1.   4XXs should be justified by citation in the 670 or as required by AACR and the LCRIs.

2.   NACO participants are no longer required to trace linking references from pre-AACR2 headings found on LC bibliographic records.

3.   References from former AACR2 heading:

4XX  $w  nne

This indicates that the cross reference was formerly a fully established AACR2 heading.  The 4XX must match the 1XX in the record for the former heading.

100 1# $a Volcano, Del Lagrace, $d 1957-

400 1# $w nne $a Grace, Della, $d 1957-

151 ## $a Moscow (Russia)

451 ## $w nne $a Moscow (R.S.F.S.R.)

4XX  $w  nnea

This combination of codes in the $w control field is used only in records converted from Wade-Giles to pinyin romanization of Chinese.  The combination of values indicates that the cross reference represents a form previously used as an AACR2 heading that is not appropriate as a reference in an AACR2 catalog.

Personal names

A.  Trace a reference from each variant that affects the primary elements of the name (see LCRI 26.2).  Generally, this means variations in all elements to the left of the comma and in the first element to the right of the comma.

Do not trace a reference that would normalize to the same form as the heading on the same record or to the same form as the heading on another record.  (For further guidance, see the NACO normalization rules online at http://www.loc.gov/aba/pcc/naco/normrule-2.html.  Refer from other variants (i.e., those that do not affect the primary entry elements) when it is judged the access to the catalog would be improved, as in the case of differing search strategies in other databases.  One frequently applicable factor is a rather common-sounding surname seen in the form found prominently.

B.   Generally make one reference from each possible entry element of the name chosen as the heading.

C.   Generally make only one reference from each variant.  Use judgment in determining whether to make references that are "variants of variants."

D.   In references with initials, generally include in parentheses the full form, if known.  However, if the heading contains an initial without the full form being given there, make the reference "match" the heading.


100 1# $a Carroll-Spillecke, Maureen, $d 1953-

400 1# $a Spillecke, Maureen Carroll-, $d 1953-

400 1# $a Carroll, Phyllis Maureen, $d 1953-

400 1# $a Carroll-Spillecke, M. $q (Maureen), $d 1953-

100 1# $a Hays, James D., $d 1926-

400 1# $a Hays, J. D. $q (James D.), $d 1926-

[not 400 1# $a Hays, J. D. $q (James Donald), $d 1926-]

100 1# $a Smith, John Samuel

400 1# $a Smith, John S. $q (John Samuel)

[in this case, since "John Smith" is a very common name, it is a good idea to trace this cross reference even though the primary elements are the same in the 100 and 400 fields.  See LCRI 26.2.]

100 0# $a H. D. $q (Hilda Doolittle), $d 1886-1961

400 1# $a Aldington, Hilda Doolittle, $d 1886-1961

400 1# $a D., H. $q (Hilda Doolittle), $d 1886-1961

100 1# $a Williams, J. Llewellyn $q (John Llewellyn)

400 1# $a Williams, John Llewellyn

100 1# $a Sword, Penelope Haley, $d b. 1736

400 1# $a Haley, Penelope, $d b. 1736

Corporate names

Include qualifiers in the reference if appropriate to the form of the reference.  Qualifier(s) may be inappropriate in the heading and/or reference.  For example, do not add a qualifier to a reference consisting solely of an initialism.  For further guidance, see LCRIs 26.1 and 26.3.


110 2# $a Galleria nazionale d'arte moderna (Italy)

410 2# $a National Gallery of Modern Art (Italy)

110 2# $a International Business Machines Corporation

410 2# $a IBM

110 2# $a BANAS (Organization : Indonesia)

410 2# $a B.A.N.A.S.

See also:

Section I:  New Authority Records