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DATE: December 18, 2024
REVISED:
NAME: Redefining Subfield $b in X00 Fields in the MARC 21 Authority and Bibliographic Formats
SOURCE: PCC Standing Committee on Standards
SUMMARY: This paper proposes redefining subfield $b (Numeration) in X00 Fields in the MARC 21 Authority and Bibliographic Formats to allow the recording of forms of regnal numeration other than roman numerals.
KEYWORDS: Field X00 (AD, BD); Personal Names (AD, BD); Subfield $b, in field X00 (AD, BD); Numeration (AD, BD); Regnal numbers (AD, BD)
RELATED: 2024-DP10
STATUS/COMMENTS:
12/18/24 – Made available to the MARC community for discussion.
01/29/25 – Results of MARC Advisory Committee discussion: Approved as submitted.
04/24/25 – Results of MARC Steering Group review - Agreed with the MAC decision.
Subfield $b (Numeration) is defined in the X00 (Personal Names-General Information) field documentation in the MARC Formats as follows:
MARC Authority Format X00 (for use in Authority fields 100, 400, 500, 700):
$b - Numeration (NR)
Roman numeral or a roman numeral and a subsequent part of a forename. It is used only when the entry element is a forename (first indicator, value 0).100 0# $a Gustav $b V, $c King of Sweden, $d 1858-1950
400 0# $a Oscar Gustaf $b V Adolf, $c King of Sweden, $d 1858-1950100 1# $a Appleton, Victor, $c II
[Roman numeral used with a surname heading (first indicator, value 1) is contained in subfield $c.]MARC Bibliographic Format X00 (for use in Bibliographic fields 100, 600, 700, 800):
$b - Numeration (NR)
Roman numeral or a roman numeral and a subsequent part of a forename. It is used only in a forename heading (first indicator, value 0).100 0# $a John Paul $b II, $c Pope, $d 1920-
100 0# $a John $b II Comnenus, $c Emperor of the East, $d 1088-1143.
The current definition of subfield $b restricts its use to roman numerals along with any subsequent forename elements. This definition reflects a bias toward Western languages and Anglo-American cataloging traditions, and does not correspond to the principle of representation; that is, to use what we find on the resource, in its original script.
AACR2 (22.1A) instructed catalogers: "Treat a roman numeral associated with a given name (as, for example, in the case of some popes, royalty, and ecclesiastics) as part of the name."
RDA (9.2.2.18) similarly instructs catalogers: "Treat a roman numeral associated with a given name as an integral part of the name (e.g., in the case of some popes, royalty, and ecclesiastics)."
This proposal seeks to allow other numbering systems to be used in subfield $b. It also seeks to clarify that the use of subfield $b is for regnal numbers, regardless of the numbering system used; that is, ordinal numbers used with the names of regnants or holders of the same office (primarily monarchs and other royalty; popes and other ecclesiastics) who also bear the same regnal name (the name adopted by the regnant during their reign or tenure, and by which they are subsequently referred to; this may or not be the same as their given name at birth). The regnal number may be used by the person during their reign or tenure, or it may be assigned subsequently based on the chronological sequence of regnants. The number generally serves to distinguish and identify regnants with the same regnal name (e.g., King Charles I, King Charles II; Pope Alexander III; Pope Alexander VI).
In some traditions, the first person with a particular regnal name to hold an office may be known with the number I, even in the absence of the need to differentiate. Or, the number may be added to the regnant's name only retroactively, when needed to differentiate the first from another regnant with that name. For example, the current Pope Francis, being the first of his name, does not currently use a regnal number, but this may change in the event that a future pope is named Francis II. Though regnal numbers are commonly expressed in roman numerals, especially in Latin script and Western European language sources, this is not true of all languages and scripts. In some cases, regnants use two numbers (e.g., King James II and VII). Occasionally, pretenders, anti-popes, and others who did not actually legitimately hold an office, have nonetheless been referred to with a regnal number, as if they had held the office (e.g., Antipope Boniface VII).
