◇◆
Tagging Personal Names
The personal names of authors, editors, translators, data curators, photographers,
and other contributors to books and book components can be tagged [in several places
including in the book or book-part metadata (<book-meta> and <book-part-meta>), in bibliographic references (<element-citation>, <mixed-citation>, and <person-group>), in related objects, and elsewhere] using either the element <name> or the element <string-name>. Both <name> and <string-name> can identify the surname (family name or last
name) and given names (first names and middle names) of a person.
Processing Note: Because the <surname> and <given-names> elements will not necessarily be in the same sequence, depending on whether <name> or <string-name> was used, BITS processors should consider name processing that focuses on the presence
of <surname> or <given-names> and not their context (immediate parent).
Tagging with <name>
Unlike nearly all elements in this Tag Set, the <name> element requires a specific sequence and may not contain spaces (more
properly, it will not retain spaces if they are present). The required order for a
personal
name is:
- First, one of the following:
- Just a <surname>,
- A <surname> followed by a <given-names>, or
- Just a <given-names> (for cultures that do not use a family name)
- Next (optionally), a <prefix> such as a formal title (“Senator”);
- Next (optionally), a <suffix> such as a lineage distinguisher (“Jr.”, “Sr.”, etc.)
<name> <surname>Jones-Smythe</surname> <given-names>Johnathan Irving Browning</given-names> <prefix>The Honorable</prefix> <suffix>III</suffix> </name>
String Names
The <string-name> element is a mixed-content container for personal names in display sequence, which
contains all the spacing and punctuation expected in the display. A <string-name> is a very loose element, which may contain text, numbers, and special characters
as well as any or all of the naming elements, such as <surname>, <given-names>, <prefix>, etc. A <string-name> can be used to hold the name elements with punctuation and spacing between them,
a sort version of the name, the full name in display order (for example, as a byline
that does not require recombining the components), a name where family versus given
cannot be determined, a patronymic name, etc.
In the example below, notice that the <string-name> contains a “comma-space” as well as the <surname> and <given-names> elements:
<string-name> <surname>Lincoln</surname>, <given-names>Abraham</given-names> </string-name>
String names may also be only partially tagged, identifying only a few of the name
components or no name components at all:
<string-name>The Honorable Johnathan Irving Browning <surname>Jones-Smythe</surname>, III </string-name>
Spaces and Punctuation in Names
The model for <name> does not allow spaces or punctuation between the surname,
given names, prefixes, or suffixes components. Even if
one or more spaces exist in this context in the XML source file, XML processors remove
any space
that occurs between elements. In other words, in the following XML examples, there will be no space between the
surname, the given names, and the suffix. The <name> element cannot preserve these spaces.
<name> <surname>Petitti</surname> <given-names>DB</given-names> <suffix>III</suffix> </name> <name> <surname>Petitti</surname> <given-names>DB</given-names> <suffix>III</suffix> </name> <name> <surname>Petitti</surname> <given-names>DB</given-names> </name>
When the <name> element is used, punctuation and spacing for display must be generated during output
processing.
In contrast with <name>, the element
<string-name> allows, but does not require,
spacing and punctuation within the name:
<string-name> <surname>Jefferson</surname>, <given-names>T</given-names>. </string-name> <string-name> <surname>Jefferson</surname><given-names>T</given-names>. </string-name>
When the <string-name> element is used, punctuation and spacing for display are typically built into the
content of the element.
Multi-part Names
Many names have multiple parts, and care should be taken with multi-part names to
divide the components into family names (<surname>) and personal names (<given-names>) in a culturally appropriate fashion. The Tag Suite cannot give guidance
on how to divide names, but it enables most cultural variations. For example:
<surname>Llanos De La Torre Quiralte</surname> <given-names>M</given-names> <surname>Sánchez Mendoza</surname> <given-names>Josquin</given-names> <surname>Las Heras</surname> <given-names>Juan Fernando</given-names> <surname>Lapeyre</surname> <given-names>Kenneth Pritchard Carnu</given-names> <surname>Ben Gurion</surname> <given-names>David</given-names> <surname>de la Mare</surname> <given-names>Walter John</given-names> <surname>Toulouse-Lautrec-Monfa, de</surname> <given-names>Henri Marie Raymond</given-names> <name name-style="eastern"> <surname>Zhou</surname> <given-names>Xun-Ze</given-names> </name> <name name-style="eastern"> <surname>Chou</surname> <given-names>Hsun-Tse</given-names> </name> <name name-style="eastern"> <surname>Si-Ma</surname> <given-names>Mary-Sue</given-names> </name> <name name-style="eastern"> <surname>SI-MA</surname> <given-names>Mary-Sue</given-names> </name> <name> <given-names>Cai-Rang</given-names> </name>
Multiple Versions of a Name
Anywhere a person’s name can be used, for example, inside book-level metadata (element
<contrib>), inside related elements (elements <related-article> and <related-object>), and inside bibliographic citations (elements <element-citation> and <mixed-citation>), this Tag Set allows the possibility of
providing more than one version of that name.
