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USMARC Concise Authority: Tracings and References--General Information

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A cross reference leads from an unestablished heading to an established heading (see reference) or from an established heading to other established headings (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.
In the USMARC Authority format, a variety of tracing and reference fields are defined to allow the generation of simple and complex references. These data elements are divided into the following groups where descriptions of specific fields can be found:

• Complex Subject Reference Fields (2XX-3XX)
• See From Tracing Fields (4XX)
• See Also From Tracing Fields (5XX)
• Complex Name Reference Fields (663-666)

A cross reference leads from an unestablished heading to an established heading (see reference) or from an established heading to other established headings (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 unestablished heading to an established heading. A 5XX (See Also From Tracing) field leads from one authorized heading to another authorized heading.
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 (e.g. search under: or search also under:) 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). The 4XX and 5XX (Tracing) fields are used only in established heading records (008/09, Kind of record, code a or f).

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 tracing fields. Cross reference displays constructed 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 fields 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 fields 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 established heading records (008/09, code a or f); and 2) those used in reference records (008/09, code b, c, or g). 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 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 5XX field and the 1XX field is indicated by a code in subfield $w/0 (Special relationship).

Tracing Fields--Simple Cross References

Simple cross references are generated for display from tracing fields. The following description related to 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
  A 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. A 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.
• $i - Reference instruction phrase (NR)
  Subfield $i contains a 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.
• $w - Control subfield (NR)
  Four fixed-position character positions (designated as $w/0, $w/1, etc.) that indicate whether special instructions apply to the display of 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
    A one-character alphabetic code that describes a relationship between a 1XX field and a 4XX or 5XX field that is more specific than the relationship implicit in the tag. The code may be used to generate a special reference instruction phrase in a cross reference display.
    • a - Earlier heading
      The 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 instruction phrase such as search also under the later heading: in a cross reference display.
    • b - Later heading
      The heading in the tracing field is a later name for the heading in the 1XX field. A phrase such as search also under the earlier heading: may be generated.
    • d - Acronym
      The heading in the 4XX tracing field is an acronym for the heading in the 1XX field. A phrase such as search under the full form of the heading: may be generated.
    • f - Musical composition
      The heading in the tracing field is for a literary work upon which the musical composition in the heading in the 1XX field is based. A phrase such as for a musical composition based on this work, search also under: may be generated.
    • g - Broader term
      The heading in the tracing field is a broader term than the heading in the 1XX field. A phrase such as search also under the narrower term: may be generated.
    • h - Narrower term
      The heading in the tracing field is a narrower term than the heading in the 1XX field. A phrase such as search also under the broader term: may be generated.
    • i - Reference instruction phrase in subfield $i
      Code i is 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
      The 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 phrase such as search under: or search also under: may be generated. If code n is applicable, subfield $w/0 need not be coded unless a subsequent character position is required.
    • t - Immediate parent body
      Indicates that the 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.
  • 1 - Tracing use restriction
    A one-character 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
    • n - Not applicable
      The authority structure use is the same as the 1XX heading bibliographic record use.
  • 2 - Earlier form of heading
    A one-character 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)
      The 4XX field is a pre-AACR 2 form (of heading in the 1XX field) that was the authorized heading in the national name authority file at the time of the changeover to AACR 2 rules.
    • e - Earlier established form of heading (national authority file)
      The heading in the 4XX field is a form of the heading in the 1XX field that was formerly authorize in the relevant national authority file under a situation other than that specified by code a.
    • o - Earlier established form of heading (other authority file)
      The heading in the tracing field is a form of the heading in the 1XX field that was formerly established in an authority file other than the relevant national authority file.
    • n - Not applicable
      The tracing field does not contain a form of the heading in the 1XX field that was authorized earlier.
  • 3 - Reference display
    A one-character 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
      No reference display restriction applies to the tracing field.

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.
• $a - Explanatory text
  Contains any reference instruction phrase needed in fields 663, 664, 665, and 666.