Changing the definition of subfield $b will also better distinguish these regnal numbers from other types of numbers that may be contained in access points for names and titles. Though similar to regnal numbers, numbers that indicate familial descent or relationship are accommodated instead in subfield $c in X00 fields in the MARC Formats. For such words and numbers indicating generational relationships, which normally follow surnames, AACR2 instructed catalogers to omit terms like Jr. from a name unless needed for differentiation. RDA (9.2.2.9.5) however instructs catalogers to retain them even if there is not a need to differentiate: "For languages other than Portuguese, record similar terms (e.g., Jr., Sr., fils, père) and numbers (e.g., III) following the person's given name or names, preceded by a comma." Subfield $c in X00 accommodates qualifying information more broadly, including, but not limited to, "a roman numeral used with a surname." As written, subfield $c does not exclude other forms of numeration, so changes are not needed to that subfield. For example, it is already possible to record this variant form without contradicting the definition of subfield $c:
100 1# $a Wright, Tommy, $c III
400 1# $a Wright, Tommy, $c the Third
The use of subfield $b is also not inclusive of numbers, numerical words, or roman numerals used as part of names consisting of a phrase (including those constructed according to RDA 9.2.2.22). These numbers are recorded along with the rest of the name in subfield $a and are not separately parsed into other subfields. These types of names consisting of a phrase are most commonly encountered in stage and pen names. The numbers in these names do not denote a regnal number or any familial or generational relationship to other people. For example:
100 0# $a Andre 3000, $d 1975-
100 0# $a Lil Nas X, $d 1999-
100 0# $a Quinn XCII $c (Musician), $d 1992-
100 0# $a Raúl the Third, $d 1976-
Subfield $b is either defined differently or undefined in other heading fields (X10, X11, X30, etc.) Though subfield $b may be involved in some cases, no separate subfield is used for a regnal number appearing as part of qualifiers, titles, names, or concepts other than personal names, as in these examples:
100 0# $a Maria Clementina, $c Consort of Francesco I, King of the Two Sicilies, $d 1777-1801
110 2# $a Catholic Church. $b Pope (1003-1009 : John XVIII)
110 1# $a Norway. $b Sovereign (1991- : Harald V)
111 2# $a Pope John Paul II Memorial Lecture
130 #0 $a Private life of Henry VIII (Motion picture)
150 ## $a Decoration and ornament $z France $x Louis XVI style
151 ## $a Lac Léopold II (Congo : District)
Neither AACR2 nor RDA contain additional instructions for (or examples of) regnal numbers in other numerical forms associated with names, nor do they explicitly instruct catalogers to convert other numerals associated with names into roman numerals in order to consider them part of the name. Rather, RDA (8.5.3) more generally instructs catalogers: "When recording a name, record numbers expressed as numerals or as words in the form in which they appear on the source of information."
Especially in cases involving multiple languages and scripts, it may be useful to record numeration in a form consistent with the script and language of the name with which it is found, even if these are not roman numerals. This is consistent with RDA 9.2.3.9 instructions: "If a name recorded as a preferred name for person has one or more alternative linguistic forms, record them as variant names." Variants with other forms of numeration could potentially be recorded for any of the examples above based on usage except for when X00 subfield $b is involved, because of its limitation to roman numerals.The primary goal of this proposal is to allow subfield $b in the X00 fields to contain a form of numbering consistent with the language and script of the rest of the access point rather than romanizing or converting it to a roman numeral. In authority records in the Library of Congress Name Authority File (LCNAF) and in bibliographic records using LCNAF access points, this change would be most relevant in the case of variant forms recorded in Authority field 400, including variants in non-Latin scripts available in the MARC-8 character repertoire (Arabic, Chinese, Cyrillic, Greek, Hebrew, Japanese, Korean), as demonstrated in the majority of examples below. This change is being pursued in support of a broader effort to end the long-standing practice in the LCNAF of coding non-Latin script cross references in an authority record as “unevaluated” (fixed field 008/29 value "b" - Tracings are not necessarily consistent with the heading), when they are in fact evaluated consistently with the standard applied to the rest of the record.
