the heading and cross-reference will be effectively identical.
Remember all cross-references must be justified by a 670 field. For forms of the name found in the chief source the information should be included in same 670 field that justifies the 100 field. For forms of the name found in other sources additional 670 fields should be used for each source.

DIFFERENT ENTRY ELEMENTS
[AACR2 26.2 A3]

The rule instructs the cataloger to make a cross-reference "from different elements of the heading for a person under which that name might be reasonably sought"

COMPOUND NAMES

PREFIXES & THE ELEMENTS FOLLOWING THEM
The rule governing whether a name should be entered under a prefix or under the surname following a separate prefix is AACR2 22.5 D. This section of AACR2 gives some guidance on what to do with particular languages. In any case the guidelines for cross-references are simple: Whichever element is chosen for the main heading, make a cross-reference from the other element. If there are multiple prefixes make a cross-reference from each element.
Make a cross-reference from the part of a surname following a prefix where the two elements are written together:
INITIALS
When initials are the only form of the name used in a work, the 100 field is commonly established in direct order. Make a cross-reference from the inverted form.
This convention occurs mostly in older, pre-twentieth century works, and if no information exists to provide a fuller form of the name, as in the above example, the NAR will generally become an undifferentiated heading.
PHRASES
Whether the phrase heading is entered in the 100 field directly or indirectly, make a cross-reference for the other form.

DIFFERENT NAMES
[AACR2 26.2A1]

This rule instructs the cataloger to make a cross-reference "from a name used by a person, or found in references sources, that is different from the name used in the heading for that person"

PSEUDONYMS
Make a cross-reference between the pseudonym and the real name. Generally, if the real name was not used in published works the reference should be a 400 "see" reference:

If works were written/published under both real and pseudonymic names, use a 500 "see also" reference and make NARs for both names.
AND
AND If multiple pseudonyms were used an explanatory reference between multiple NARs will be necessary.
SECULAR/RELIGIOUS/SAINT NAMES
Once you have determined which - secular or religious name -- is the proper heading for the NAR according to the rules in AACR 22, make a cross-reference from the other form. "Include titles and epithets used in the heading in the reference unless, for titles, they are not appropriate to the form of the reference, or, for epithets, the purpose is to refer from a form containing a different epithet" [LCRI 26.1 c]
EARLIER/LATER NAMES
These may be either 400 "see" references, or 500 "see also" references, frequently with a subfield "w" note which indicates the exact sequential relationship between the two names…….

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dcc@cwu.edu; 12/13/2000