MARC 21 Format for Authority Data: Tracings and References-General Information (Network Development and MARC Standards Office, Library of Congress)

Cross references lead from an unauthorized heading to an authorized heading (see reference) or from one authorized heading to another (see also reference). Actual cross references are generally not carried explicitly in authority records. Instead, variant form and related headings are carried in authority records in either tracing or reference note fields. Cross reference displays may be generated by combining the contents of a tracing or a reference note field and the 1XX heading field of a record.

■ TRACING FIELDS

Tracing fields lead directly from one heading to a single other heading. A 4XX (See From Tracing) field leads from an unauthorized heading to an authorized heading. A 5XX see also from tracing field leads from one authorized heading to another authorized heading. The 4XX and 5XX fields are used only in established heading records and subdivision records.

Cross reference displays generated from the tracing fields are called simple cross references. In a simple cross reference display, the content of the 4XX or 5XX field is the heading referred from, and, following a reference instruction phrase, the content of the 1XX field is the heading referred to. In the tracing fields, the reference instruction phrase may be implicitly associated with either the field tag or a code in subfield $w/0 (Special relationship). In unusual cases, the reference instruction phrase may be carried explicitly in subfield $i (Reference instruction phrase).

■ REFERENCE NOTE FIELDS

Reference note fields lead from one heading to one or more other headings. A reference note field is used when more complex reference instruction is needed than can be conveyed by one or more simple cross references generated from 4XX and/or 5XX fields. Cross reference displays generated from the reference note fields are complex cross references. In a complex cross reference display, the content of the 1XX field of a record is the heading referred from, and, following a reference instruction phrase, the reference note field contains the heading(s) referred to. In field 260 and 360, the complete reference instruction may be a combination of a phrase implicitly associated with the field tag and explicit text in subfield $i (Explanatory text). In field 663, 664, 665, and 666, the reference instruction text is contained in subfield $a (Explanatory text).

There are two types of reference note fields: 1) those used in records for established headings; and 2) those used in reference records. The fields used for see also reference notes (field 360, 663, and 665) are used to lead from an established heading to other established headings. The fields used for see reference notes (field 260, 664, and 666) are used in reference records to lead from an unestablished heading to established headings.

Current cataloging practice does not encourage the use of a reference note field if cross references generated from tracings in one or more 4XX and/or 5XX fields will provide satisfactory user guidance. For example, instead of carrying a 665 history reference field in each of the established heading records involved in corporate body name changes, each name is traced in a 4XX or 5XX field. The earlier or later name relationship between each 4XX or 5XX field and the 1XX field is indicated by a code in subfield $w/0 (Special relationship).

GUIDELINES FOR APPLYING CONTENT DESIGNATORS

Guidelines for applying subfield $i (Reference instruction phrase) and subfield $w (Control subfield) in the 4XX and 5XX fields, as well as examples of simple cross reference displays are provided in this section. Guidelines for applying the other content designators defined for the 4XX and 5XX fields are provided in the General Information sections for each type of heading (X00 Personal Names; X10 Corporate Names; X11 Meeting Names; X30 Uniform Titles; X48 Chronological Terms; X50 Topical Terms; X51 Geographic Names; X55 Genre/Form Terms; X80 General Subdivisions; X81 Geographic Subdivisions; X82 Chronological Subdivisions; X85 Form Subdivisions).

Examples of complex cross reference displays that may be generated from field 260, 360, 663, 664, 665, and 666 are also provided in this section. Guidelines for applying the content designators for these fields are not provided here but can be found in the separate sections for each field.

■ TRACING FIELDS -- SIMPLE CROSS REFERENCES

Simple cross references are generated for display from tracing fields. The following description related to the tracing fields is arranged by the source of the reference instruction phrase used in the cross reference: tag related, subfield $i, and subfield $w. The character positions defined for subfield $w are also described here.

Tag Related Reference Instruction Phrase

Reference instruction phrase such as see: or search under: may be implicitly associated with a 4XX field tag and may be used to generate a display of a cross reference. Reference instruction phrase such as see also: or search also under: may be implicitly associated with a 5XX field and may be used to generate a display of a cross reference.