Discussion of 2024-DP10 during the MAC Annual Meeting in 2024 revealed concerns about the impact of this change to the MARC Format on current practice and the potential impact on file maintenance routines in a shared cataloging environment. RDA instructions for authorized and variant access point formulation are not changing at this time, and it is not the intent of this proposal that existing authorized access points would be routinely changed in the LCNAF or in associated bibliographic records using those access points. If this proposal is approved, documentation specific to the Library of Congress (LC) and Program for Cooperative Cataloging (PCC) could be subsequently revised to allay any concerns particular to the LC/PCC community. For example, LC/PCC documentation could restrict the use of non-Roman forms of regnal numeration to variant access points in authority records in the LCNAF and/or to non-Latin script field 880 (Alternate Graphic Representation) paired to LCNAF access points in PCC-authenticated bibliographic records.
Though this immediate use case in the LCNAF is limited to field 400 in authority records, the definition of subfield $b is found only in the more general X00 documentation in the Authority and Bibliographic Formats. Therefore, the authors also wish to consider how subfield $b may be used in other X00 fields, including by other communities. The choice of numeral form in an access point may depend on reference sources used, the language and script of the cataloging agency, available character sets, or the cataloging conventions being followed to construct the access point in that authority file or vocabulary. In other authority files besides the LCNAF, non-roman numeration may also be represented in subfield $b in other X00 fields in addition to 400, including as part of authorized forms recorded in Authority fields 100 and 500. Other authority files may also be able to use Unicode character sets outside the MARC-8 repertoire, that are not currently available for use in the LCNAF, and those authority files may not include romanized forms at all. Such authorized access points from a variety of authority files may also appear in Bibliographic fields 100, 600, 700, or 800. Authorized access points from other authority files may also be used in PCC-authenticated, English-language bibliographic records, particularly in the 6XX field range or an associated 880 field.
In fact, the form of regnal numeration recorded in X00 subfield $b already varies across implementations besides the LCNAF and PCC bibliographic records, so the proposed change to the definition better aligns the MARC Format with existing international practice. We include examples below from other authority files as well as bibliographic examples using access points based on other authority files, as well as unauthorized forms. The proposed changes would align the MARC definition of the subfield with the current practices demonstrated by these examples.
To summarize, this proposal suggests that the definition of X00 subfield $b should be revised to associate its use with regnal numbers, regardless of the numbering system used. This includes roman numerals as well as other numbering systems, spelled out numbers, a combination of a numeral with a word, abbreviation, ordinal suffix or symbol, etc. Based on feedback received on 2024-DP10 prior to and during the MARC Advisory Committee meeting in June 2024, proposed changes have been adjusted to include clearer definitions of both "regnal" and "numeral" as part of the subfield definition itself.
NOTE: Deletions indicated with strikethrough; additions indicated with underline.
3.1. In X00 (Personal Names-General Information) in the MARC Authority Format, update the definition of subfield $b as follows:
$b - Numeration (NR)
ARomanregnal numeral or aromancombination of a regnal numeral and a subsequent part of a forename. A regnal numeral is used primarily in combination with names of monarchs and other royals or ecclesiastics in order to identify, sequence, or distinguish among persons who held the office under the same name. It may be expressed as a roman numeral, or using another numbering system, such as an arabic numeral, a spelled out number, or a combination of a numeral with a word, abbreviation, ordinal suffix or symbol.ItSubfield $b is used only when the entry element is a forename (first indicator, value 0), and typically in combination with a title in subfield $c.Clean version:
$b - Numeration (NR)
A regnal numeral or a combination of a regnal numeral and a subsequent part of a forename. A regnal numeral is used primarily in combination with names of monarchs and other royals or ecclesiastics in order to identify, sequence, or distinguish among persons who held the office under the same name. It may be expressed as a roman numeral, or using another numbering system, such as an arabic numeral, a spelled out number, or a combination of a numeral with a word, abbreviation, ordinal suffix or symbol. Subfield $b is used only when the entry element is a forename (first indicator, value 0), and typically in combination with a title in subfield $c.