The <name-alternatives> element is intended to group multiple versions of a single name, without appearing
to multiply the
number of names. (Three versions of one contributor’s name is not the same as three
different contributors.) The element
<name-alternatives> works similarly to the <alternatives>
construction for objects such as graphics, allowing multiple name variations to be
linked together as processing alternatives for a single name. It will
be up to an application how multiple versions of a single name are to be processed
and displayed.
The @specific-use, @content-type, and @xml:lang attributes can be used to distinguish the cases for separate processing.
For example, the following names are distinguished by language:
... <contrib contrib-type="author"> <name-alternatives> <name name-style="eastern" xml:lang="ja-Jpan"> <surname>中西</surname> <given-names>秀彦</given-names> </name> <name name-style="western" xml:lang="en"> <surname>Nakanishi</surname> <given-names>Hidehiko</given-names> </name> <name name-style="eastern" xml:lang="ja-Kana"> <surname>ナカニシ</surname> <given-names>ヒデヒコ</given-names> </name> </name-alternatives> <xref ref-type="aff" rid="aff2">**</xref> </contrib> ...
Using <name-alternatives>
The <name-alternatives> element can be used to record:
- A name in multiple languages (For example, a name in Korean or Chinese-Han characters and a transliterated version of the same name in the Latin alphabet);
- A name in multiple language/script combinations (For example, a name in Japanese [xml:lang="ja-Jpan" for Han + Hiragana + Katakana] and the same name written in Kanji [xml:lang="ja-Hani"]);
- An alternate name for sorting or searching (For example, a name in French with accented letters (such as an “é”) and a plain-letter lower-ASCII version of the same name with “é” replaced by “e” for sorting. The @specific-use attribute can be used to indicate that the ASCII version is only for “sort”, not for display.);
- An alternate name for indexing (For example, a publisher may choose to record several name variants for an individual, such as a nickname, author-pseudonym, maiden name, religious name, or tribal name. The attribute @specific-use could be used to record the rationale for the name variant, such as “primary”, “index”, or “table-of-contents”. Alternatively, or in addition, the attribute @content-type could be used to record the type of name variant, such as “nickname”, “maiden-name”, “pseudonym”, etc.);
- A version of the name in a different arrangement (For example, since the order of the <surname> and <given-names> is fixed in BITS, a publisher might also wish to record a byline-style version of the name in given-surname order and could use a <string-name> with @content-type="byline" to accompany the name inside a <name-alternatives> element.); or
- Both validated and known-to-be-incorrect names (For example, in the PubMed DTD, there is an attribute called “ValidYN” [valid yes or no], that can be used to record the fact that one version of a name was received, found to be in error, and then corrected. An application might be set up to display only the corrected version, while both name variants might be retained for searching or quality control. In BITS, this information can be recorded as two <name> elements inside a <name-alternatives> wrapper, with the @content-type attribute used to tell the correct from the incorrect.).
Not Multiplying ID Attributes
The names inside a <name-alternatives> do not generally take a unique identifier because they are all the same name. This
Tag Set assumes that any necessary unique identifier will be placed on the enclosing
element (such as the <contrib> element or the
<principal-investigator> element) that contains the <name-alternatives> wrapper.
String Name with Alternatives
Both <name> and <string-name> are allowed inside <name-alternatives>. Within a <name-alternatives>
grouping, the element <string-name> can be used, for example, to hold an undifferentiated
transliteration (that is, one not tagged with specific name elements such as <surname>) or a search-specific name.