008/09	a [established heading record]
100	1#$aArief, Barda Nawawi,$d1943-
400	0#$aBarda Nawawi Arief,$d1943-


Cross reference display example:
Barda Nawawi Arief, 1943-
	search under: Arief, Barda Nawawi, 1943-


008/09	d [subdivision record]
180	##$xMicroform catalogs
580	##$xBibliography$xMicroform catalogs


Cross reference display example:
Bibliography-Microform catalogs
	search also under: Microform catalogs

$i - Reference instruction phrase

Special reference instruction phrase that may be used in a cross reference display. When a tracing field contains subfield $i, control subfield $w/0 contains code i (Reference instruction phrase in subfield $i). Code i indicates that the generation of a tag related reference instruction phrase in a cross reference display should be suppressed. The content of subfield $i is the reference instruction phrase that is used in the cross reference display.

When subfield $w/1 contains code h (No reference structures), subfield $i may contain the date that a heading became invalid.


008/09	a [established heading record]
151	##$aSri Lanka
451	##$wib$aCeylon$iFor subject entries search under
551	##$waa$aCeylon [Two cross references are required because of varying subject and name reference structures.]


Cross reference from field 451 display example:
Ceylon
	For subject entries search under:
		Sri Lanka


Cross reference from field 551 display example:
Ceylon
	search also under later heading:
		Sri Lanka

$w - Control subfield

Up to four character positions (designated as $w/0, etc.) that indicate whether special instructions apply to the display of the heading in the 4XX or 5XX field and whether a tracing is restricted to the reference structure of a particular type of authority. Subfield $w need not be used if none of the characteristics is applicable. Because the definitions of the codes in subfield $w are dependent on the character position in which they occur, the coding of any character position mandates that each preceding character position contains a code or a fill character (|); succeeding character positions need not be used. For example, if $w/0 and $w/1 are not applicable but $w/2 is applicable, then $w/0 and $w/1 each contain code n (Not applicable) or a fill character (|).

/0 - Special relationship

One-character alphabetic code that describes a relationship between the heading in a 1XX field and a heading in a 4XX or 5XX field that is more specific than the relationship implicit in the tag. The codes may be used to generate a special reference instruction phrase in a cross reference display.

a - Earlier heading	h - Narrower term
b - Later heading	i - Reference instruction phrase in subfield $i
d - Acronym	n - Not applicable
f - Musical composition	t - Immediate parent body
g - Broader term

a - Earlier heading

Established heading in the tracing field is an earlier name for the heading in the 1XX field. The code may be used to generate a special reference instruction phrase such as search also under the later heading: in a cross reference display.


110	1#$aMissouri.$bState Highway Patrol.$bCriminal Records Division
510	1#$wa$aMissouri.$bState Highway Patrol.$bCriminal Records Section


Cross reference display example:
Missouri. State Highway Patrol. Criminal Records Section
	search also under the later heading:
		Missouri. State Highway Patrol. Criminal Records Division

b - Later heading

Heading in the tracing field is a later name for the heading in the 1XX field. The code may be used to generate a special reference instruction phrase such as search also under the earlier heading: in a cross reference display.


110	1#$aMissouri.$bState Highway Patrol.$bCriminal Records Section
510	1#$wb$aMissouri.$bState Highway Patrol.$bCriminal Records Division


Cross reference display example:
Missouri. State Highway Patrol. Criminal Records Division
	search also under the earlier heading:
		Missouri. State Highway Patrol. Criminal Records Section

d - Acronym

Heading in the tracing field is an acronym for the heading in the 1XX field. The code may be used to generate a special reference instruction phrase such as search under the full form of the heading: in a cross reference display.


110	2#$aAssociação Brasileira para o Desenvolvimento das Industrias de Base
410	2#$wd$aAbdib


Cross reference display example:
Abdib
	search under the full form of the heading:
		Associação Brasileira para o Desenvolvimento das Industrias de Base

f - Musical composition

Heading in the 4XX or 5XX field is for a literary work upon which the musical composition in the heading in the 1XX field is based. The code may be used to generate a special reference instruction phrase such as for a musical composition based on this work, search also under: in a cross reference display.


100	1#$aDebussy, Claude,$d1862-1918.$tChute de la maison Usher
500	1#$wf$aPoe, Edgar Allan,$d1809-1849.$tFall of the house of Usher


Cross reference display example:
Poe, Edgar Allan, 1809-1849. Fall of the house of Usher
	for a musical composition based on this work, search also under:
		Debussy, Claude, 1862-1918. Chute de la maison Usher

g - Broader term

Heading in the 4XX or 5XX field is a broader term than the heading in the 1XX field. The code may be used to generate a special reference instruction phrase such as search also under the narrower term: in a cross reference display.


