PROPOSAL NO. 96-3

DATE: December 1, 1995
REVISED:

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#$aRousseau-Darnell, Lyse.
          700  2#$aVérez Peraza, Elena,$d1919-
          100  2#$aSaint-Germain, Herve de.
          100  2#$aP-Orridge, Genesis,$d1950-
          700  2#$aSalamín 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#$aRousseau-Darnell, Lyse.
          700  2#$aVérez Peraza, Elena,$d1919-
          100  2#$aSaint-Germain, Herve de.
          100  2#$aP-Orridge, Genesis,$d1950-
          700  2#$aSalamín C., Marcel A.
          100  2#$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


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