From the The Tool Shed Cataloging in Publication

With the burgeoning of titles produced by the ever-growing number of publishers, the difficulty of keeping track has increased. One way to help your book find its proper place is to see that it is properly cataloged. Cataloging, and especially cataloging that is passed along to the Library of Congress, becomes an important tool in a book's marketing. Titles that are a part of the Library's cataloged lists (whether the block was produced by the Library or by the Publisher) are then included in the databases of American titles that may be acquired by libraries and other outlets around the world.

Back in the days when the number of publishers was much smaller, and when a smaller number of people chose to publish their own works, the Library of Congress undertook the task of cataloging new titles, with the cataloging information being gathered in a block (called the Cataloging in Publication or CIP block) which was placed on the copyright page. (The copyright page could be said to contain the book's "biography" since it lists not only the copyright date and owner, the CIP block, but also, optionally, the printing history, credits, etc.) Since the Library of Congress lacks sufficient resources to catalog every book submitted for cataloging, publisher's blocks may be produced. These blocks should be created by cataloging experts. The Dillard article (mentioned subsequently) and other pieces in this section elaborate on why this is not a simple, do-it-yourself project.

This section of the Tool Shed aims to shed light on the issue.

• Classification Systems
  
  
• Cataloging In Publication
  

  Elements of the CIP Block

  
  
• Getting into the Cataloging Program
  
  
• What is PCIP?
  
  
• What is a SAN?
  
  
• Talk to The Cat

Cataloging in Publication involves several classification systems and includes several strange, arcane numbers in the cataloging block. The Cat is delighted to be able to include the following items on some of the quirks of the Library of Congress's system and the older Dewey Decimal System.

David Dillard, of Temple University, originally posted a piece on an electronic publishing list in response to some discussion about ISBNs and other vital numbers and has subsequently posted it "About Classification,". If you're confused about the classification systems of the Library of Congress and the Dewey Decimal system, this article is a must-read.

Dillard has other articles on Database Searching on CyberPlayground that are valuable to the researcher on how to mine the resources of the Web. Click on Ringleaders and then on his name, David Dillard, at the CyberPlayground.

Millard F. Johnson (Executive Director of the Indiana Cooperative Library Services Authority (INCOLSA), a cooperative of 760 libraries in Indiana), responded to the post with these comments:

"To supplement what David Dillard said about LC and Dewey classification:

"Neither Dewey nor LC numbers can substitute for the ISBN number for several reasons. First, they are classification numbers. No matter how specific they may be, two (or a thousand books) may have the same classification number if the person classifying thinks they are on the same topic. To get around this problem libraries add an additional suffix that makes each book unique in their collection. So don't take a classification number from one library to another and expect it to be assigned to the same book. Secondly, even experienced catalogers may disagree on the "subject" of a book. So the same book may be assigned different subject classification in different libraries."

The Library of Congress is America's National Library and as such is the repository of books produced in this country. Begun with the notion of providing the members of Congress with necessary books for them to be informed on what was current and historical, it has grown past that original purpose. As its collection began to grow, it had to be cataloged in order to find desired materials. The Library developed its own procedures which are outlined at Cataloging.

Many small publishers are not aware that the annual databases compiled by the LC are distributed to national libraries and others around the world. With this increased visibility in world markets, a publisher would be foolish not to get into the system.

One of the first steps in getting into the LC's cataloging system is to get the LC Catalog or "preassigned number. You can get your Library of Congress Preassigned Control Number (sometimes referred to as the LCCN - Library of Congress Catalog Number) by requesting forms from the above address or online instead of having to send in the form by mail. This number is then included in the Cataloging in Publication block.

One incompletely understood part of a book's "biography" (aka the copyright page) is the Cataloging in Publication (CIP) block. A neophyte publisher needs to understand what its function is, who uses is (i.e., who needs it?), what are its components, and how to get a CIP block prepared properly.

