DATE: May 5, 1995
NAME: Changes to Personal Name First Indicator Values
SOURCE: NLM, LC, British Library
SUMMARY: This paper proposes the following changes in the values of the first indicator (Type of personal name entry element), of the X00 (Personal Name) fields: define new code # (blank) to indicate that the type is unknown and make value 2 (Multiple surname) obsolete.
KEYWORDS: X00 (Personal Name); Type of personal name entry element; Multiple surname
5/5/95 - Forwarded to USMARC Advisory Group for discussion at the June 1995 MARBI meeting.
6/26/95 - Results of USMARC Advisory Group discussion - Discussion indicated that there is interest in a proposal for the dropping the multiple surname value for the first indicator. Only one institution represented at the meeting indicated they still use the indicator for sorting. There was more concern expressed about an indicator for no information provided. NLM stated that they could use the new generic author field instead for the conversion that required the new first indicator value and it would be very appropriate. That might suffice for their needs.
DISCUSSION PAPER NO. 85: Changes to Personal Name First Indicator Values 1. INTRODUCTION 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 on Authority and Community Information records. "No Information Provided" Value The National Library of Medicine (NLM) has never distinguished the type of entry element for personal names in their MEDLINE data base, therefore when they distribute the MEDLINE file in the MARC format the first indicator cannot be accurately set in records. By not having an "I do not know" value, the programs must guess, misleading the receiver of the records in some percent of the field occurrances. NLM is uncomfortable with supplying an indicator when the data has not really been examined. The MEDLINE records are not constructed using AACR2, and other non-AACR2 files may also share this lack of differentiation of entry elements in personal names. Definitions of Multiple Surname Value 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. 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,$cRev. A surname beginning with a separately written prefix which is an article (e.g., La), a preposition (e.g., De), or a combination of the two (e.g., Del) is classified as a single surname if a single word follows the prefix (e.g., Van Rosenburgh). 100 1#$aLe Conte, John Eatton,$d1784-1860. 600 10$aLa-Faye, Julio. 100 1#$aO'Brien, Edna,$d1936- 100 1#$aDe la Mare, Walter,$d1873-1956. 100 1#$aO Neill, Sean. First Indicator Value 2 - Multiple Surname Value 2 indicates that the heading is a name with a multiple surname formatted in inverted order (multiple surname, forename) or a name without forename(s) which is known to be a multiple surname. 100 2#$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#$aLe Conte, John Eatton,$d1784-1860. 600 20$aLa-Faye, Julio. 100 2#$aMc Intosh, Paula. 100 2#$aEl Saffar, Ruth S.,$d1941- 100 2#$aEl-Abiad, Ahmed H.,$d1926- 100 2#$aDu Bois de Cendrecourt, Louis 100 2#$aDe la Mare, Walter,$d1873-1956. 100 2#$aO Neill, Sean. 2. DISCUSSION NLM is requesting the addition of a new first indicator value for the Bibliographic format 600 and 700 fields, value # (blank) meaning "No information provided". They suggest that is only be used for non-AACR2 records. In order to maintain the consistency of the X00 fields, the new value would also be added to the 100 and 800 fields in the Bibliographic Format and to Authority and Community Information personal name fields. 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. 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 new values for the first indicator would be: # No information provided 0 Forename 1 Surname 3 Family name 3. QUESTIONS 1) What are the uses made of the first indicator value? Is the type of entry element distinction important or would a "No information provided" value be adequate for most processing (where the attribution of surname would probably be assumed?)? Is it preferable that the exporter set the indicator if it cannot be accurately set or would the importer rather guess at the value? Is it important, to know that is is absolutely accurate? 2) Is the distinction between multiple and single surnames important to any processes? If so which ones? Are there alternatives for processing if the distinction were absent?