Standard for Machine-Proposed Authority Records
Gary L. Strawn
Northwestern University Library
mrsmith@nwu.edu
Page 2 of 3.
Continued from previous page
4.6.2 Reference tracings for unadorned personal names
4.6.2.1 Reference tracings never generated
The program shall not generate reference tracings which begin with common
connectives such as "y" or "und." For headings which appear to be in German,
Dutch and related languages, the program shall also not generate reference
tracings which begin with a definite article which follows a prefix. (Cf. LCRI
26.2)
100 2 $a Boop y Moret, A. de $q (Aureliano), $d 1952-
400 1 $a Moret, A. de Boop y $q (Aureliano de Boop y), $d 1952-
400 2 $a De Boop y Moret, A. $q (Aureliano), $d 1952-
The program shall not generate a reference tracing for:
400 1 $a Y Moret, A. de Boop $q (Aureliano de Boop), $d 1952-
100 1 $a Boop, Alexander von der, $d 1952-
400 1 $a Von der Boop, Alexander, $d 1952-
The program shall not generate a reference tracing for:
400 1 $a Der Boop, Alexander von, $d 1952-
4.6.2.2 Reference tracings for multi-word surnames
The program shall generate one reference tracing for each non-lead word in
the surname portion of personal name headings which contain a multi-word surname.
100 2 $a Schleswig-Holstein-Boop, Friedrich Christian von, $d 1952-
400 2 $a Holstein-Boop, Friedrich Christian von Schleswig-, $d 1952-
400 1 $a Boop, Friedrich Christian von Schleswig-Holstein-, $d 1952-
100 1 $a De La Boop, $d 1952-
400 1 $a La Boop, $c De, $d 1952-
400 1 $a Boop, $c De La, $d 1952-
Note the use of the subfield $c code in rotations of a multi-word surname-only
heading; cf. LCRI 22.5D.
4.6.2.3 Reference tracings for surname information present in the
forename
The program shall generate one reference tracing for each lower-cased word
in the forename portion of a personal name heading, and for any upper-cased
words in the forename which follow such lower-cased words.
100 2 $a Schleswig-Holstein-Boop, Friedrich Christian von, $d 1952-
400 2 $a Von Schleswig-Holstein-Boop, Friedrich Christian, $d 1952-
100 1 $a Boop, Alexander von der, $d 1952-
400 1 $a Von der Boop, Alexander, $d 1952-
4.6.2.4 Reference tracings for variation in fullness of the first
forename
4.6.2.4.1 Reference tracing for forename abbreviated in the heading
If the first forename of a personal name heading is represented by an initial
or abbreviation and the full version of the word is available, the program
shall generate one reference tracing, substituting the full form for the initials.
100 1 $a Boop, B. E. $q (Betty E.), $d 1952-
400 1 $a Boop, Betty E., $d 1952-
The program shall not make this substitution for "rotated" versions of
the heading.
100 2 $a Boop Rodriguez, B. $q (Betty), $d 1952-
400 2 $a Boop Rodriguez, Betty, $d 1952-
400 1 $a Rodriguez, B. Boop $q (Betty Boop), $d 1952-
Because it would constitute a "variant of the variant" (cf. LCRI 26.2),
the program shall not generate a reference tracing for:
400 1 $a Rodriguez, Betty Boop, $d 1952-
4.6.2.4.2 Reference tracing for forename abbreviated in the statement
of responsibility
If the first forename is not represented in the authority heading by an initial
or abbreviation, but it is so represented in the statement of responsibility
of the bibliographic record on which the authority record is based, the program
shall generate a reference tracing, substituting the initials for the full
form.
100 1 $a Smith, Hastings Alexander, $d 1952-
400 1 $a Smith, H. A. $q (Hastings Alexander), $d 1952-
670 $a Winchell, Paul. You can do it, kid, 1995: $b t.p. (H.A. Smith)
When the program moved the statement of responsibility from subfield $c
of the 245 field to subfield $b of the 670 field, it noted that the statement
of responsibility varied from the established heading in the fullness of the
first forename. The program used this variant form as the basis for a reference
tracing.
4.6.2.5 Reference tracings for variation in fullness of surname
If any word in the surname portion of a personal name heading is represented
by an initial or abbreviation and the full version of the word is available,
the program shall generate one reference tracing, substituting the full form
for the initials. If any "rotated" versions of the heading contain an abbreviation
in the surname, the program shall also generate an additional reference tracing,
replacing the abbreviation in the rotated heading with the full form.
