Library of Congress Perspective on Symbols Used in 040 Fields

At the time LC began to import records from OCLC in an offline mode, the OCLC internal forms of the symbols used in field 040 (Cataloging source) were converted to the USMARC Code List Symbols for Organizations (UCLO) form before the records were transmitted to LC. (The UCLO form was formerly Symbols of American Libraries and originally NUC symbols.)

When LC began importing records from OCLC through the Z39.50 protocol, the symbols used in the 040 field were not converted to the UCLO form. LC met with OCLC staff and were informed that it was not possible to convert the symbols when import was executed in an online mode.

LC determined that use of already existing records for copy cataloging was a prevailing concern and made the decision to continue to import records from OCLC even though the symbols in the 040 field would not be converted to the UCLO form.

LC made the further decision not to require LC staff to provide the UCLO form at the time of cataloging, although staff are encouraged to change the symbols to that form if it readily known. Concomitant with this decision, LC decided not to change the symbols when they are reported as errors to LC. At the time the decision was made to use the OCLC form of symbols imported in the online mode, OCLC did not indicate the consequences of this procedure on their batchload software.

Sally McCallum, Chief of LC's Network Development and MARC Standards Office, provided the following statement to the USMARC electronic mail list on June 5, 1997:

"The Network Development and MARC Standards Office has great sympathy with all the comments on the 040 field. We would prefer that all folks who use the format use it according to specification, and have tried to come as close to that ideal as possible ourselves -- although LC is not perfect either. The reason for following the specifications are obvious -- it is the key to efficient interchange of records. OCLC, RLIN and others also have a commitment to that ideal but have a few more differences largely left over from the distant past. But very few differences, taking the whole record into account. They have resource problems like the rest of us and determine partly with their customers what they spend the resources on. If all of us gave them a high priority to following the letter of the format all the way, they probably would do that. For most distribution from OCLC to LC, OCLC uses a special batch exit program that gives us pretty clean USMARC with the correct symbols in the 040 -- but it is available to us only for batch files.

LC is trying to make its operations more efficient as we meet the funds crunch. We have the opportunity to have our catalogers carry out a Z39.50 search from our input system and then instantly incorporate the record, finish the cataloging and send the item along. OCLC's Z39.50 access was not initially designed to support cataloging and it simply pulls the record as in the PRISM database and does not carry out the conversions that we get with the batch files.

When we first began to work on this with OCLC the records were coming from First Search and were missing other crucial items. OCLC worked with us to solve all the problems except this one, which they could not do in a limited time span. At that point we realized that many of you see OCLC records all the time, with OCLC symbols in the 040 and perhaps the small number of our records that contain the same would not be too strange to see. We were unhappy but realistic. We are not clear why OCLC allows OCLC symbols in the record proper, as opposed to the holdings files but it is a fact.

There is the possibility that OCLC could use the USMARC Organization codes (formerly called the NUC symbols) in the fields of their records, although as Rich Greene points out, in some places this would cost a great deal of programming time at OCLC to condition those processes that use those codes. Over the last few years LC has worked with OCLC to get organization code assignments made for all the OCLC cataloging libraries.I believe that we are up to date on that and have good continuing cooperation on assignments. As you know, OCLC publishes the corresponding USMARC Organization codes in their code directory.

LC is not currently in a position to fix those codes ourselves, although with a new system there might be potential. But it is generally the responsibility of sending organizations to make records conform to community developed and approved standards, and if the original sender does not do this than many to whom the original sender distributes have to take on duplicative work. But we all have to agree that that is a priority.

As the systems become more global, this will only get worse. ISO has just started to work on a 'standard for library identifiers'. According to the draft that will have its first ballot in a few months, it would allow the USMARC Organization codes to be used for US libraries if a country code for "US" is added before each. This may be useful ultimately."