MARC 21 Formats

Guidelines for the Non-Sorting
Control Character Technique

June 20, 2013

Network Development and MARC Standards Office
Library of Congress


Introduction

With Proposal No 98-16R (Nonfiling characters in all MARC formats), the MARC 21 community approved the use of beginning and ending control characters to block off nonfiling or non-sorting characters in MARC 21 records. These new MARC 21 characters are based on the NSB and NSE characters of ISO 6630 (Bibliographic Control Numbers). For the MARC-8, UCS/Unicode representations of these characters, see the appropriate MARC 21 Specifications pages.

Discussion Paper 118 and Discussion Paper 2002-DP05 explored specific guidelines on how to apply these characters. After much discussion, it was decided that prescriptive guidelines should be drafted that present using the control character technique to indicate non-sorting characters, particularly for initial articles, in a limited number of fields. These guidelines with the allowed fields and subfields are presented below.

The application of this new technique will be limited to identification of nonfiling initial characters in access point fields and subfields. It could, however, be potentially used in a future phase of implementation for the identification of interpolated non-sorting characters (i.e., to omit [i.e.], [sic]) or GMDs from the sort form of headings. It is expected that systems will accommodate both the present technique of nonfiling indicators and the new technique using non-sorting control characters, although they must not be used at the same time for a specific non-sorting zone. This technique is not to be used to identify character strings to be excluded from keyword indexing.

In the following examples, the non-sorting control characters are represented as curly braces { } and the blank (Hex 20) indicator value is represented as the pound character #.


Guidelines for the Non-Sorting Control Character Technique in the MARC 21 Formats

1. Non-Sorting Zone

The use of the phrase "non-sorting zone" encompasses one or more non-sorting characters. The following rules are assumed in identifying the extent of a non-sorting zone:


2. Using Non-Sorting Control Characters in the MARC 21 Formats

Non-sorting control characters may be used in the MARC 21 fields and subfields identified in the following lists. In some cases, non-sorting control characters are used in place of nonfiling indicator values. All tags followed by an asterisk (*) in the following lists currently have nonfiling indicator values defined (see column 4 "Indicator Position").

When the non-sorting control characters are used for a non-sorting zone for which the nonfiling indicator is defined, the nonfiling indicator value must be set to zero. When applied to initial articles, the two techniques are mutually exclusive and use of both for a specific non-sorting zone will result in errors or unpredictable processing of the field.

Bibliographic Format

The non-sorting zones that may be marked with non-sorting control characters are currently restricted to the initial characters in the noted fields and subfields below.

Tag Tag Name Subfield Indicator
Position
100
110
111
Main Entry--Personal Name
Main Entry--Corporate Name
Main Entry--Meeting Name
$a (Name)  
130 * Main Entry--Uniform Title $a (Title)
$p (Name of part)
Ind. 1
222 * Key Title $a (Title) Ind. 2
240 * Uniform Title $a (Title)
$p (Name of part)
Ind. 2
242 * Translation of Title by Cataloging Agency $a (Title)
$p (Name of part)
Ind. 2
243 * Collective Uniform Title $a (Title)
$p (Name of part)
Ind. 2
245 * Title Statement $a (Title)
$p (Name of part)
Ind. 2
246 Varying Form of Title $a (Title)
$p (Name of part)
 
247 Former Title $a (Title)
$p (Name of part)
 
440 * Series Statement/Added Entry--Title $a (Title)
$p (Name of part)
Ind. 2
490 Series Statement $a (Series
Statement)
 
505 Formatted Contents Note $t (Title)  
600
610
611
Subject Added Entry--Personal Name
Subject Added Entry--Corporate Name
Subject Added Entry--Meeting Name
$a (Name)
$p (Name of part)
$t (Title)
$z (Geographic subdivision)
 
630 * Subject Added Entry--Uniform Title $a (Title)
$p (Name of part)
$z (Geographic subdivision)
Ind. 1
648 Subject Added Entry--Chronological Term $z (Geographic subdivision)  
650 Subject Added Entry--Topical Term $a (Term)
$z (Geographic subdivision)
 