150	##$aToes
550	##$wg$aFoot


Cross reference display example:
Foot
	search also under the narrower term: Toes

h - Narrower term

Heading in the 4XX or 5XX field is a narrower term than the heading in the 1XX field. The code may be used to generate a special reference instruction phrase such as search also under the broader term: in a cross reference display.


150	##$aFoot
550	##$wh$aToes


Cross reference display example:
Toes
	search also under the broader term: Foot

i - Reference instruction phrase in subfield $i

Used in conjunction with subfield $i (Reference instruction phrase). Guidelines for applying code i are given under the description of subfield $i.

n - Not applicable

Relationship between the heading in the 4XX or 5XX field and the heading in the 1XX field is not one of the special relationships for which other codes are defined in subfield $w/0. A tag related reference instruction phrase such as search under: or search also under: may be used in a cross reference display from the related heading. If code n is applicable, subfield $w/0 need not be coded unless a subsequent character position is required.


180	##$xAesthetics
480	##$xViews on aesthetics


Cross reference display example:
Views on aesthetics
	search under: Aesthetics

t - Immediate parent body

Heading in the 5XX field is the name of a parent body of the entity in the 1XX field. Code t is applicable only to corporate bodies. It may be used for archival material where there is a need to identify fully the hierarchical structure of a corporate entity.


110	2#$aLoblaw Companies Limited
510	2#$wt$aGeorge Weston Limited


Cross reference display example:
Loblaw Companies Limited
	search also under the immediate parent body:
		George Weston Limited

/1 - Tracing use restriction

One-character alphabetic code that specifies the authority reference structure in which the use of a 4XX or 5XX field to generate a cross reference is appropriate. When the tracing reference structure use differs from the use of the heading in the 1XX field, a tracing use restriction code in subfield $w/1 enables suppression or generation of the cross reference as required for the type of reference structure.

a - Name reference structure only

b - Subject reference structure only

c - Series reference structure only

d - Name and subject reference structures

e - Name and series reference structures

f - Subject and series reference structures

g - Name, subject, and series reference structures

h - No reference structures

n - Not applicable

Code h (No reference structures) indicates that the reference is not valid in any reference structure. Code n (Not applicable) indicates that the authority structure use is the same as the bibliographic record use coded in 008/14-16 for the heading in the 1XX field. If code n is applicable, subfield $w/1 need not be coded unless a subsequent character position is required.

/2 - Earlier form of heading

One-character alphabetic code that indicates whether the heading in the 4XX field is an earlier form in which the name or subject was established either in the relevant national authority file or in an authority file other than the national authority file.

a - Pre-AACR 2 form of heading (national name authority file)

e - Earlier established form of heading (national authority file)

o - Earlier established form of heading (other authority file)

n - Not applicable

Precedence of codes

When more than one code applies to the heading in a 4XX field, the following table is used to determine the precedence status of each code. Preference is given to codes higher on the lists. The Names column covers records for names formulated according to descriptive cataloging rules. The Subjects column covers records for subjects formulated according to subject heading system/thesaurus conventions.

Names	Subjects
n - Not applicable	n - Not applicable
a - Pre-AACR2 form of heading (national name authority file)	e - Earlier established form of heading (national authority file)
e - Earlier established form of heading (national authority file)	o - Earlier established form of heading (other authority file)
o - Earlier established form of heading (other authority file)

a - Pre-AACR 2 form of heading (national name authority file)

Heading in the 4XX field is a pre-AACR2 form (of the heading in the 1XX field) that was the authorized heading in the national name authority file at the time of the changeover to the AACR2 rules.


100	1#$aCallaghan, Bede,$cSir,$d1912-
400	1#$wnna$aCallaghan, Bede Bertrand,$cSir,$d1912-


Cross reference display example:
Callaghan, Bede Bertrand, Sir, 1912-
	search under the later form of the heading:
		Callaghan, Bede, Sir, 1912-

e - Earlier established form of heading (national authority file)

Heading in the 4XX field is a form of the heading in the 1XX field that was formerly established in the relevant national authority file under a situation other than that specified by code a.For example, code e is used when the heading in the 4XX field is a previously-authorized heading from the national authority file now superseded by a later form of heading in the 1XX field. It is also used when the tracing is a pre-AACR2 form of a name, name-title, or uniform title heading that had been established earlier in the national authority file but was not the established heading at the time of the changeover to the AACR2 rules.


