Form of Name:

1. Surname alone - single author. For a person known primarily as an author, if the chief source of information shows this person as the single author and shows his/her surname without other names, search briefly to see if there are other publications that are his/her works. If the search is successful, use the form found most frequently. Otherwise, use the surname without other names as the heading. Change the heading if subsequently received items show other names with the surname in the chief source of information.

N.B. See LCRI 22.5C4 for a different treatment of authors writing in Portuguese.

2. Surname alone - multiple authors. For persons known primarily as authors, if the chief source of information shows more than one person as author and shows each surname without other names, add the forenames provided they can be found in the item being cataloged. Otherwise, follow the preceding instructions for single authors represented by surnames alone.

3. Phrase or other appellation. For persons (either authors or others) known by only a phrase or other appellation that does not contain a real name (cf. 22.11), use the form found in English-language reference sources if the phrase, etc., was not used by the person but was assigned to him/her by scholars later.

4. Abbreviated name. If the name selected for the heading for a person known primarily as an author contains a name represented by an abbreviation rather than by an initial, use the abbreviated form in the heading. (If the full form of the name for the particular person is available at the time the heading is established, add it within parentheses, cf. 22.18.)


Form of Name and Sources:

1. Authors:

a. The rule does not limit the consideration of chief source of information to publications issued during the person’s lifetime; this is deliberate: consider also posthumous publications.

b. For authors before 1801, when chief sources of information show one form of name and another form is used in modern reference sources in the person’s language, prefer the latter.

c. For purposes of the distinction between persons known as authors and others, treat music composers as authors and determine the name from the form found in the chief sources of information in publications of the printed music. If no form in these chief sources of information is in the composer’s language, determine the name from reference sources of the composer’s country of residence or activity. If the name is not listed there, use the form found in the chief sources of information.

2. Others:

a. Treat persons involved in the graphic aspects of cartographic materials (cartographers, engravers, etc.) as working in a nonverbal context and so as non-authors.

b. For artists, etc., and for people who appear primarily as subjects rather than as authors, note that the "reference sources" mentioned in footnote 1 must be issued in the person’s language or in the language of his/her country of residence or activity.

c. When using reference sources for some persons who are found both in the usual reference tools (encyclopedias, etc.) and in other sources such as works about the person, two different forms may be seen, each consistently appearing in one of the two types of sources. In that case, use judgment and pick the form that is most likely to be the one sought by library users.

d. If the only reference source is the item being cataloged, generally use the fullest form found anywhere in the item whenever the name varies in fullness. If the item gives both a nickname and a real name, generally use the real name. When a less full form or a nickname is clearly the one by which the person is best known, however, use this less full form or the nickname in the heading.

Punctuation/Spacing Conventions in Personal Name Headings in Access Points in Name Authority and Bibliographic Records:

These guidelines appear also in LCRI 1.0C. section Personal Name Heading Access Points in Name Authority and Bibliographic Records.

1. Initials/letters

a. Name portion of heading:

Periods. If the name of a person consists of or contains initials, input a period after an initial if it is certain that the letter is an initial. In case of doubt, do not input a period.

100 1# $aEliot, T. S.

100 0# $aH. D.

If the name consists of separate letters that are presumed not to be initials, omit or include periods according to the predominant usage of the person.

100 0# $aX Y Z

Spaces. If the name contains two or more forenames represented by initials, consists entirely of initials, or consists entirely of separate letters that are not initials, input a single space between the initials/letters in all cases.

100 1# $aEliot, T. S.

100 0# $aH. D.

100 0# $aX Y Z

b. "Additions" to name headings:

Periods. With initials, include periods unless the author’s predominant usage makes it clear that the author omits them.

Spaces. Do not leave spaces between single initials/letters.

100 1# $aBrown, G. B.$cF.I.P.S.

Treat an abbreviation consisting of more than a single letter as if it were a distinct word, separating it with a space from preceding and succeeding words or initials/letters.

100 1# $aBrown, G. B.,$cPh. D.

2. Names with portions abbreviated or missing. If a part of a name is abbreviated (two or more letters present as opposed to a single letter used as an initial) or if a forename is missing from a name entered under surname, do not leave open space after the abbreviation or missing forename. Instead, insert, as appropriate,

image\POINT_BL.gif a period:

100 1# $aTissot.

(Add period at end in bibliographic record, but not in authority record)

100 1# $aCorpeleijn, W. F. Th.

100 1# $aJunager, Sv.-Aa.

(The hyphen reflects the usage of the language of the name)

image\POINT_BL.gif a period and one space:

100 1# $aEnschedé, Ch. J.

image\POINT_BL.gif a period and a comma:

100 1# $aJones, Th.,$d1910-

100 1# $aCalles Ll., Alfonso

100 1# $aDahlan Aman, Mohd.,$cHaji

(For these names, add period at end in bibliographic record, but not in authority record)

3. Surnames alone including prefixes/particles. If a name heading consisting entirely of one or more surnames also contains a separately written prefix/particle, see instructions in LCRI 22.5D.

4. Bibliographic description. Note that the spacing and punctuation conventions applied to personal names used in access points differ from those used in the descriptive portion of a bibliographic record; for the latter, see LCRI 1.0C.

See also:

22.1. General Rule