651 Subject Added Entry--Geographic Name $a (Name)
$z (Geographic subdivision)
 
654 Subject Added Entry--Faceted Topical Terms $z (Geographic subdivision)  
655 Index Term--Genre/Form $z (Geographic subdivision)  
656 Index Term--Occupation $z (Geographic subdivision)  
657 Index Term--Function $z (Geographic subdivision)  
700
710
711
Added Entry--Personal Name
Added Entry--Corporate Name
Added Entry--Meeting Name
$a (Name)
$p (Name of part)
$t (Title)
 
730 * Added Entry--Uniform Title $a (Title)
$p (Name of part)
Ind. 1
740 * Added Entry--Uncontrolled Related/Analytical Title $a (Title)
$p (Name of part)
Ind. 1
760
762
765
767

770
772
773
774
775

776
777
780
785
786
787
Main Series Entry
Subseries Entry
Original Language Entry
Translation Entry
Supplement/Special Issue Entry
Supplement Parent Entry
Host Item Entry
Constituent Unit Entry
Other Edition Entry
Additional Physical Form Entry
Issued With Entry
Preceding Entry
Succeeding Entry
Data Source Entry
Nonspecific Relationship Entry
$a (Main entry)
$s (Uniform title)
$t (Title)
 
800
810
811
Series Added Entry--Personal Name
Series Added Entry--Corporate Name
Series Added Entry--Meeting Name
$a (Name)
$p (Name of part)
$t (Title)
 
830 * Series Added Entry--Uniform Title $a (Title)
$p (Name of part)
Ind. 2

Community Information Format

Non-sorting control characters may also be used in the same fields and subfields as those of the bibliographic format when those fields and subfields occur in the MARC 21 community information format

Authority Format

The non-sorting zones that may be marked with non-sorting control characters are currently restricted to the initial characters in the noted fields and subfields below.

Tag Tag Name Subfield Indicator
Position
100
110
111
Heading--Personal Name
Heading--Corporate Name
Heading--Meeting Name
$a (Name)
$p (Name of part)
$t (Title)
$z (Geographic subdivision)
 
130 * Heading--Uniform Title $a (Title)
$p (Name of part)
$z (Geographic subdivision)
Ind. 2
148 Heading--Chronological Term $z (Geographic subdivision)  
150 Heading--Topical Term $a (Term)
$z (Geographic subdivision)
 
151 Heading--Geographic Name $a (Name)
$z (Geographic subdivision)
 
155
180
181
182
185
Heading--Genre/Form Term
Heading--General Subdivision
Heading--Geographic Subdivision
Heading--Chronological Subdivision
Heading--Form Subdivision
$z (Geographic subdivision)  
400
410
411
See From Tracing--Personal Name
See From Tracing--Corporate Name
See From Tracing--Meeting Name
$a (Name)
$p (Name of part)
$t (Title)
$z (Geographic subdivision)
 
430 * See From Tracing--Uniform Title $a (Title)
$p (Name of part)
$z (Geographic subdivision)
Ind. 2
448 See From Tracing--Chronological Term $z (Geographic subdivision)  
450 See From Tracing--Topical Term $a (Term)
$z (Geographic subdivision)
 
451 See From Tracing--Geographic Name
See From Tracing--General Subdivision
$a (Name)
$z (Geographic subdivision)
 
455
480
481
482
485
See From Tracing--Genre/Form Term
See From Tracing--General Subdivision
See From Tracing--Geographic Subdivision
See From Tracing--Chronological Subdivision
See From Tracing--Form Subdivision
$z (Geographic subdivision)  
500
510
511
See Also From Tracing--Personal Name
See Also From Tracing--Corporate Name
See Also From Tracing--Meeting Name
$a (Name)
$p (Name of part)
$t (Title)
$z (Geographic subdivision)
 
530 * See Also From Tracing--Uniform Title $a (Title)
$p (Name of part)
$z (Geographic subdivision)
Ind. 2
548 See Also From Tracing--Chronological Term $z (Geographic subdivision)  
550 See Also From Tracing--Topical Term $a (Term)
$z (Geographic subdivision)
 
