Cross References in InnoPac Authority Records

November 7, 2003
Updated by: Marilu Vallejo & Shirley Higgins
Approved by: Cataloging Committee

General Guidelines
Capitalization, Punctuation, Special Letters & Characters, Symbols and Numerals
Forename Initials vs. Spelled Out
Compound Surnames
Conferences
Initials
Abbreviations

General Guidelines:

This document provides guidelines for making cross references and is to be used in conjunction with AACR2R, chapter 26, and the corresponding LCRI's. Some of the standard AACR2R rules and LCRI's regarding cross references require modification in the InnoPac context. The portion of each rule requiring modification is given followed by the corresponding UCSD guidelines. Excerpts from AACR2R rules and LCRIs are given in quotation marks.

These guidelines will be followed when creating a new authority record, when downloading an LC authority record, and when consulting an existing InnoPac authority record. Catalogers are expected to edit existing InnoPac authority records to conform to these guidelines.

NACO AUTHORITY WORK: These procedures are for UCSD authority work. NACO catalogers should follow regular NACO procedures and adapt the NACO authority record according to these procedures before downloading to InnoPac.

PRE-AACR2 and OLD UCSD FORMS: When the pre-AACR2 form is readily available and would file differently than the authorized heading on InnoPac, include it as a cross reference. If a pre-AACR2 form normalizes the same as the AACR2 form or another cross reference (4XX) on the authority record, delete the 4XX pre-AACR2 form.

Do not include older UCSD forms of headings as cross references unless they are valid references under AACR2. When these older forms appear in the InnoPac database and are not valid as references, correct them or initiate a correction of the headings.

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CAPITALIZATION, PUNCTUATION, SPECIAL LETTERS & CHARACTERS, SYMBOLS & NUMERALS

InnoPac normalizes all alpha characters to lowercase for matching purposes. All punctuation marks are treated as spaces; apostrophes are ignored. All multiple punctuation and/or spaces are treated as a single space. All diacritics and some special characters are ignored. Ampersands file as 'and'. All other symbols and numerals file as they appear, in normal ASCII order. Consult the InnoPac User Manual "InnoPac Diacritics and Special Characters Table" for a complete list of diacritics and special characters and how they are indexed.

Specifically:

• Capitalization is normalized to lowercase on InnoPac. Do not make cross references for variations in case.
  
  
• Commas and parentheses are treated as spaces on InnoPac. If the alternate form normalizes to the exact same form as the authorized heading, do not make a cross reference for the alternate form (comma vs. parentheses), and if one is already in the authority record, delete it.
          

  	151	0	San Bernardino (Calif.)
  delete:	451	0	San Bernardino, Calif.

  
  

  However, because commas and parentheses are treated as spaces, headings with commas or parentheses file separately from the same heading without commas or parentheses. Therefore, always include both forms in the authority record for any heading which might be searched under either form.

                                                       110  2   1,001 Dalmations Pet Store
                                                       410  2   1001 Dalmations Pet Store

                                                       110  2   1001 Dalmations Pet Store
                                                       410  2   1,001 Dalmations Pet Store

• Apostrophes are ignored on InnoPac and are not treated as spaces. Do not make cross references for variations that are simply the omission or addition of apostrophes.
  
  
• All other punctuation marks are treated as spaces on InnoPac. Multiple punctuation marks and multiple spaces are treated as a single space.
  
  
• "&" and "and" file the same on InnoPac.
  For English language: Do not provide a cross reference for the alternate form, even if found on the item in hand.
  For non-English language: Provide a cross reference for the alternate form if the authorized heading includes the symbol '&'. Do not provide a cross reference for the form with an ampersand unless that form is found on the item in hand.
  
  
• Diacritical marks are to be included as needed in the authorized form and cross references. InnoPac will not display these marks to the public user.
  
  
• Special letters and some special characters. InnoPac substitutes a corresponding plain letter of the alphabet (e.g. L for the Polish L with the slash; O for the Scandinavian slashed Ø; D for the D with a crossbar; O for the hooked O; U for the hooked U). Do not make cross references for the alternate spellings for these letters. Catalogers are asked to forward unusual alphabetical characters found in InnoPac records to Karen Peters, who will document each to alert all catalogers and make future enhancement recommendations.
  