<name-alternatives>
<string-name specific-use="display">José del Pozo García</string-name>
<name specific-use="primary" name-style="western">
<surname>del Pozo García</surname>
<given-names>José</given-names>
</name>
<string-name specific-use="abbrev-form">Pozo Garcia J del</string-name>
</name-alternatives>
<name-alternatives>
<string-name specific-use="display">PM Sudha</string-name>
<name specific-use="primary">
<given-names initials="PM">Sudha</given-names>
</name>
<string-name specific-use="abbrev-form">Sudha PM</string-name>
</name-alternatives>
<name-alternatives>
<name content-type="formal-name" xml:lang="fr">
<surname>Giscard d'Estaing</surname>
<given-names>Valéry Marie René Georges</given-names>
</name>
<name content-type="common-name" xml:lang="fr">
<surname>Giscard d'Estaing</surname>
<given-names>Valéry</given-names>
</name>
<string-name specific-use="abbrev-form">Giscard d'Estaing V</string-name>
</name-alternatives>
Name Display Order
The problem of eastern versus western display of names (for example, Toshiro Mifune
versus Mifune Toshiro) can be addressed using the @name-style attribute. The @name-style
attribute can record the preferred display order for the name, typically to make the
distinction between eastern and western display order. Name ordering information can
be
used for choosing an inversion algorithm for sorting, for ordering the names for display,
or for other processing functions. The values of the @name-style attribute and their approximate meanings are
given below.
- When the value is “western”:
- The display order is: given (<given-names>) followed by family (<surname>); and
- The Sort/inversion is family (<surname>) then given (<given-names>).
- When the value is “eastern”:
- The display order is: family (<surname>) followed by given (<given-names>); and
- The Sort/inversion is family (<surname>) then given (<given-names>).
- When the value is “given-only”:
- The display order is: given (<given-names>); and
- The Sort order is given (<given-names>); there is no inversion with a single name.
- When the value is “islensk”:
- The display order is: given (<given-names>) followed by patronymic (<surname>); and
- The Sort/inversion is given (<given-names>) then patronymic (<surname>).
On the whole, this Tag Set can encode many, perhaps most, of the name variations found
in the world. Both given names and surnames can be multiple words; there is no need
to
separate given names into first and middle names. Articles can be kept at the front
of a
name, or relegated to the rear following a comma. The element <string-name> is available for those who choose not to name
a surname or given name, or for the cases where this distinction does not exist or
cannot
be determined.
There are some areas where this Tag Set cannot provide complete advice, and each Tag
Set user must make business related rules. These include:
- How to recognize/differentiate surnames from given names;
- How to handle all single names (It is usually best practice to tag most westernized single names (“Pele”, “Cher”, and “Ice Cube”) as <surname> elements. Tibetan, Burmese, and Indian single names that are not surnames may be tagged as <given-names>.); and
- How to treat the article portions of both surnames and given names (such as “de”, “Del”, “Las”, “de la”, etc.). (For example, whether “Rudolpho Del Pozo Garcia” (who may also be known as “Rudolpho del Pozo García”) sorts as an initial “P” or as an initial “D” is a business, not a Tag Set, decision.)
Names and String Names in Citations
The names of authors, editors, translators, and other contributors can also be tagged
within <element-citation> and <mixed-citation> using <name>, <string-name>, or
<person-group>. The elements <name> and <string-name> identify the surname (family name or last name) and given names (first
names and middle names) of the person. The element <person-group> is a container for <name> elements, <name-alternatives> elements, and <string-name> elements.
Here is a typical journal article citation tagged using <name>, tagged as an element citation:
<element-citation publication-type="journal" publication-format="print"> <name> <surname>Leifer</surname><given-names>BP</given-names> </name> <article-title>Early diagnosis of Alzheimer’s disease: clinical and economic benefits</article-title> <source>J Am Geriatr Soc</source> <year iso-8601-date="2003-05">2003</year><month>May</month> <volume>51</volume> <issue>5 Suppl</issue><issue-title>Dementia</issue-title> <fpage>S281</fpage><lpage>S288</lpage> </element-citation>
and here is the same journal citation tagged as a mixed citation:
<mixed-citation publication-type="journal" publication-format="print"> <string-name><surname>Leifer</surname>, <given-names>BP</given-names> </string-name>. <article-title>Early diagnosis of Alzheimer's disease: clinical and economic benefits</article-title>. <source>J Am Geriatr Soc</source>. <year iso-8601-date="2003">2003</year> <month>May</month>; <volume>51</volume>(<issue>5 Suppl</issue> <issue-title>Dementia</issue-title>):<fpage>S281 </fpage>-<lpage>S288</lpage>. </mixed-citation>
Spacing in Citation Names
Note that even when the <name> element is inside
a <mixed-citation>, that <name> element cannot be used to preserve the space inside <name>. In the tagged examples below,
there will be no space between the surname and given names in the XML, no matter which
type of citation contains the <name>:
<element-citation publication-type="journal"> <name> <surname>Petitti</surname> <given-names>DB</given-names> </name> </element-citation> <mixed-citation publication-type="journal"> <name> <surname>Petitti</surname> <given-names>DB</given-names> </name> </mixed-citation>
This means that any spacing or punctuation inside <name> must be generated on display.