551 See Also From Tracing--Geographic Name $a (Name)
$z (Geographic subdivision)
 
555
580
581
582
585
See Also From Tracing--Genre/Form Term
See Also From Tracing--General Subdivision
See Also From Tracing--Geographic Subdivision
See Also From Tracing--Chronological Subdivision
See Also From Tracing--Form Subdivision
$z (Geographic subdivision)  
700
710
711
Established Heading Linking Entry--Personal Name
Established Heading Linking Entry--Corporate Name
Established Heading Linking Entry--Meeting Name
$a (Name)
$p (Name of part)
$t (Title)
$z (Geographic subdivision)
 
730 Established Heading Linking Entry--Uniform Title $a (Title)
$p (Name of part)
$z (Geographic subdivision)
 
748 Established Heading Linking Entry--Chronological Term $z (Geographic subdivision)  
750 Established Heading Linking Entry--Topical Term $a (Term)
$z (Geographic subdivision)
 
751 Established Heading Linking Entry--Geographic Name $a (Name)
$z (Geographic subdivision)
 
755
780
781
782
785
Established Heading Linking Entry--Genre/Form Term
Subdivision Linking Entry--General Subdivision
Subdivision Linking Entry--Geographic Subdivision
Subdivision Linking Entry--Chronological Subdivision
Subdivision Linking Entry--Form Subdivision
$z (Geographic subdivision)  

Classification Format

Non-sorting control characters may also be used in the same fields and subfields as those of the authority format when those fields and subfields occur in the MARC 21 classification format.


3. Examples

These examples illustrate the application of the non-sorting control characters. They do not necessarily reflect any current filing practice or application of cataloging rules.

100 1# $a{al-}Sadat, Anwar.
100 1# $aLuther, Martin,$d1483-1546.$t{Der }Grosse Katechismus
130 0#

$aAmerican men and women of science.$p{The }medical sciences.

222 #0 $a{The }Worldwide art catalogue bulletin. American library edition
240 10 $a{The }Pickwick papers.
242 10 $a{The }Mirror.$yeng
245 10 $a{Los }amigos.
245 10 $a{The ... }annual report of the Governor.
245 10 $a{L'}enfant criminel.
245 10 $a{al-}Sharq al-'Arabi.
245 10 $a{The "}winter mind"
245 10 $a{Die }Frauen der chinesischen Revolution.
245 00 $a{A }Town like Alice / $c [Alice Productions, Pty. Ltd.].
245 10 $a{L'}été.
245 10 $a{Los }últimos ...
245 00 $a{[The }Part of Pennsylvania that ... townships]
245 10 $a{--the }serpent--snapping eye.
245 00 $a{La }mer.
245 10 $a{El }primer poema de tema venezolano.
246 0# $a{The }country Jake
246 0# $a{The }100 largest plans, 1959-1961
246 30 $a{Die }Zeitschrift für analytische Chemie
246 0# $iSubtitle on back of title page:$a{The }role of geology, climate, and culture in the making of French wines
247 10 $a{The }Colorado editor and the intermountain press
440 #0 $a{The }Rare book tapes
490 1# $a{The }West Virginia University bulletin
490 1# $a{1972/73-1975-76: }Research report / National Education Association Research
505 80

$gvol. 24.$t{The }history of Washington County beginning in 1884 --$gvol. 25.$tState manifest and birth record (1764-1977).

610 10 $a{The }Henry (Ship)
611 20 $a{The }Olympic Games.
650 #0 $aPalaces$zNetherlands$z{The }Hague.
650 #2 $a{2,4-}Dichlorophenoxyacetic Acid
651 #0 $a{The }Dells of the Wisconsin (Wis.)
700 1# $aStower, Caleb.$t{The }printer's manual.
700 12 $aHills, John,$csurveyor.$t{A }sketch of Allens Town, June 1778.
710 22 $aGeneral Drafting Company, inc.$t{The }Colonization of America.
711 2# $aInternational Conference on Gnosticism.$t{The }Rediscovery of Gnosticism.
800 1# $aFernando, A. Denis N.$t{The }Resource maps of Sri Lanka; $vpt. 2.
830 #0 $a{The }Wonders of man series.


4. Future Developments

Consideration may be given to broadening the use of the technique in the formats in the future. Please send any questions, comments or suggestions to: [email protected].


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