150	##$aMargarine
450	##$wnne$aOleomargarine


151	##$aBoston (England)
451	##$wnne$aBoston (Lincolnshire)

o - Earlier established form of heading (other authority file)

Heading in the tracing field is an earlier form of the 1XX heading that was formerly established in an authority file other than the relevant national authority file.

n - Not applicable

Tracing does not contain a formerly established form of the 1XX heading.If code n is applicable, subfield $w/2 need not be coded unless a subsequent character position is required.

/3 - Reference display

One-character alphabetic code that enables the generation or suppression of a cross reference from a 4XX or 5XX field.

a - Reference not displayed

b - Reference not displayed, field 664 used

c - Reference not displayed, field 663 used

d - Reference not displayed, field 665 used

n - Not applicable

a - Reference not displayed

Generation of a cross reference display from a tracing field should be suppressed. Code a is used when the reason for suppression is not covered by code b, c, or d.


110	2#$aEntomological Society of Karachi
510	2#$wanna$aKarachi Entomological Society [Cross reference is suppressed because heading has not been used.]

b - Reference not displayed, field 664 used

Generation of a cross reference display from a 4XX field should be suppressed because of the existence of a separate reference record containing a 664 field.See the description of field 664 for examples of subfield $w/3 containing code b in 4XX fields in established heading records. See the Reference Fields-Complex Cross References description in this section for examples of cross reference displays generated from field 664.

c - Reference not displayed, field 663 used

Generation of a cross reference display from a 5XX field should be suppressed due to the presence of field 663 in the same record.See the description of field 663 for examples of subfield $w/3 containing code c in 5XX fields in established heading records. See the Reference Fields-Complex Cross References description in this section for examples of cross reference displays generated from field 663.

d - Reference not displayed, field 665 used

Generation of a cross reference display from a 4XX or 5XX field should be suppressed because of a 665 (History Reference) field in the same record.See the field 665 description for examples of subfield $w/3 containing code d in 4XX and 5XX fields in established heading records. See the Reference Fields-Complex Cross References description in this section for examples of cross reference displays generated from field 665.

n - Not applicable

No reference display restriction on the 4XX or 5XX field. If code n is applicable, subfield $w/3 need not be coded.

■ REFERENCE FIELDS - COMPLEX CROSS REFERENCES

Complex cross references are carried directly in records as reference note fields. The following description is arranged by the source of the reference instruction phrase: tag related (with subfield $i) and subfield $a.

Tag related reference instruction phrase with subfield $i

Field 260 may be used to generate a display of a cross reference with a reference instruction phrase such as see: or search under:. Field 360 may be used to generate a cross reference with a reference instruction phrase such as see also: or search also under:. The text in subfield $i (Explanatory text) augments the tag related instruction phrase.

260 - Complex See Reference - Subject:


008/09	b [untraced reference record]
150	##$aCatalogue . . .
260	##$isubject headings beginning with the word$aCatalog


Cross reference display example:
Catalogue . . .
	search under: subject headings beginning with the word Catalog

260 - Complex See Reference - Subject:


008/09	g [reference and subdivision record]
150	##$aAmateurs' manuals
260	##$isubdivision$aAmateurs' manuals$iunder subjects, e.g.$aRadio-Amateurs' manuals


Cross reference display example:
Amateurs' manuals
	search under: subdivision Amateurs' manuals under subjects, e.g. Radio-Amateurs' manuals

360 - Complex See Also Reference - Subject:


008/09	a [established heading record]
100	0#$aMary,$cBlessed Virgin, Saint$xApparitions and miracles
360	##$inames of particular apparitions and miracles, e.g.$aFatima, Our Lady of


Cross reference display example:
Mary, Blessed Virgin, Saint-Apparitions and miracles
	search also under: names of particular apparitions and miracles, e.g. Fatima, Our Lady of

$a - Explanatory text

Any reference instruction phrase needed in fields 663, 664, 665, and 666.