Within both types of citations, the elements <string-name> and <person-group> can be used to preserve punctuation. These
elements are typically used in mixed citations to preserve the punctuation and spacing.
String Name: A <string-name> can preserve the punctuation that separates
the surname from the initials or the given names, so <string-name> elements are frequently used inside
<mixed-citation>s:
<mixed-citation publication-type="journal"> <string-name> <surname>Washington</surname>, <given-names>George</given-names> </string-name>. ... </mixed-citation>
In element-style citations, which do not preserve punctuation or spacing,
<string-name> is typically only used to
hold name alternatives or unusual names that are not easily broken into <surname> and <given-names> components. For example:
<element-citation publication-type="journal"> <string-name>His Royal Highness The Prince Charles, Prince of Wales and Earl of Chester</string-name> ... </element-citation>
The element <string-name> can also be
used to preserve the order of publication for a name. All of the following are legal
string names:
<string-name> <surname>Smith</surname>, <given-names>JH</given-names> </string-name> <string-name> <given-names>JH</given-names> <surname>Smith</surname> </string-name> <string-name>J.H. <surname>Smith</surname></string-name>
The first example above would not be a valid <name> because of the comma and space between <surname> and <given-names>. The second and third examples are not valid <name>s because of name component order. The
<name> element specifies an order for the
name component elements to help users regularize this data.
Person Groups
The <name> elements within citations may be
grouped using the <person-group> element, which is a slightly hybrid element. It is similar to the element
<contrib-group> in the book metadata
in that it can contain a series of names of contributors, in this case cited contributors.
But <person-group> is also similar to the element <contrib> in the book metadata in that it may directly contain naming elements such as
<name>,
<string-name>,
<collab>, and <anonymous>, which are also inside
<contrib>.
Here is an editor tagged using <person-group> inside <element-citation>:
<element-citation publication-type="journal" publication-format="print"> <source>Folia Primatologica: International Journal of Primatology</source> <person-group person-group-type="editor"> <name><surname>Crompton</surname><given-names>R.H.</given-names></name> </person-group> <publisher-loc>Basel (Switzerland)</publisher-loc> <publisher-name>S. Karger AG</publisher-name> <volume>1</volume> <year iso-8601-date="1863">1863</year> <comment> -suspect date, may be 1864</comment> </element-citation>
And that same person group in a mixed citation:
<mixed-citation publication-type="journal" publication-format="print"> <source>Folia Primatologica: International Journal of Primatology</source>. <person-group person-group-type="editor"> <name><surname>Crompton</surname><given-names>R.H.</given-names> </name></person-group>, editor. <publisher-loc>Basel (Switzerland)</publisher-loc>: <publisher-name>S. Karger AG</publisher-name>. Vol. <volume>1</volume> <year iso-8601-date="1863">1863</year> -suspect date, may be 1864.</mixed-citation>
Notice that, in the mixed-style example just given, the information that a person
is
an editor may be there twice, once as loose textual material with a comma and space,
and
once as a searchable attribute on the <person-group> element.