Michael Huston wrote about this in Quality Books, Inc.'s Vendor Update, August 1995, and encouraged the dissemination of the article on the PMA-list. In that article he said, "Everyone involved in the marketing of your book -- agents, wholesalers distributors, booksellers, et al. -- needs to know what it's about in order to present it effectively. Librarians require much more specific information about new titles to facilitate the acquisition and processing of them, including the determination of the exact shelf location for the materials within the library. The purpose of Cataloging In Publication is to provide librarians with ALL of the information they need, in an agreed-upon format and vocabulary, prior to the time that full cataloging is available. If you plan on marketing your book to libraries, you should include CIP on the title page verso of your publication. CIP is not unlike the nutritional guidelines on a package of breakfast cereal. Basically, it is a block of information that contains the technical specifications; including ISBN, LC subject classifications, Dewey and LC classification numbers, etc.; prepared by professional catalogers (like every doctor is not a pathologist, every librarian is not a cataloger), in accordance with a very specific set of guidelines and conventions, for use by reference librarians and the library's technical services staff."

Non-fiction books really should have a CIP block. (And for that matter, many independent fiction publishers are also securing CIP blocks to enhance their shelving positions.) This highly specific chunk of information, part of a book's "biography" along with the copyright information, publishing history and the rest, is essentially a full description of the book, so far as librarians and other cognoscenti are concerned.

At bottom, the purpose of cataloging is to know where to put an item and how to retrieve it at a later point. In a time when new books are appearing by the thousands each year, a book being cataloged properly is of great importance. Conventionally, the preparation of a CIP block has been the task of the Library of Congress (and such blocks are identified as "Library of Congress Cataloging in Publication"). However, the Library has restrictions on what it will catalog, and it is further burdened by the flood of books created by the ease of desktop publication. To meet the need of books to be cataloged, others with strong library connections are providing this service. Foremost among these is Quality Books, Inc., a distributor of small press titles to libraries.

James Cox, the editor of the Midwest Book Review notes that if you have failed to get a CIP block, you can still market to libraries as long as you have an ISBN and your title is so clear as to content. "In a pinch, " he says, "You can always make up your own CIP-like info block as part of your library publicity release or in the form of a 3x5 card and stick it into the book so that librarians will have that info for their index card cataloging (or in this day and age their computer data entry) needs."

For further information, go to Library or e-mail the Library your comments.

What's in a CIP block? To sum up from Mike Tribby's comments in the previous section, a CIP block includes the following:

1. Title
2. The technical specifications:

   Library of Congress subject classifications (subject tracings)

   Dewey Decimal System classification number

   Library of Congress partial Call Number

   LoC's Catalog Card Number (LCCN)

   ISBN

3. Full name(s) of Author(s) or Editor(s)

   Birthdates may be used to prevent confusion with other authors who might have the same name

4. Certain size specifications (a bit of real arcana except for librarians)
5. Presence of index, bibliography, illustrations

Cataloging is a highly formalized process; punctuation, spacing and capitalization are all done with precise formatting. The arcane "p.cm." appears on its own line. Only the first word of the title is capitalized. While these have no apparent reason to the reader or to the publisher, they have specific use for the librarian.

How to join the Library of Congress CIP program:

Having determined that your house publishes titles which are in scope for the program, you may complete a Publisher's Response/Publishing History form. In order to acquire more complete information about the CIP program and how your publishing house may apply for participation in the program, write to the following address:

Library of Congress

Cataloging in Publication Division

COLL/CIP (4328)

Washington, DC 20450-4320

This will give you a sense of the

Determining the appropriate subject area can be a bit of a problem. The back of the Advance Book Information form (R. R. Bowker) has a basic list of subject categories, drawn from a master list created by BISAC (Book Industry Study Advisory Committee), which may or may not coincide with the cataloging lists of the Library of Congress.

Libraries usually have a set of books they call the Red Books with all of the LOC subjects and numbers (they use them for their own cataloging). One of the books describes the format and once you understand that they're easy to use.

Certain Require Core Material must accompany the application for obtaining a CIP data block.

Further explanation of the CIP program is found in "Book Cataloging," by Patricia J. Bell, in Flash magazine, Issue 9.1. (Note also that Flash magazine is also a great source of information on desktop publishing topics.

Several discussions on the PMA-listserv centered on the question of who or what it takes to get a Library of Congress Cataloging in Publication block. To clarify the picture, Mike Tribby, the senior cataloger at Quality Books, very kindly contributed the following piece on Cataloging in Publication (CIP). We are all deeply indebted for this information.

