ALA | CIP Tutorial

Cataloging In Publication (CIP) data from the Library of Congress is an important cataloging tool for school library media specialists. This KQWeb extra focuses on how to read, interpret, and use CIP, whether the library catalog is manual or automated. Thus, it is very important to check and verify the CIP data used to create the local record, making sure the catalog data on the finished record is accurate and that it follows current cataloging standards.

Table of Contents:

Following is a summary of the cataloging data that should be verified on the CIP record. The cataloging tips are based on Anglo-American Cataloguing Rules, second edition, 2002 revision (AACR2), LC cataloging practice, and the MARC bibliographic format. Every CIP cataloging dilemma is not listed below; rather, the most common differences between CIP and the published book are discussed.

Below, when ranges of MARC fields contain XX, it is to represent any two of the possible digits from 0-9 in a specific group of MARC tags (e.g., 1XX represents 100, 110, 111, and 130). For more information on MARC in general, see Betty Furrie’s Understanding MARC Bibliographic.¹ Another excellent, more detailed resource on MARC is the MARC 21 Concise Format for Bibliographic Data.²

Descriptive cataloging in CIP is based on the latest version of AACR2.³ Rule 2.0B1 says that the chief source of information for a book is the title page.⁴ Some descriptive information on the catalog record can come from other parts of the book (prescribed sources).⁵ It is very important to adhere to these sources of information when transcribing cataloging information; not doing so makes sharing records difficult and increases inconsistencies in what users see in the catalog.

Kirk, David, 1955-

Main entry (100)

Miss Spider’s wedding / painting and verse by David Kirk.

Title and statement of responsibility (245)

p. cm.

Physical description (300)

Summary: Miss Spider proves that her heart knows best when it comes to choosing a husband.

Summary note (520)

ISBN 0-590-56866-3

International Standard Book Number (ISBN) (020)

[1. Spiders—Fiction. 2. Insects—Fiction. 3. Marriage—Fiction. 4. Stories in rhyme.]

LC Annotated Card subject headings (600 _1, 650 _1,

651 _1)

I. Title.

Title added entry

(245 1_)

PZ83.3.K6554MW 1995

LC call number (050)

[E]—dc20 94-42096

Dewey Decimal call number (082) and LC card number (010)

CIP AC

010	$a 94-042096
020	$a 0590568663
050	00 $a PZ8.3.K6554 $b Mw 1995
082	00 $a [E] $2 20
100	1 $a Kirk, David, $d 1955-
245	10 $a Miss Spider's wedding / $c paintings and verse by David Kirk.
260	$a New York : $b Scholastic, $c c1995.
300	$a [40] p. : $b col. ill. ; $c 23 x 30 cm.
500	$a “Published by Scholastic, Inc. in association with Callaway Editions”—T.p. verso.
520	$a Miss Spider proves that her heart knows best when it comes to choosing a husband.
650	1 $a Spiders $v Fiction.
650	1 $a Marriage $v Fiction.
650	1 $a Stories in rhyme.

Aronson, Marc.

Main entry (100)

Sir Walter Raleigh and the quest for El Dorado / by Marc Aronson.

Title and statement of responsibility (245)

p. cm.

Physical description (300)

Summary: Recounts the adventurous life of the English explorer and courtier who spelled his name “Ralegh” and led many expeditions to the New World.

Summary note (520)

Includes bibliographical references and index.

Bibliography, etc. note (504)

ISBN 0-395-84827-X

International Standard Book Number (ISBN) (020)

1. Raleigh, Walter, Sir, 1552?-1618—Juvenile literature. 2. Great Britain—Court and courtiers—Biography—Juvenile literature. 3. Guiana—Discovery and exploration—Juvenile literature. 4. Explorers—England—Biography—Juvenile literature.

LC subject headings (600 _0,

650 _0,

651 _0)

[1. Raleigh, Walter, Sir, 1552?-1618. 2. Explorers.]