100 1 $a B., Betty E. $q (Betty Elizabeth Boop), $d 1952-
400 1 $a Boop, Betty E. $q (Betty Elizabeth), $d 1952-
100 2 $a Smith B., Betty $q (Smith Boop), $d 1952-
400 2 $a Smith Boop, Betty, $d 1952-
400 1 $a B., Betty Smith $q (Boop), $d 1952-
400 1 $a Boop, Betty Smith, $d 1952-
4.6.2.6 Reference tracings for variation in fullness of both surname
and first forename
The program shall combine the preceding instructions when abbreviations occur
in both the surname and forename.
100 2 $a Boop R., B. $q (Betty Boop Rodriguez), $d 1952-
400 2 $a Boop Rodriguez, B. $q (Betty), $d 1952-
400 2 $a Boop R., Betty $q (Boop Rodriguez), $d 1952-
400 1 $a R., B. Boop $q (Betty Boop Rodriguez), $d 1952-
400 1 $a Rodriguez, Betty Boop, $d 1952-
4.6.2.7 Reference tracings for title of nobility, etc.
If a personal name heading consisting of surname and forename contains a subfield
$c which ends with a common preposition, and if the forename consists of a
single word, the program shall create a forename-first reference tracing, rotating
the entire surname into subfield $c. If in such a heading the forename consists
of multiple words, the program shall instead treat all forename words except
the first as surname words, and create one or more surname/forename reference
tracings.
100 1 $a Boop, Betty, $c Countess of, $d 1952-
400 0 $a Betty, $c Countess of Boop, $d 1952-
100 1 $a Boop, Marie de Rabutin-Chantal, $c Countess of, $d 1952-
400 2 $a Rabutin-Chantal, Marie de, $c Countess of Boop, $d 1952-
400 1 $a Chantal, Marie de Rabutin-, $c Countess of Boop, $d 1952-
400 2 $a De Rabutin-Chantal, Marie, $c Countess of Boop, $d 1952-
If subfield $c of a personal name heading contains an upper-cased word followed
by a preposition or other lower-cased word and one or more additional upper-cased
words, the program shall create a reference tracing using the additional upper-cased
word(s) from subfield $c as the lead element, and moving the original surname
to the end of the forenames; but the program shall not create this reference
tracing if the additional upper-cased word(s) match the surname.
100 1 $a Boop, Bob, $c Count of Thorax, $d 1952-
400 1 $a Thorax, Bob Boop, $c Count of, $d 1952-
100 1 $a Boop, Bob, $c Count of Boop, $d 1952-
The program shall not create a reference tracing for:
400 1 $a Boop, Bob Boop, $c Count of, $d 1952-
4.6.2.8 Reference tracings for multi-word forenames
If a personal name heading consists solely of a multi-word forename, the program
shall generate one reference tracing from each word in the forename. If the
heading in direct order contains an abbreviation, or if any "rotated" version
of the heading contains an abbreviation in the surname portion or the first
element to the right of the comma, and the full form for the abbreviation is
available, the program shall also generate an additional reference tracing,
replacing the abbreviation in the rotated heading with the full form.
100 0 $a Mobutu Sese Boop, $d 1952-
400 1 $a Boop, Mobutu Sese, $d 1952-
400 2 $a Sese Boop, Mobutu, $d 1952-
100 0 $a Betty E. $q (Betty Elizabeth), $d 1952-
400 0 $a Betty Elizabeth, $d 1952-
400 1 $a E., Betty $q (Elizabeth), $d 1952-
400 1 $a Elizabeth, Betty, $d 1952-
4.6.2.9 Reference tracings for "incomplete" names [See
Endnote 17]
If a personal name heading which contains a surname does not contain any forenames,
and if subfields $c and $q are present, the program shall generate a reference
tracing from the surname portion of the heading, using the subfield $q text
as forenames, and omitting subfield $c.
100 1 $a Smith, $c Mr. $q (John Seymour), $d 1952-
400 1 $a Smith, John Seymour, $d 1952-
100 1 $a La Boop, $c Madame de $q (Marie-Madelaine Pioche de La Vergne), $d
1952-
400 1 $a La Boop, Marie-Madelaine Pioche de La Vergne, $d 1952-
400 1 $a De La Boop, $c Madame $q (Marie-Madelaine Pioche de La Vergne), $d
1952-
400 1 $a Boop, $c Madame de la $q (Marie-Madelaine Pioche de La Vergne), $d
1952-
Additional reference tracings (from "Pioche" and following words in subfield
$q) are needed for this heading, because these words represent a surname. However,
since it is impossible for a program to distinguish between these words in
this heading and words in other headings of similar construction for which
such references are not desired (cf. the preceding and following examples),
the program should leave the generation of these reference tracings to the
operator. The program should provide a tool to make the generation of these
reference tracings as simple as possible.