663 - Complex See Also Reference - Name


008/09	a [established heading record]
100	1#$aJapp, Alexander H.$q(Alexander Hay),$d1839-1905
663	##$aFor works of this author written under pseudonyms, search also under$bGray, E. Condor, 1839-1905$aand$bPage, H. A., 1839-1905


Cross reference display example:
Japp, Alexander H. (Alexander Hay), 1839-1905
	For works of this author written under pseudonyms, search also under: Gray, E. Condor,
		1839-1905 and Page, H. A., 1839-1905

664 - Complex See Reference - Name:


008/09	c [traced reference record]
100	1#$aReger, Max,$d1873-1916.$tDies irae
664	##$aFor this movement included in the composer's unfinished Requiem search under$bReger, Max, 1873-1916.$tRequiem (Mass)


Cross reference display example:
Reger, Max, 1873-1916. Dies irae
	For this movement included in the composer's unfinished Requiem search under: Reger, Max, 1873-1916. Requiem (Mass)

666 - General Explanatory Reference - Name:


008/09	b [untraced reference record]
110	2#$aAktiebolaget . . .
666	##$aCorporate names beginning with this word are entered under the next word in the name.


Cross reference display example:
Aktiebolaget . . .
	Corporate names beginning with this word are entered under the next word in the name.

665 - History Reference (The cross references from the other corporate names are similarly constructed:


008/09	a [established heading record]
110	1#$aConnecticut.$bDept. of Social Services
665	##$aIn Jan. 1979 the Connecticut Dept. of Social Services split to form the Dept. of Human Resources and the Dept. of Income Maintenance. $aWorks by these bodies are found under the following headings according to the name used at the time of publication:$aConnecticut. Dept. of Social Services.$aConnecticut. Dept. of Human Resources.$aConnecticut. Dept. of Income Maintenance.$aSUBJECT ENTRY:$aWorks about these bodies are entered under one or more of the names resulting from the separation. Works limited in coverage to the pre-separation period are entered under the name of the original body.


Cross reference display example:
Connecticut. Dept. of Social Services
	In Jan. 1979 the Connecticut Dept. of Social Services split to form the Dept. of Human Resources and the Dept. of Income Maintenance. Works by these bodies are found under the following headings according to the name used at the time of publication:
		Connecticut. Dept. of Social Services
		Connecticut. Dept. of Human Resources
		Connecticut. Dept. of Income Maintenance
		SUBJECT ENTRY: Works about these bodies are entered under one or more of the names resulting from the separation. Works limited in coverage to the pre-separation period are entered under the name of the original body.

Subfield $w/0 code related:	Tag-related:
a - search also under [see also] the later heading:	see:
b - search also under [see also] the earlier heading:	see also:
d - search under [see] the full form of the heading:	search under:
g - search also under [see also] the narrower term:	search also under:
h - search also under [see also] the broader term:
n -[A tag-related reference instruction phrase may be used.]
t - search also under [see also] the parent body:

Tracings and References-General Information

DEFINITION AND SCOPE

■ TRACING FIELDS

■ REFERENCE NOTE FIELDS

GUIDELINES FOR APPLYING CONTENT DESIGNATORS

■ TRACING FIELDS -- SIMPLE CROSS REFERENCES

■ REFERENCE FIELDS - COMPLEX CROSS REFERENCES

INPUT CONVENTIONS

CONTENT DESIGNATOR HISTORY


008/09	a [established heading record]
100	1#$aDe Angelini, Anna
400	1#$aAngelini, Anna de [Reference instruction phrase is associated with field tag 400.]


Cross reference display example:
Angelini, Anna de
	search under: De Angelini, Anna


008/09	d [subdivision record]
180	##$xAcronyms
580	##$xAbbreviations [Reference instruction phrase is associated with field tag 580.]


Cross reference display example:
Abbreviations
	search also under: Acronyms


008/09	f [established heading and subdivision record]
150	##$aManagement
360	##$isubject subdivision$aManagement$iunder types of industries [Reference instruction phrase is associated with field tag 360 and is also explicit in 360 $i.]


Cross reference display example:
Management
	search also under: subject subdivision Management under types of industries


008/09	a [established heading record]
100	1#$aArlen, Harold,$d1905-1986.$tBloomer girl
664	##$aFor collections beginning with this title search under$bArlen, Harold, 1905-1986$tMusical comedies. Selections [Reference instruction phrase is explicit in field 664 $a.]


Cross reference display example:
Arlen, Harold, 1905-1986 Bloomer girl
	For collections beginning with this title search under: Arlen, Harold, 1905-1986 Musical comedies. Selections