LC Annotated Card subject headings (600 _1, 650 _1,

651 _1)

I. Title.

Title added entry

(245 1_)

DA86.22.R2 A76 2000

LC call number (050)

942.05’5’092—dc21

[B] 99-043096

Dewey Decimal call numbers (082) and LC card number (010)

010	$a 99-043096
020	$a 039584827X
043	$a e-uk--- $a s-gy---
050	00 $a DA86.22.R2 $b A76 2000
082	00 $a 942.05/5/092 $a B $2 21
100	1 $a Aronson, Marc.
245	10 $a Sir Walter Ralegh and the quest for El Dorado / $c Marc Aronson.
246	3 $a Sir Walter Raleigh and the quest for El Dorado
300	$a xviii, 222 p. : $b ill., maps ; $c 24 cm.
520	$a Recounts the adventurous life of the English explorer and courtier who spelled his name "Ralegh" and led many expeditions to the New World.
504	$a Includes bibliographical references and index.
600	10 $a Raleigh, Walter, $c Sir, $d 1552?-1618 $v Juvenile literature.
651	0 $a Great Britain $x Court and courtiers $v Biography $v Juvenile literature.
651	0 $a Guiana $x Discovery and exploration $v Juvenile literature.
650	0 $a Explorers $z Great Britain $v Biography $v Juvenile literature.
600	11 $a Raleigh, Walter, $c Sir, $d 1552?-1618.
650	1 $a Explorers.

Figures 1 and 3 show CIP blocks with explanatory labels. Figures 2 and 4 show the MARC CIP, updated by LC after the book as been received. Following are tips for verifying the CIP data.

Occasionally the title and/or statement of responsibility on the CIP do not match the book. When creating the CIP record, LC has only the publisher’s galley proofs for the book, or perhaps only some preliminary pages that are not in final form. Some bibliographic information may change prior to publication. After LC creates the CIP, the publisher sometimes changes, adds, or deletes words in the title or the statement of responsibility. Therefore, the CIP title may differ, the book’s subtitle may not be on the CIP, or the CIP subtitle may have been removed from the book’s title page before publication. Changes to the ISBN, title, subtitle and publication date are among the most frequent changes reported to LC by publishers who request revision of their CIP prior to publication.⁶

Compare the CIP title and statement of responsibility to the book’s title page and transcribe this information exactly as found there. Do not add bracketed words such as [by] or [and] to the author statement. However, Rule 1.1F8 in AACR2 says that a brief phrase may be added if the role of the parties responsible for the content is not clear (e.g., [edited by]).⁷

Variant titles on spine or cover will not be noted on the book’s CIP because the CIP was based on galley proofs and not on the actual book. Variant titles should be traced in MARC field 246 if the difference is in the first five words. MARC 21 Concise Format for Bibliographic Data⁸ or OCLC’s Bibliographic Formats and Standards⁹ provides instructions on using MARC field 246.

The book’s edition statement is often missing from CIP records. Occasionally, an edition statement is present on the CIP but is not found on the published book. Look on the book’s title page and copyright page for an edition statement. If no edition statement is on the book, do not include one in the catalog record. However, if an edition statement is found, it should be added.

Pre-AACR2 records may have a bracketed edition statement (e.g., [1^st ed.]). Brackets were also added to pre-AACR2 edition statements found on the copyright page. Currently, the chief source for the edition statement is the title page. Prescribed sources for edition are other preliminaries (including copyright page) and/or the colophon, so brackets are not needed for edition statements taken from any of these areas.

The CIP block in the book omits place, publisher, and date. The MARC CIP usually includes this information, but the data may be incorrect if LC has not yet received the published book to correct MARC field 260.

After the CIP is created, a publisher may rearrange the order of multiple places of publication, or may even change the form of its own name on the title page. Occasionally, the date of publication in the book is later than the date on the MARC CIP, since books are not always published when planned. The CIP data should be corrected according to the publication information printed in the book.

When a book has multiple dates, the edition and publication dates are preferred over identical copyright dates. The latest copyright date is used if no publication date is given. Printing dates are usually ignored unless there is no publication or copyright date, in which case printing may be inferred as the publication date and bracketed.

The standard physical description found on the CIP block and on the uncorrected MARC CIP is “p. cm.” for pagination and dimensions in centimeters (see Figures 1-4). LC uses unpaged publisher’s galley proofs to create the CIP. The missing physical description is added to the MARC CIP when LC receives the published book. In order to save time, LC does not count the pages for unpaged children’s books. The finished MARC CIP record may contain “1 v. (unpaged)” for the extent of the book in subfield a. However, counting the pages and providing the information in brackets (e.g., [32] p.) is very useful for teachers, other library media specialists, and parents. For example, the bracketed pagination provides teachers a rough estimate of how long it might take to read the book aloud.

