400 Series Statement/Added Entry - Personal Name (American)

Field definition and scope:

Field 400 is used in the United States to support retrospective conversion of Pre-AACR 2 cataloging records. It was made obsolete in CAN/MARC in 1988.

This field contains an author/title series statement in which the author portion is a personal name or a possessive pronoun that refers back to the name in the 100 main entry field in the record. Field 400 is both a series statement and a series added entry. When a 400 field is present, a corresponding 800 field is not used, since it would duplicate the 400 field. Field 400 is not used for AACR 2 formulated series statements as such statements are in title form.

With the introduction of AACR 2, fields 400, 410, and 411 are no longer used for any type of material; thus, only the 440 and 490 fields are currently used by agencies following these rules. These fields may occur in pre-AACR 2 bibliographic records.

The National level record requirement for this field is Mandatory if applicable.

Field 400 is repeatable.

Guidelines for applying content designators:

The content designators identify the subelements occurring in personal name fields constructed according to generally accepted cataloging and thesaurus-building rules [e.g., Anglo-American Cataloguing Rules (AACR 2), Library of Congress Subject Headings (LCSH)].

Personal names used in phrase subject headings (e.g., John, the Baptist, saint, in the Koran) are contained in field 650 (Subject Added Entry - Topical Term).

For indicator and subfield code definitions and examples, National-level (NLR) and Minimal-level (MLR) record requirements, and designator repeatability, see table below:

Position	Description	NLR	MLR	Repeatability
Field 400	Series Statement/Added Entry - Personal Name	A	O	R
Indicator:
First	Type of personal name entry element	M
0	Forename	A
1	Surname	A
3	Family name	A

Second	Pronoun represents main entry	M
0	Main entry not represented by pronoun	A
1	Main entry represented by pronoun	A

Subfield code:
$a	Personal name	M	O	NR
$b	Numeration	A	O	NR
$c	Titles and other words associated with a name	A	O	R
$d	Dates associated with a name	A	O	NR
$e	Relator term	O	O	R
$f	Date of a work	A	O	NR
$g	Miscellaneous information	A	O	NR
$k	Form subheading	A	O	R
$l	Language of a work	A	O	NR
$n	Number of part/section of a work	A	O	R
$p	Name of part/section of a work	A	O	R
$t	Title of a work	M	O	NR
$u	Affiliation	O	O	NR
$v	Volume number/sequential designation	A	O	NR
$x	International Standard Serial Number	A	O	NR
$4	Relator code	O	O	R
$6	Linkage	A	O	NR
$8	Field link and sequence number	O	O	R

See: Examples for this field.

Input conventions:

Ambiguous headings (what is considered a "personal" name)

Punctuation

Spacing

Display constant

Initial articles (includes information on diacritics or special characters)

MARC 21 conversion to current fields:

If indicator 2 is 0:

4XX indicator 1 and all subfields except subfield $x convert to 8XX with same indicator 1 value and same subfields,

and 4XX $t, $v, $x are also copied to 490 $a, $v, $x, respectively; 490 indicator 1 is set to 1.

If indicator 2 is 1:

4XX indicator 1 and all subfields except subfields $a and $x convert to 8XX with same indicator 1 value and same subfields,

and all 1XX subfields are copied into the same 8XX, preceding the subfields from the 4XX field,

and 4XX $t, $v, $x are also copied to 490 $a, $v, $x, respectively; 490 indicator 1 is set to 1.

Content designator history:

Fields 400, 410, and 411 are not used for AACR 2 formulated series statements. They may occur in pre-AACR 2 bibliographic records.

First indicator - Type of personal name entry element

Values 1 - Single surname [redefined]

2 - Multiple surname [obsolete]

In 1996, the first indicator value 2 (Multiple surname) was made obsolete. Value 1 (Single surname) was redefined as Surname to be used for headings with either single or multiple surnames.

Subfields $n - Number of part/section of a work [defined]

$p - Name of part/section of a work [redefined]

In 1979, subfield $n was defined for numbered parts/sections and subfield $p (Part) was redefined to include only named parts/sections. Prior to that change, both the number and the name of a part were contained in one $p subfield.

Subfield $q - Fuller form of name [deleted]: AACR 2 does not provide for personal name/title series statements; therefore, field 400 is not used. Subfield $q, which was defined for use in AACR 2 cataloging in 1980, was deleted from USMARC in 1981.

400 Series Statement/Added Entry - Personal Name

In 1999, field 400 became local to the United States since it was obsolete in the CAN/MARC format. In MARC 21, it is described in Appendix H: Local Data Elements.