100 2 $a Sigaud de la Boop, $c M. $q (Joseph Aignan), $d 1952-
400 2 $a Sigaud de la Boop, Joseph Aignan, $d 1952-
400 1 $a De la Boop, Sigaud, $c M. $q (Joseph Aignan), $d 1952-
400 1 $a La Boop, Sigaud de, $c M. $q (Joseph Aignan), $d 1952-
400 1 $a Boop, Sigaud de la, $c M. $q (Joseph Aignan), $d 1952-
100 1 $a S., $c Mr. $q (John Seymour Smith), $d 1952-
400 1 $a S., John Seymour $q (Smith), $d 1952-
400 1 $a Smith, John Seymour, $d 1952-
400 1 $a Smith, $c Mr. $q (John Seymour), $d 1952-
100 2 $a Smith B., $c Mr. $q (John Seymour Smith Boop), $d 1952-
400 2 $a Smith B., John Seymour $q (Smith Boop), $d 1952-
400 2 $a Smith Boop, John Seymour, $d 1952-
400 2 $a Smith Boop, $c Mr. $q (John Seymour), $d 1952-
400 1 $a B., Smith, $c Mr. $q (John Seymour Smith Boop), $d 1952-
400 1 $a Boop, Smith, $c Mr. $q (John Seymour), $d 1952-
4.6.2.10 Reference tracings for names consisting solely of initials
If subfield $a of a personal name heading in direct order consists solely
of characters separated by spaces, full stops, or a combination of spaces and
full stops, the program shall generate one reference tracing for the text of
subfield $a, without spaces or full stops, and one reference tracing that uses
the last initial as a "surname." If the full form for the surname initial is
available, the program shall generate an additional reference tracing for the
name in inverted order, substituting the full form for the initial(s).
100 2 $a L H O O Q
400 1 $a LHOOQ
400 1 $a Q, L H O O
100 0 $a E. R. $q (Elizabeth Rodriguez), $d 1952-
400 1 $a ER $q (Elizabeth Rodriguez), $d 1952-
400 1 $a R., E. $q (Elizabeth Rodriguez), $d 1952-
400 1 $a Rodriguez, Elizabeth, $d 1952-
4.6.3 Reference tracing for name/title headings assembled from the
bibliographic 1XX and 24X fields
4.6.3.1 Reference tracing for title proper
If a heading consists of a bibliographic 1XX field plus the complete 240 field,
the program shall generate a reference tracing consisting of the bibliographic
1XX field plus subfields $a, $n and $p from the 245 field, unless the title segment
of this reference tracing would match the beginning of the title segment of the
authority heading. The program shall construct this reference tracing in the
same manner it constructs the name/title 1XX field: it shall add a full stop
at the end of the bibliographic 1XX field where needed, remove non-filing characters
from and upper-case the first alphanumeric character of the 245 field, and change
the 245
field's subfield $a code to $t.
Bibliographic fields:
100 1 $a Shakespeare, William, $d 1564-1616.
240 10 $a Hamlet. $l Italian
245 13 $a La tragedia di Amleto, principe di Danimarca.
Authority record produced from 100+240 fields, with reference tracing produced
from 1XX+245 fields:
100 1 $a Shakespeare, William, $d 1564-1616. $t Hamlet. $l Italian
400 1 $a Shakespeare, William, $d 1564-1616. $t Tragedia di Amleto, principe
di Danimarca
Bibliographic fields:
100 1 $a Shakespeare, William, $d 1564-1616.
240 10 $a Hamlet. $l French
245 10 $a Hamlet $c <par> Shakespeare. Traduit par Andre Gide.
