DCM Z1:  4XX  See From Tracings - General Information


NOTE:  The use of subfield $h for the addition of content type in an authorized or variant access point is pending at this time.

When modifying an authority record for another reason, delete any final mark of punctuation in a 4XX field unless it is a part of the data (e.g., a period in an abbreviation) or is called for by the cataloging rules (e.g., a parenthetical qualifier).

When otherwise modifying NARs and SARs that contain obsolete codes such as subfield $w position zero (0) code "d," LC/NACO catalogers should upgrade the NAR to RDA.

Not all 4XX references require justification; see "Justifying variant access points" in the 670 section of this document.

Do not make a 4XX that normalizes to the same form as another 4XX on the same authority record or a 1XX on any name authority record.  See the section "NACO normalization" in the Introduction.

Best practice guidelines for RDA:

Record variants found in the manifestation being cataloged:

---   Use cataloger's judgment;

---   No limitation on the number or form of references;

---   Instead of or in addition to adding variants, consider providing access by adding 37X fields.

Example showing 378 without a variant for the fuller form of name:

100  1#  $a Bucknum, David W.

378  ##  $q David Walter

Establish additional NARs for the authorized access points needed to support elements used in 4XX variant access points (e.g. parent body associated with subordinate body being established).

Generally provide a variant form 4XX access point for a former 1XX authorized access point, unless the former authorized access point was egregiously incorrect.  See the section "Subfield $w (Control subfield)" for more information.

Use the established form of components in 4XX variant access points, except for non-Latin script variants, which may represent a mixture of scripts or may be entirely in a non-Latin script.

Generally, do not remove variants unless egregiously incorrect (e.g., a non-Latin script variant that does not represent the same person).

If a form found on the manifestation being cataloged includes a variant form of a component of a 4XX variant access point, that form may be used in its entirety as an additional 4XX variant access point, provided that it is not divided into its component parts through the use of subfields.


100  1#  $a Faulkner, William, $d 1897-1962. $t Short stories. $k Selections

400  1#  $a Faulkner, William, $d 1897-1962. $t Uncollected stories of William Faulkner

430  #0  $a Uncollected stories of William Faulkner

110  1#  $a United States. $b Bureau of Labor Statistics

410  2#  $a Estados Unidos de América, Buró de Estadísticas Laborales


410  2#  $a Estados Unidos de América. $b Buró de Estadísticas Laborales

110  2#  $a Zhongguo yi ked a xue. $b Fu shu di 1 yi yuan

410  2#  $a China Medical University, First Affiliated Hospital


410  2#  $a China Medical University. $b First Affiliated Hospital

When changing the form of a superordinate body, a geographic name, or a personal name in a 1XX, update all of the existing NARs that use that component in a 4XX, unless the 4XX represents the former authorized access point (e.g., $w/2=e).

Earlier cataloging practices for 4XXs:

a)  Corporate body, conference, and geographic names

Under earlier cataloging policies, when a corporate body, etc., changed its name, the heading was changed and all records revised used the newer name.  The earlier name or names was traced as a 4XX reference to the later form used as the heading.  In retrospectively converted records, these situations were identified with a 667 field note:  "The following heading for an earlier name is a valid AACR2 heading: [earlier name or names in AACR2 form]."


100  2#  $a Air League of the British Empire

410  2#  $a Aerial League of the British Empire

667  ##  $a The following heading for an earlier name is a valid AACR2 heading: Aerial League of the British Empire.

If a name represented in a 4XX field is needed for cataloging, convert the 4XX to a 5XX following the appropriate descriptive cataloging instructions, and delete the 667 field note.  If a NAR containing such a 4XX is being updated, and the earlier name in the 4XX is not needed for cataloging, catalogers may retain the 4XX and 667 fields in the existing NAR, or convert the 4XX to a 5XX, delete the 667 field, and create a new NAR for the earlier name.

If a 667 field contains multiple valid earlier names and not all of them are being established as new NARs, adjust the 667 and 4XX fields as needed to reflect which names have been removed in favor of new NARs.

b)  Personal names

Under earlier cataloging policies, pseudonyms used by non-contemporary authors (i.e., authors who died before December 31, 1900) were sometimes traced as 4XX references rather than being established in a separate NAR.  When updating NARs for persons that contain pseudonyms in 4XX fields, catalogers should follow current policies on pseudonyms.  See the appropriate sections of Z1, including the 663 and 667 field sections.  More information is available in the FAQ on personal names (http://www.loc.gov/catdir/cpso/pseud.pdf).

Subfield $w (Control subfield):

When an authorized access point for a person (100) is changed because the person has changed his or her name, record the earlier form of name in a 400 with $w nne if the variant is valid under RDA instructions.


100  0#  $a Francis, $c Pope, $d 1936-

400  1#  $w nne $a Bergoglio, Jorge Mario, $d 1936-

(Name changed upon election as pope.)

100  1#  $a Rancic, Giuliana

400  1#  $w nne $a DePandi, Giuliana

(Name changed upon marriage.)

When an authorized access point (1XX) based on CIP cataloging is changed because its form on the published resource is different from that on the CIP galley, a 4XX from the previous authorized access point form with subfield $w nne may be added unless the former 1XX form was egregiously incorrect (e.g., the author's date of birth was given as 1775 instead of 1975 in the CIP galley).

When an authorized access point (1XX) is changed because of a change in cataloging instructions, record the earlier form in a 4XX using $w.  If the variant form is a valid reference under current RDA instructions, use $w nne.  If the variant form is not a valid reference under current RDA instructions, use $w nnea.


130  #0  $a Bible. $p Baruch

430  #0  $w nne $a Bible. $p Apocrypha. $p Baruch

(Coded "nne" because the variant is valid in RDA.)

100  1#  $a Smith, Jonathan Kennon Thompson, $d 1939-2014

400  1#  $w nne $a Smith, Jonathan Kennon

(Coded "nne" because the variant is valid in RDA; 100 form changed based on usage and dates of birth and death added because 100 was being changed.)

100  0#  $a Pericles, $d approximately 495 B.C.-429 B.C.

400  0#  $w nnea $a Pericles, $d ca. 495-429 B.C.

(Coded "nnea" because the abbreviation "ca." is not valid for period of activity in RDA.)

NOTE:  NARs that had the 1XX form changed programmatically in 2013 recorded the earlier form in a 4XX using $w nnea regardless of whether the variant was valid in RDA.  For example, "United States. Dept. of Commerce," is a valid reference in RDA if the abbreviated form has been used in resources associated with the corporate body, but it was recorded with $w nnea.  It is not necessary to change the coding in these $w references.


LC series practice:  As of June 1, 2006, LC does not create or update SARs.

PCC series practice:  Transcription of the series statement is mandatory if applicable.  Searching for series authority records, providing authorized access points for the series, and the creation and maintenance of series authority records are optional.

Variant access points may be recorded in any SAR, including those for series-like phrases.

If the volumes of a multipart monograph have different forms of the common title, use a 4XX reference rather than a 5XX reference for the form of the title not chosen as the title proper of the multipart monograph.

For more information on DCM Z1 Instructions, select:

DCM Z1:  Introduction