He writes:

There is no requirement that a publisher have ANY previous publications, not 3, not 30, not 300. Jane Gilchrist, Team Leader of L[ibrary of] C[ongress]'s Children's Literature Team, told me about a brand new publisher who got CIP for his first four books through LC. This conversation took place this past summer at A[mericn] L[ibrary] A[ssociation] in San Francisco. While there is no requirement for previous publications, LC takes a very vigilant attitude toward keeping "vanity" publishers out of the CIP program. This is one of their rules, and it seems to me not an entirely bad one. LC has only so much time and staff, less and less over time (something for the virulent anti-tax folks among publishing entrepreneurs to consider, perhaps, and they conceive of their CIP mission as giving consideration to the materials that are most likely to be in demand in the nation's libraries. A previously unknown author's personal views on one subject or another, published by that person, are possibly not considered a good bet for this status.

Unlike many national libraries, LC has no mission to collect and catalog every book published in the United States. They are, as the name implies, Congress' library. Their first priority is to assemble materials for the Congress. Their next priority is leading the way for the rest of the nation's libraries, but unlike other national libraries, they do this by example more than by direct authority. When staff cuts (or "attrition" as economic Darwinists like to call it) occur, services not indispensable to LC's function as Congress' library are most likely to be cut, Hence a shrinking or static number of catalogers, even while technology and other factors lead to an increase in the number of books published in the U.S.

The idea that LC requires publishers to have three previously published books to qualify for CIP is a widely-held one. I suspect it flows from two sets of circumstances, three if you count constant repetition by publishing and self-publishing gurus. The first circumstance is that on the CIP application form there are three spaces for the applicant to list previously published books. Applicants may fear that failure to fill in these spaces dooms or has doomed their applications. Staff and administration at LC (including John Celli, head of CIP) have repeatedly told me--face to face, toe to toe, etc.--that this is simply not the case. It's not LC policy, and I've never seen it written down as policy other than from authors and publishers who claim to have been denied CIP for this reason. Since we [Quality Books] work rather closely with LC, I have seen the CIP manual and other source documents, and I have never seen this written down either, not as policy or as guideline.

The second circumstance I offer is the product of surmise on my part. While it may not be policy, and staff and administration at LC may profess ignorance of it, it is entirely possible that staff at the level of initial contacts for those seeking CIP may relate the three previous books proviso as a rule of thumb, as in "We'll take a look, but without some previous publications, you may not end up getting CIP from us." I have spoken with authors and publishers who say they were more or less thus informed in their dealings with LC. Perhaps the clerical staff is trying to level with the applicants, perhaps there is a monumental ongoing misunderstanding, I don't know. But it is demonstratively NOT LC policy that a successful CIP applicant have previous publications. They can be disqualified if they are a vanity press, or if the work in question is something that is specifically disincluded by LC like teacher's manuals, serial publications, coloring books, etc.

Mike Tribby, the senior cataloger at Quality Books

How to Contact the Library of Congress Regarding Cataloging, MARC Standards, and Other Related Programs

Beacher J. E. Wiggins

Acting Director for Cataloging

Library of Congress

Washington, DC 20540-4300

E-mail: bwig@loc.gov

For MARC tagging and inputting, descriptive and subject cataloging (serials and monographs), LC Subject Headings, or LC classification matters, contact:

Barbara Tillett

Chief, Cataloging Policy and Support Office (CPSO)

Library of Congress

Washington, DC 20540-5017

E-mail: cpso@loc.gov

For MARC tagging and inputting (serials) matters, contact:

Maureen Landry

Chief, Serial Record Division (SRD)

Library of Congress

Washington, DC 20540-4160

E-mail: mlan@loc.gov

For cooperative cataloging programs, contact:

John D. Byrum

Chief, Regional and Cooperative Cataloging Division (RCCD)

Library of Congress

Washington, DC 20540-4370

E-mail: jbyr@loc.gov

For decimal classification, contact:

Dennis McGovern

Acting Chief, Decimal Classification Division (DEWEY)

