NAME: Changes to Personal Name First Indicator Values in the Bibliographic, Authorities, Classification, and Community Information Formats
SOURCE: LC, British Library
SUMMARY: This paper proposes making obsolete value 2 (Multiple surname) in the first indicator (Type of personal name entry element) of the X00 (Personal Name) fields and adjusting value 1, currently "Single surname", to be named "Surname" and to include both single and multiple surnames.
RELATED: DP85 (June 1995)
KEYWORDS: X00 (Personal Name); Type of personal name entry element; Multiple surname
STATUS/COMMENTS:
12/1/95 - Forwarded to USMARC Advisory Group for discussion at the January 1996 MARBI meeting.
1/21/96 - Results of USMARC Advisory Group meeting - Approved with the following additional recommendation: Participants requested that LC change all authority records in the NAF file and redistribute them. LC should then not use value 2 on any new bibliographic or authority records following the reissue of the authority records with changed indicators. (LC does not need to change and redistribute retrospective bibliographic records.) OCLC can help LC change the authority records through the NACO/LSP contribution process. These requests were based on the fact that many institutions will prefer to change the authority file and then not allow the obsolete value on future new bibliographic records.
2/15/96 - Results of final LC review - Agreed with MARBI decision.
PROPOSAL NO. 96-3: Changes to Personal Name First Indicator Values 1. BACKGROUND The current values for the first indicator (Type of entry element for personal names) in fields X00 (Personal Names) have been defined since 1968: 0 Forename 1 Single surname 2 Multiple surname 3 Family name The indicator is primarily (but not exclusively) used for proper filing order mandated by certain filing rules. These rules are used for large and small files but especially for the former. Two situations have arisen that call for changes to the indicator values. This indicator is also used in Authority, Classification, and Community Information records. In working with the British Library for sharing authority records under the cooperative NACO program, a problem occurs in the definition of the multiple surname values in the USMARC and the UKMARC formats. Both formats have the same indicator with the same values, but the definitions for single surname and multiple surname encompass slightly different groups of headings. The UKMARC approach is simply to consider the number of discrete elements preceding the inverted element, whereas USMARC tries to take into account the type of element, with some exceptions being observed. Definitions of Multiple Surname Value USMARC: First Indicator Value 1 - Single Surname Value 1 indicates that the heading is a name with a single surname formatted in inverted order (single surname, forename) or a name without forename(s) which is known to be a single surname. 100 1#$aFitzgerald, David. 100 1#$aChiang, Kai-shek,$d1887-1975. 100 1#$aWatson,$cRev. A surname beginning with a separately written prefix which is an article (e.g., La), a preposition (e.g., De), or a combination of the two (e.g., Del) is classified as a single surname if a single word follows the prefix (e.g., Van Rosenburgh). 100 1#$aO'Brien, Edna,$d1936- 100 1#$aDe la Mare, Walter,$d1873-1956. 100 1#$aO Neill, Sean. 100 1#$aLe Conte, John Eatton,$d1784-1860. 600 10$aLa-Faye, Julio. First Indicator Value 2 - Multiple Surname Value 2 indicates that the heading is a name with a multiple surname formatted in inverted order (multiple surname, forename) or a name without forename(s) which is known to be a multiple surname. 100 2#$aBen Omar, Saidali Bacar,$d1931- 100 2#$aRousseau-Darnell, Lyse. 700 2#$aV‚rez Peraza, Elena,$d1919- 100 2#$aSaint-Germain, Herve de. 100 2#$aP-Orridge, Genesis,$d1950- 700 2#$aSalam¡n C., Marcel A. A surname beginning with a separately written prefix which is an article (e.g., La), a preposition (e.g., De), or a combination of the two (e.g., Del) is classified as a multiple surname if more than one word follows the prefix (e.g., Van Alderwerelt van Rosenburgh). 100 2#$aDu Bois de Cendrecourt, Louis. Names which contain a prefix that is not an article, a preposition, or a combination of the two are treated as multiple surnames. 100 2#$aMc Intosh, Paula. 100 2#$aEl Saffar, Ruth S.,$d1941- 100 2#$aEl-Abiad, Ahmed H.,$d1926- [Anglicized Arabic surnames are treated as multiple surnames.] UKMARC: First Indicator Value 1 Name of person entered under a single title of nobility, or under the last element of the name. 100 10$aFitzgerald, David. 100 10$aChiang, Kai-shek,$d1887-1975. 100 1#$aWatson,$cRev. 100 1#$aO'Brien, Edna,$d1936- First Indicator Value 2 Name of person entered under a compound surname, a surname with a separate prefix, a compound title of nobility, or under any other element of the name other than the first or last element. 100 2#$aBen Omar, Saidali Bacar,$d1931- 100 2#$aRousseau-Darnell, Lyse. 700 2#$aV‚rez Peraza, Elena,$d1919- 100 2#$aSaint-Germain, Herve de. 100 2#$aP-Orridge, Genesis,$d1950- 700 2#$aSalam¡n C., Marcel A. 100 2#$aDu Bois de Cendrecourt, Louis. 100 2#$aMc Intosh, Paula. 100 2#$aEl Saffar, Ruth S.,$d1941- 100 2#$aEl-Abiad, Ahmed H.,$d1926- 100 2#$aDe la Mare, Walter,$d1873-1956. 100 2#$aO Neill, Sean. 100 2#$aLe Conte, John Eatton,$d1784-1860. 600 20$aLa-Faye, Julio. 2. DISCUSSION On investigation, it appears that many systems may not carry out any special sorting or make other use of the distinction between the single and multiple surnames, such as generation of automatic cross references. The latter is better carried out by inspection of spaces and hyphens rather than relying on the indicator value. It may therefore be possible to reconcile the difference and simplify the format at the same time by eliminating the differentiation of single and multiple surnames, keeping only values for forename, surname, and family name (value 3). The Library of Congress will not carry out retrospective conversion of its bibliographic or authority records, changing value 2 to 1 and redistributing the records, until sometime in the future. LC is considering using one of the following policies for the present. 1) Maintain consistency between the indicator for headings in authority records and bibliographic records. If an authority record for a heading established in the past used the value 2, LC would continue to use it on new bibliographic records that needed that heading until there was reason to change the authority record. If LC changed the authority record then all instances of the heading in the bibliographic file would be changed. New authority records for which value 2 was formerly appropriate would be coded 1. 2) Use only value 1 for all surname headings in bibliographic records, whether or not the authority file version had value 2 in the first indicator. LC would like to know how the two options would affect other systems that use LC's records? Statistics on the occurrence of the values in Library of Congress files: Tag Value 2 Value 1 Name Authority File 100 126,754 2,403,997 400 108,026 1,174,097 500 347 17,451 Books File 100 153,958 2,661,431 600 20,064 448,086 700 71,416 1,653,589 3. PROPOSED CHANGES -- In the first indicator (Type of personal name entry element) of the X00 (Personal Name) fields in the Bibliographic, Authority, Classification, and Community Information formats: - Make obsolete value 2 (Multiple surname) - Redefine value 1 (Single surname) to contain single and multiple surnames and rename it: Surname