  
• All other symbols and numerals file as they appear, in ASCII filing order before alphabetic characters on InnoPac. Provide a cross reference for the spelled out form when the authorized form includes a symbol or numeral. (This does not apply to symbols and numerals used in qualifiers)
  
  
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FORENAME INITIALS vs. SPELLED OUT

InnoPac ignores subfield codes and arranges qualifiers as though they continue the forenames. This presents a confusing display.

EXAMPLE:


heading:	Ram{226}irez Soto, Mar{226}ia E.$q(Mar{226}ia Elena)
indexed:	Ramirez Soto Maria E Maria Elena

• Forename spelled out plus initial(s). 
  
  Do not make a cross reference for the less full form of the name. A 670 note may be added for the less full form of the name when the note would help identify an individual with a common name or help resolve a conflict.
  
  

  	100 1	Ramirez, Mina M.
  	670	The Philippines in the Asia-Pacific, 1994:$bcaption title (Mina Ramirez)

But, do make a cross reference for the initialized form of the spelled out forename, if it appears on the item.

100 1    Brownington, James C.
400 1    Brownington, J. C.$q (James C.)

100 1    Wang, Sow-Hsin
400 1    Wang, S. -H.$q(Sow-Hsin)

• Forename in initials vs. fewer initials.
  
  Do not make a cross reference for the shortened form of the forename. A 670 note may be added for the less full form of the name when the note would help identify an individual with a common name or help resolve a conflict.
                   

  	100 1	Martell, R. E.
  	670	Lemon, D. Portable blast freezing, 1981:$bt.p. ( R. Martell)

                  
  But, if adding a middle initial or middle name, do make a cross reference:

	100 1	Jones, Ray
	400 1	Jones, R. C.$q(Ray C.)

• Fuller form of name.
  
  

  	100 1	Allen, Richard C.$q(Richard Clark),$d1954-
  	400 1	Allen, Richard Clark,$d1954-

  
  

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COMPOUND SURNAMES

Because InnoPac indexing ignores punctuation, including commas, compound surnames file as follows:

Heading:	Indexed:
Garcia Conejo, Francisco	garcia conejo francisco
Garcia, Juan	garcia juan
Garcia Marquez, Gabriel	garcia marquez gabriel

For Spanish surnames, this may cause problems in searching common surnames, since some authors are known by their first surname only. Therefore, in cases where searching may be hampered, make a cross reference from the surname entry element followed by the forename, but omitting the second surname element. [NOTE: AACR2R and LCRI 26.2 instruct catalogers to refer from the second element, but not from the first, based on the assumption that the comma will be significant in filing.]

 

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CONFERENCES

Provide inverted forms of conference names as references in the online catalog as outlined in this LCRI. In addition, make an inverted reference from the first significant subject term in the conference name.

111 2   International Symposium on Liquid Crystals
411 2   Symposium on Liquid Crystals, International
411 2   Liquid Crystals, International Symposium on

but not

411 2   Crystals, International Symposium on Liquid

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INITIALS

Initials with periods and initials with spaces file the same on InnoPac. Because both spaces and punctuation are treated as spaces in InnoPac normalization, acronyms written without spaces or periods file separately from the same acronyms written with spaces or periods. Therefore, always include both abbreviated forms, in addition to the spelled out form, in the authority record for any heading which is found in either abbreviated form.

110 2   World Meteorological Organization
410 2   WMO
410 2   W.M.O.

A particular acronym may sometimes be found with spaces and other times with periods. Because InnoPac normalizes a space and a period in the same way, it would be redundant to refer from both forms. Therefore, when both forms are found, refer from the form with periods.

When no spelled out form exists, the authority record includes only the two abbreviated forms.

110 2   A.G.A. Gas Supply Committee
410 2   AGA Gas Supply Committee

110 2    BANAS (Organization : Indonesia)
410 2    B.A.N.A.S.

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ABBREVIATIONS

Examples from AACR2:

110 2    St. Annen-Museum
410 2    Sankt Annen-Museum

110 2    Societe St-Jean-Baptiste de Montreal
410 2    Societe Saint-Jean-Baptiste de Montreal

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Originally prepared by the TSUG Committee on Online References (Barbara Tillett, chair; Shirley Higgins, Peggy Trader, Betty Wilson, JoAnne Kingsbury, Sonja Biggs, Jackie Dooley, Maggie Houlihan) with the assistance of Crystal Graham, 2/91

Updated by Marilu Vallejo & Shirley Higgins, 2/1/2001