Within both citation types, but more typically used within mixed citations, a
<person-group> allows preservation of the
punctuation between names or the punctuation between a name and its affiliation, such
as
the square brackets below:
<mixed-citation publisher-type="gov"> <person-group person-group-type="author"> <name><surname>Norman</surname> <given-names>John C</given-names> </name> [<aff>Texas Heart Institute, Houston, TX</aff>] </person-group> </mixed-citation>
The <person-group> element can also be
used to tag a person’s name and affiliation or to collect a group of contributors,
all
of whom have a single affiliation. In the example below, two individuals share an
affiliation, tagged in an element-style citation:
<element-citation publication-type="commun"> <person-group> <name> <surname>Hennen</surname><given-names>John</given-names> </name> <name> <surname>McDougall</surname><given-names>Jenni</given-names> </name> <aff>Edinburgh, Scotland</aff> </person-group> <source>Letter to: Dr. Duncan</source><year>[date unknown]</year> <size units="pages">9 p</size> <comment>Located at: History of Medicine Division, National Library of Medicine, Bethesda, MD; W6 P3 v.1575. Observations on the cure of syphilis without mercury.</comment> </element-citation>
Another possible use of the <person-group> is to hold the element <etal>, to designate unnamed individuals (typically indicated in print with
the text “et al.”). Unlike many tag sets, this Tag Set allows
<etal> to contain text, so the user may
choose between generating text based on the element or including the text inside the
element.
APA Ellipses Style for Multiple Authors
The 6th edition of the APA Style Guide eliminates long lists of authors when citing
a work with more than 7 or 8 authors. (Many genomics works have hundreds of authors.)
When there are more than 7 authors, the APA citation lists the first 6 authors, then
an
ellipsis or the words “et al.”, followed by the last author. Here is an
example of such a citation, that has a large number of authors, as it would be shown
in
APA style for display or print:
Dodge, K. A., Berlin, L. J., Epstein, M., Spitz Roth, A., O'Donnell, K., Kauffman, M., . . ., & Christopoulos, C. (2003). The Durham Family Initiative: A preventive system of care. Child Welfare, 83(2), 109-128
Here is the example above tagged as a <element-citation>, using the element <etal>
as a placeholder, from which the ellipses could be generated:
<ref id="r1">
<element-citation publication-type="journal">
<person-group person-group-type="author">
<name><surname>Dodge</surname>
<given-names>K. A.</given-names></name>
<name><surname>Berlin</surname>
<given-names>L. J.</given-names></name>
<name><surname>Epstein</surname>
<given-names>M.</given-names></name>
<name><surname>Spitz Roth</surname>
<given-names>A.</given-names></name>
<name><surname>O’Donnell</surname>
<given-names>K.</given-names></name>
<name><surname>Kauffman</surname>
<given-names>M.</given-names></name>
<etal/>
<name><surname>Christopoulos</surname>
<given-names>C.</given-names></name>
</person-group>
<year iso-8601-date="2003">2003</year>
<article-title>The Durham Family Initiative: A
preventive system of care</article-title>
<source>Child Welfare</source>
<volume>83</volume><issue>2</issue>
<fpage>109</fpage><lpage>128</lpage>
</element-citation>
</ref>
Here is the example above tagged as a <mixed-citation>, using the element <etal>
to hold the entity reference for the ellipsis, the comma-space following each author
(including et al.), and the ampersand before the name of the final author:
<ref id="r1"> <mixed-citation publication-type="journal"> <person-group person-group-type="author"> <name><surname>Dodge</surname> <given-names>K. A.</given-names></name>, <name><surname>Berlin</surname> <given-names>L. J.</given-names></name>, <name><surname>Epstein</surname> <given-names>M.</given-names></name>, <name><surname>Spitz Roth</surname> <given-names>A.</given-names></name>, <name><surname>O’Donnell</surname> <given-names>K.</given-names></name>, <name><surname>Kauffman</surname> <given-names>M.</given-names></name>, <etal>…</etal>, & <name> <surname>Christopoulos</surname> <given-names>C.</given-names></name> </person-group> (<year iso-8601-date="2003">2003</year>). <article-title>The Durham Family Initiative: A preventive system of care</article-title>. <source>Child Welfare</source>, <volume>83</volume>(<issue>2</issue>), <fpage>109</fpage>–<lpage>128</lpage>. </mixed-citation> </ref>
Since this Tag Set allows <etal> to
contain text, the user may choose between generated or contained text. Both of the
samples above could alternately have included <etal>et al.</etal> or <etal>…</etal> instead of the empty
<etal> element.
Some publishers choose to use <citation-alternatives> element to hold two citations, one in APA ellipses style for display and one with
all of the (possibly hundreds) of contributors tagged explicitly. This second version
of the citation may be used to provide full publication tracking and to make all contributor
names searchable.