Thanks, Anthony, for the very lucid explanation.   I also remember the Dark Ages when the RI was first published.   At that time it was used to convert AACR1 headings, with the old rules' emphasis on the real, full name, to the revolutionary AACR2 standard of "commonly known."   Catalogers would scan through many titles published over a range of years.   Now, we are most frequently presented with the first work or just a handful of works by a new author.  Perhaps we should make more use of a rule of thumb that I remember only from informal communication with trainers, that the author's preference trumps all.  With Google and email, it is easier and easier to contact authors.   As many of us wrote in another thread, authors are usually happy to be consulted about how their name will appear in catalogs.   Below is an example of how contact with an author (initially just to determine his birth date) resulted in a fuller form than was on the title page of his one published work.  In other cases, such as Duke theses, we have used less full forms, based on the author's stated preference.

010  no2007113874
040  NcD ǂb eng ǂc NcD
1001 Baker, G. Kevin, ǂd 1966-
4001 Baker, Kevin, ǂd 1966-
670  Advent 2007, 2007: ǂb t.p. (Kevin Baker) back cover (senior pastor of Reconciliation United Methodist Church, Durham, NC)
670  Email from the author, Sept. 25, 2007 ǂb (G. Kevin Baker, b. Sept. 16, 1966; intended to include "G." on t.p. of book, wants it included in heading)


Amy H. Turner
Monographic Cataloger & Authority Control Coordinator
Duke University Libraries
Durham, NC   27708-0190
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Antony Robert David Franks <[log in to unmask]>
Sent by: Program for Cooperative Cataloging <[log in to unmask]>

11/05/2008 08:50 AM
Please respond to
Program for Cooperative Cataloging <[log in to unmask]>

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[PCCLIST] Form of Heading for a Thesis


I think that we are getting a couple different rules that serve
different purposes confused in the course of this discussion.

Both 22.2 and 22.3 emphasize that one selects the predominant form of
usage as the basis for one's heading. In 22.2A:

Choose the name by which the person is clearly most commonly known, if
there is one. Otherwise, choose one name or form of name according to
the following order of preference:
a)   the name that appears most frequently in the person*s works
b)   the name that appears most frequently in reference sources
c)   the latest name.

22.3A goes on to discuss using the fullest form of name in use by the
author and how to select that. While the lead-in to that discussion is
that one has found *headings* based upon a usage that differs from the
usage of the item in hand, the actual discussion is based upon the
actual usage found on the bibliographic records.

It appears from the discussion that we*re getting a little too hung
up on the 80% *rule*  The LCRI simply says to do this quickly, use
common sense, and, if all else fails, use the fullest usage found:

When there is no commonly found form * choose the fullest form as the
AACR2 form.. (When determining the fullest form for a person who uses
both forename initials and forenames, make no distinction between
initials and forenames, e.g., "B.E.F. Pagen" is fuller than "Bernard
Edward Pagen.")

As Mr. Russell has not been blessed with additional forenames and
initials as have others of us, it does appear that your heading is

100 1 $a Russell, Marc James, $d 1975-

An historical footnote: During my training in the Dark Ages, the 80%
rule derived from two sources. (1) the assumption that an author adopted
a regular usage over time and that a predominant form could eventually
be determined and (2) it kept us from revising headings in the database
until we were certain that a standard usage had evolved.

Anthony R.D. Franks
Head, Cooperative Programs Section
Cooperative and Instructional Programs Division
Library of Congress
202-707-2822 (voice)
202-252-2082 (fax)