Library of Congress

Washington, DC 20540-4330

E-mail: dasm@loc.gov

For MARC communications formats, contact:

Sally H. McCallum

Chief, Network Development/MARC Standards Office (NET DEV/MSO)

Library of Congress

Washington, DC 20540-4020

E-mail: smcc@loc.gov

For computer file, microform, music, manuscript collections, rare books, and sound recordings (descriptive and subject cataloging) matters, contact:

Susan H. Vita

Chief, Special Materials Cataloging Division (SMCD)

Library of Congress

Washington, D.C. 20540-4370

E-mail: svit@loc.gov

For the National Serials Data program, contact:

Regina Reynolds

Head, National Serials Data Program Section

Serial Record Division (SRD)

Library of Congress

Washington, D.C. 20540-4160

E-mail: rrey@loc.gov

For the Cataloging-in-Publication program, contact:

John Celli

Chief, Cataloging in Publication Division (CIP)

Library of Congress

Washington, D.C. 20540-4320

E-mail: jcel@loc.gov

For distribution of LC cataloging records (printed cards, MARC tapes, microfiche and CD-ROM) and LC technical publications, contact:

Customer Support Team

Cataloging Distribution Service (CDS)

Library of Congress

Washington, D.C. 20541-5017

1-800-255-3666 (toll free in US) or 202-707-6100

Fax: 202-707-1334

E-mail: cdsinfo@loc.gov

If your publishing schedule is not eligible for the Library of Congress Cataloging in Publication, for a small fee, you can get a Publisher Cataloging In Publication block through:

Mike Tribby, Cataloger

Quality Books, Inc.

1003 W. Pines Road

Oregon, IL 61061-9680

E-Mail: cataloger@qualitybooks.com

Application for PCIP

One element in cataloging is the controlled vocabulary, especially that used for the subject categories. Since as was pointed out in the Huston article (not all reproduced here), the number of categories librarians use is limited; sometimes the choice of category is not readily apparent to the publisher, though it may come clearer with additional cataloging information. (The Dewey Decimal System illustrates that nicely: the more numbers to the right of the decimal, the more precise the classification.)

A PMA list member mentioned an article in Quality Books' Vendor Update on LCCN and PCIP. A query to QBI was directed to Jane Griswold, the author of the piece, and she gave me permission (not to mention faxing me a copy of the article) to post it here.

It IS a good piece.

PCIP stands for Publisher's Cataloging in Publication. This is a datablock of information which looks similar to a catalog card at the library. This is a service that Quality Books Inc. provides for a fee to publishers who do not qualify for a CIP from the Library of Congress. This is a very detailed process, and we would like to take this opportunity to share some common questions and answers about PCIP.

(Q) Why should I pay for a PCIP datablock?

(A) It will help your sales to libraries.

(Q) Why do librarians care whether a book has a PCIP datablock?

(A) Because it provides information the librarian needs to enter this book in the library's catalog. If a book has no datablock, the librarian has to catalog it herself/himself. Most librarians don't have time to catalog all the books they buy, so they try to buy books which already have this done.

(Q) Can the publisher make the PCIP datablock himself/herself?

(A) No. Cataloging must be done in compliance with Anglo-American Cataloging rules. These rules are extremely complicated, and they change over time. Librarians also expect the cataloging to use current classification numbers and subject headings from the Library of Congress Subject Heading List.

(Q)What is an LCCN?

(A) This is a control number for Library of Congress catalog records.

(Q) Do I have to have an LCCN?

(A) No. But having one will help your sales to libraries. They are used to order catalog cards, and to identify and access these records in automated databases.

(Q) If my publication is delayed, should I change the first two digits of my LCCN?

(A) No. The first two digits of the LCCN refer to the year in which the number was assigned, not to the date of publication. The new LCCN would result from such a change may already have been assigned to another title.

(Q) If Quality Books Inc. prepares my PCIP datablock, do I still qualify for an LCCN?

(A) Yes. You may apply for a Preassigned LCCN [now referred to as the Preassigned Control Number or PCN] from the Library of Congress. This would be incorporated into your datablock by Quality Books Inc. (QBI)

(Q) Where does my PCIP datablock get printed in my book?