3.2. In X00 (Personal Names-General Information) in the MARC Bibliographic Format, update the definition of subfield $b as follows:
$b - Numeration (NR)
ARomanregnal numeral or aromancombination of a regnal numeral and a subsequent part of a forename. A regnal numeral is used primarily in combination with names of monarchs and other royals or ecclesiastics in order to identify, sequence, or distinguish among persons who held the office under the same name. It may be expressed as a roman numeral, or using another numbering system, such as an arabic numeral, a spelled out number, or a combination of a numeral with a word, abbreviation, ordinal suffix or symbol.ItSubfield $b is used only in a forename heading (first indicator, value 0), and typically in combination with a title in subfield $c.Clean version:
$b - Numeration (NR)
A regnal numeral or a combination of a regnal numeral and a subsequent part of a forename. A regnal numeral is used primarily in combination with names of monarchs and other royals or ecclesiastics in order to identify, sequence, or distinguish among persons who held the office under the same name. It may be expressed as a roman numeral, or using another numbering system, such as an arabic numeral, a spelled out number, or a combination of a numeral with a word, abbreviation, ordinal suffix or symbol. Subfield $b is used only in a forename heading (first indicator, value 0), and typically in combination with a title in subfield $c.
Example 1:100 0# $a Nebuchadnezzar $b II, $c King of Babylonia, $d -562 B.C.
400 0# $a נבוכדנצר $b השני , $c King of Babylonia, $d -562 B.C.
400 0# $a נבוכדנצר $b 2-ה, $c King of Babylonia, $d -562 B.C.
400 0# $a نبوخذ نصر $b الثاني ، $c King of Babylonia, $d -562 B.C.Example 2:
100 0# $a ʻAbbās Ḥilmī $b I, $c Viceroy of Egypt, $d 1813?-1854
400 0# $a عباس حلمي $b الأول ، $c Viceroy of Egypt, $d 1813?-1854Example 3:
100 0# $a Nicholas $b I, $c Emperor of Russia, $d 1796-1855
400 0# $a Николай $b Первый, $c Emperor of Russia, $d 1796-1855Example 4:
100 0# $a John $b XXIII, $c Pope, $d 1881-1963
400 0# $a 若望 $b 二十三世, $c Pope, $d 1881-1963
400 0# $a 요한 $b 23세, $c Pope, $d 1881-1963
400 0# $a ヨハネ $b 23世, $c Pope, $d 1881-1963
400 0# $a Ιωάννης $b ΚΓ΄, $c Pope, $d 1881-1963
400 0# $a יוחנן $b העשרים ושלושה, $c Pope, $d 1881-1963
400 0# $a יוחנן $b 23-ה, $c Pope, $d 1881-1963
400 0# $a ژان $b بیستوسوم ، $c Pope, $d 1881-1963
400 0# $a يوحنا $b الثالث والعشرون ، $c Pope, $d 1881-1963
400 0# $a Іван $b XXIII, $c Pope, $d 1881-1963
400 0# $a Иоанн $b XXIII, $c Pope, $d 1881-1963
400 0# $a Иоанн $b Двадцать Третий, $c Pope, $d 1881-1963
400 0# $a Йоан $b XXIII, $c Pope, $d 1881-1963Example 5:
100 0# $a Athanasius $b III Dabbas, $c Patriarch of Antioch, $d 1647-1724
400 0# $a Αθανάσιος $b Γ΄ Αντιοχείας, $c Patriarch of Antioch, $d 1647-1724