Authority record produced from 100+240 fields:
100 1 $a Shakespeare, William, $d 1564-1616. $t Hamlet. $l French
Because the title segment of the reference tracing would match the beginning
of the title segment of the authority heading, the program shall not create
the following reference tracing for the 1XX+245 fields:
400 1 $a Shakespeare, William, $d 1564-1616. $t Hamlet
4.6.3.2 Reference tracing for alternative titles
The program shall generate a reference tracing consisting of the bibliographic
1XX field plus subfields $a, $n and $p from each 246 field in the bibliographic
record which bears first indicator values of "1" or "3" and second indicator
values of "0," "1," "4," "5," "6," "7" or "8." The program shall construct
the reference tracing by adding a full stop at the end of the bibliographic
1XX field where needed, and change the 246 field's subfield $a to $t. The program
shall include information from the 246 fields in subfield $b of the 670 field,
converting the second indicator value into an appropriate text constant.
Bibliographic fields:
100 1 $a Boop, William, $d 1952-
245 10 $a Hamlet.
246 18 $a Tragedy of Hamlet
246 17 $a Boop's Hamlet
260 $a Chicago, $b Boop, $c 1952.
Authority record produced from 100+245 fields, with reference tracings
produced from 1XX+246 fields:
100 1 $a Boop, William, $d 1952- $t Hamlet
400 1 $a Boop, William, $d 1952- $t Tragedy of Hamlet
400 1 $a Boop, William, $d 1952- $t Boop's Hamlet
670 $a Boop, William. Hamlet, 1952: $b spine (Tragedy of Hamlet) running title
(Boop's Hamlet)
4.6.4 Reference tracings for series headings
4.6.4.1 Reference tracing for name/title series headings
If a series heading consists of a name plus a title (the title segment consisting
of no subfields other than $t, $n and $p), the program shall generate a reference
tracing for the title alone.
Bibliographic field:
800 1 $a Onibonoje, G. O. $t Geography book ; $v 1.
Authority record produced from 800 field:
100 1 $a Onibonoje, G. O. $t Geography book
430 0 $a Geography book
Bibliographic field:
800 1 $a Onibonoje, G. O. $t Works. $f 1996, $v 1-3.
Authority record produced from 800 field:
100 1 $a Onibonoje, G. O. $t Works. $f 1996
Because the title portion of the heading contains subfield $f, the program
shall not create this reference tracing:
430 0 $a Works. $f 1995
4.6.4.2 Reference tracings for title series headings
4.6.4.2.1 Reference tracings for parallel titles
The program shall generate one reference tracing for each identifiable parallel
title for a series. The program can only produce this reference tracing when
the program can associate an 830 field with a 490 field which contains a parallel
title; this will not always be possible. The program shall allow for common
initial articles in the reference tracing for the parallel title. Any parallel
titles added as reference tracings shall be included in subfield $b of the
670 field.
Bibliographic fields:
490 1 $a Handbuch der reinen Vernunft ; $v 10 = $a Handbook of pure reason
; $v 10
830 0 $a Handbuch der reinen Vernunft ; $v 10.
Authority record produced from the 830 and 490 fields:
130 0 $a Handbuch der reinen Vernunft
430 0 $a Handbook of pure reason
670 $a Bats incredible, c1993: $b series t.p. (Handbuch der reinen Vernunft;
Handbook of pure reason)
4.6.4.2.2 Reference tracing for words following a generic series designation
The program shall generate one reference tracing beginning with the word following
an initial generic series term such as "Serie" or "Reihe," when that following
word begins with an upper-case letter. The program shall allow for common initial
articles in the reference tracing, and upper-case the first alphanumeric character.
130 0 $a Collection Le tohu-bohu
430 0 $a Tohu-bohu
4.6.4.2.3 Reference tracing for ampersands and plus signs [See
Endnote 18]
If any of the first five words of a title series heading is an ampersand or
plus sign, the program shall generate one reference tracing, substituting a
text equivalent determined according to the bibliographic record's language
code (008/35-37) for the ampersand or plus sign. [See Endnote 19] The
operator must be aware that this equivalent is not necessarily correct; the
operator must adjust the equivalent as appropriate.
In the following example, the bibliographic record's language
code is "eng"
130 0 $a Bunch of junk & stuff from us to you
430 0 $a Bunch of junk and stuff from us to you
In the following example, the bibliographic record's language code is "fre"
130 0 $a Bunch of junk + stuff from us to you
430 0 $a Bunch of junk et stuff from us to you
4.6.4.2.4 Reference tracing for initialisms
If any of the first five words in a title series heading consists of single
characters separated by full stops, the program shall generate a reference
tracing, with the full stops removed.
130 0 $a V.T. collection of junk and stuff
430 0 $a VT collection of junk and stuff
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