(A) On the verso (flip side) of the title page, also known as the copyright page. The data should be printed exactly as it is when received from QBI.

(Q) Why is only the first word of the title capitalized on my datablock?

(A) This is according to traditional library practice. If you alter this, your data block will not look professionally done.

(Q) Why is the author's birth date sometimes included in the datablock?

(A) In a catalog of significant size, duplication of names often occurs. The birth date is used solely to distinguish one author from another of the same name. In this way the works of one author will not be incorrectly filed with those of another.

(Q) What does p. c.m. on my datablock stand for?

(A) Physical description. This area will be updated in the automated database, and should not be altered by the publisher. Librarians expect to see p. c.m. in the datablock.

(Q) I don't agree with the subject headings that were assigned to my book. Can I change them?

(A) No. These are assigned from a controlled vocabulary or thesaurus of authorized headings, Library of Congress Subject Headings. They are not intended to provide in-depth indexing, but are meant to identify those subject areas which describe the book's overall content most accurately. In this way, books on similar subjects will be listed together in library catalogs.

(Q) I'm publishing a revised edition. Can I use the same datablock?

(A) No. The datablock for the new edition will be almost identical to that of the original. There are, however, small but highly significant differences between the two. The Dewey Decimal classification number and subject headings may have changed. Therefore, it is imperative that you request a new datablock.

We hope this information is helpful in clearing up some of the misunderstandings about PCIP. Please keep in mind that the more information you send us about your book, the more accurately we will be able to catalog it. If you are interested in obtaining PCIP from Quality Books, Inc., contact Jane Griswold in Publisher Relations.

June 1998 Quality Books, Inc., - Vendor Update

Reprinted by permission.

A question on the Advanced Book Information form that frequently baffles new publishers is the request for their SAN. Here is how that is described by R. R. Bowker:

The Standard Address Number (SAN) is a unique seven-digit identifier used to signify a specific address of an organization in (or served by) the publishing industry. It is an American National Standard, ANSI/NISO Z39.43-1993.

This system, initiated and maintained by R.R. Bowker, has become THE identification code for electronic communication within the industry.

It is the method used by both PUBNET and X*NET systems and is required in all electronic data interchange communications using the Book Industry Systems Advisory Committee (BISAC) EDI formats.

The SAN itself has no functional meaning -- it merely defines an address. The SAN becomes meaningful only when used for identification of customers for electronic ordering transmission, voice recognition ordering systems, teleordering, for billing or shipping account numbers, etc.

The use of the SAN significantly reduces the problems faced by other non-standard numbering systems such as billing errors, books shipped to the wrong points, errors in payments and returns.

Entities using the SAN include book and journal publishers, wholesalers and distributors, book retailers and college bookstores, libraries, schools and universities, as well as paper and cloth manufacturers, printers and binders and others involved in the manufacturing of books and journals.

For further information and application contact the SAN Agency at (908) 771-7755 or diana.fumando@bowker.com. Please allow five business days for processing.

The SAN agency performs a number of important functions, including:

1. management and allocation of SAN assignments to organizations associated with the publishing industry
2. advising organizations on the correct and proper usage of the SAN
3. informing organizations within the publishing industry of their SAN assignments and identifying ranges
4. maintenance of an up-to-date and comprehensive listing of all U.S. SAN assignments for inclusion in such Bowker directories as the American Book Trade Directory, American Library Directory, Books in Print, Literary Market Place and the Publishers, Distributors and Wholesalers of the United States.

Comments or suggestions?
Write to catspawpress@aol.com; we'd love to hear from you. Thanks for dropping by, and come again--we'll be adding new "shelves" and "rooms " in the Tool Shed from time to time, and there's always new material to put in the Tool Shed!

You can also take a publishing class: Pat Bell is a faculty member of the Writers College, where she teaches an on-line class on publishing. Check out When is The Next Publishing Class? for her current schedule.

Don't have time to take a class? You can also arrange for consultations with her. Help is close at hand!

Check out BookZone's Ask and Answer board; Pat is on the panel of experts there.

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© 1998 Patricia J. Bell

Cat's-paw Press

Last updated: October 23, 2002