400 0# $a Αθανάσιος $b Γ΄ Δάββας, $c Patriarch of Antioch, $d 1647-1724
400 0# $a Атанасій $b III Дабас, $c Patriarch of Antioch, $d 1647-1724
400 0# $a Афанасій $b III Даббас, $c Patriarch of Antioch, $d 1647-1724Example 6:
100 0# $a Gustav $b VI Adolf, $c King of Sweden, $d 1882-1973
400 0# $a Густав $b VI Адольф, $c King of Sweden, $d 1882-1973
400 0# $a Густав $b VI Адолф, $c King of Sweden, $d 1882-1973
400 0# $a Густаў $b VI Адольф, $c King of Sweden, $d 1882-1973
400 0# $a 古斯塔夫 $b 六世·阿道夫, $c King of Sweden, $d 1882-1973
400 0# $a グスタフ$b 6世アドルフ, $c King of Sweden, $d 1882-1973
400 0# $a 구스타프 $b 6세 아돌프, $c King of Sweden, $d 1882-1973
400 0# $a Γουσταύος $b ΣΤ΄ Αδόλφος, $c King of Sweden, $d 1882-1973
400 0# $a גוסטב $b השישי אדולף, $c King of Sweden, $d 1882-1973
400 0# $a גוסטב $b ה-6 אדולף, $c King of Sweden, $d 1882-1973Example 7:
100 0# $a Benedict $b XIII, $c Antipope, $d 1342-1423?
400 0# $a Βενέδικτος $b ΙΓ΄, $c Αντίπαπας, $d 1342-1423?Example 8:
100 0# $a Gustav $b 2世, $d 1594-1632, $c スウェーデン国王
400 0# $a Gustav $b 2-sei, $d 1594-1632, $c Suēden Kokuō
[Authority from the National Diet Library, Japan]Example 9:
100 0# $a Pius $b 12世, $d 1876-1958, $c 教皇
400 0# $a Pius $b 12-sei, $d 1876-1958, $c Kyōkō
400 0# $a Pius $b XII, $c Pope
[Authority from the National Diet Library, Japan]Example 10:
100 0# $a Nebuchadnezzar $b II, $c King of Babylonia, $d -562 B.C. $9 lat
100 0# $a רצנדכובנ $b 2-ה, $c מלך בבל, $d 630-562 לפנה"ס $9 heb
[Authority from the National Library of Israel]
Example 1:600 07 $a Gustav $b 2世, $d 1594-1632, $c スウェーデン国王. $2 ndlsh $0 (JTNDL)00852585
Example 2:
600 07 $a Pius $b 12世, $d 1876-1958, $c 教皇. $2 ndlsh $0 (JTNDL)00542984
Example 3:
600 07 $a רצנדכובנ $b ה-2, $c מלך בבל, $d 630-562 לפנה"ס $2 nli $0 (J9U)987007300969005171
Example 4:
600 07 $a נבוכדנצר $b ה-1, $c מלך בבל, $d פעל במאה ה-11 לפנה"ס. $2 nli $0 (J9U)987007592408605171
Example 5:
600 04 $a Αλέξιος $b Α' Κομνηνός, $c Αυτοκράτορας του Βυζαντίου, $d 1057-1118.
Example 6:
600 04 $a Κωνσταντίνος $b Ζ', $c Πορφυρογέννητος, αυτοκράτορας του Βυζαντίου, $d 905-959.
Example 7:
600 00 $6 880-04 $a Nicholas $b I, $c Emperor of Russia, $d 1796-1855.
880 04 $6 600-04/(N $a Николай $b Первый, $c Император Всероссийский, $d 1796-1855.
The BIBFRAME and MADS conversion programs will not be impacted by this change to $b.
In X00 (Personal Names-General Information) in the MARC 21 Authority and Bibliographic Formats, update the definition of subfield $b (Numeration) to replace roman numerals with regnal numerals, and to clarify what is meant by the terms regnal and numeral. For a full description of the definition revisions, see Section 3.1. (Authority) and Section 3.2. (Bibliographic).
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