Illustrations are seldom included in the publisher’s galley proofs. If present in the published book, illustrations must be noted in MARC field 300 of the catalog record. Dimensions for books with a width greater than the height (many children’s books) should be height x width (e.g., 20 x 28 cm.).

If supplementary items accompany the book—pamphlet, computer disc, cassette tape, etc.—the CIP record may not include them, because LC may not have known about them at the pre-publication stage. Accompanying items should be added with plus signs to MARC field 300, subfield e (e.g., + $e 1 CD-ROM (4 3/4 in.)).

LC completes the 300 field on its MARC CIP record after receiving a copy of the published book. The LC online catalog may be checked for the updated MARC record.

The series title may be missing from the CIP block and from the uncorrected MARC CIP record. Or, a series title may be present on the CIP record that is not found on the published book. After LC creates the CIP, a publisher might decide to make the book a part of a series or remove it from the originally planned series.

The preferred source of information for a series is the series title page. If there is no series title page, the series may appear on the title page or book cover.

To find the authorized form of a series, check the LC authorities site (includes subject, name, title, name/title).¹⁰ All valid headings contain an icon that contains the word, “Authorized” on the left-hand side of the search results. While not every heading will have an authorized heading, many do. Authority records may be saved (not with full MARC 21 yet), printed, or sent via e-mail one at a time. At present, there is no Z39.50 access to the authority records; however, future Z39.50 access is being explored.¹¹

If the authorized LC form of the series is identical to the series found on the book, the series is transcribed in MARC field 440. On a catalog card, the series title would appear in parentheses after the physical description area, and a Roman numeral added entry for the series would also be added.

If the form of the series on the book differs from the series authorized by LC, the series found on the book is recorded in MARC field 490 with first indicator 1, and the authorized form of the series is recorded in an 8XX field. On a catalog card, the series found on the book is recorded after the physical description area in parentheses, and the authorized form of the series is traced with a Roman numeral added entry. If the official form of the series is under a personal name (e.g., 800 1 $a Stine, R. L. $t Goosebumps.), the series title appearing on the item should be in MARC field 490, and the author/title series should be recorded in MARC field 800.

Index and bibliography notes are often missing from the CIP. The standard note for an index is: 500 $a Includes index. For bibliographical references, the standard note is:
504 $a Includes bibliographical references.

If both are present, the standard note is:
504 $a Includes bibliographical references (pagination) and index.

Finally, the bibliography note on the CIP record for older books may need to be updated. “Includes bibliographical references” is now used for the note instead of “Includes bibliography.”

Reading level or grade level can be added if found on the item or in the publisher’s catalog description, but should be omitted if not stated by the publisher.

The CIP for juvenile books usually includes a summary note (MARC field 520). On a few occasions when publishers’ demand for CIP data was unusually heavy, LC suspended writing summaries for juvenile nonfiction in order to keep up with the CIP workload.¹²But for most of CIP’s lifetime, summaries have been added for juvenile books. One LC children’s cataloger may write as many as 1,000 CIP summaries in a year.¹³

If the CIP for a juvenile book lacks a summary, one should be added. The summary should be objective and not just the publisher’s blurb. A summary should be non-judgmental and written with keyword searching in mind. A summary for fiction should convey the gist of the plot without giving away the ending.

Contents notes are useful for multi-part items, individual articles written by various authors, or collections of separate literary works (e.g., short stories). In the past, CIP has seldom contained a contents note (MARC field 505). The Electronic CIP program is beginning to add tables of contents as part of the MARC CIP record. If the cataloger has time to add a contents note, it provides valuable keyword access. Direct title access is possible if MARC field 505 is enhanced. For examples of enhanced contents notes, see MARC field 505 in MARC 21 Concise Format for Bibliographic Data¹⁴ or OCLC’s Bibliographic Formats and Standards.¹⁵ Finally, it is important to make sure the local catalog is set up to display and handle enhanced 505 notes before using them.

Award information may be added in MARC field 586, if the book is a known award-winner (e.g., Newbery, Caldecott, etc.). The book’s CIP will probably not list the awards, since it was prepared before the book was published. If awards are listed on the book cover or jacket, the cataloger may add them.

Other notes, such as those about publishing history or variant titles, may also need to be added. To add variant title notes along with access points, see MARC field 246 mentioned earlier in the article.

The International Standard Book Number (ISBN) is a unique 10-digit number assigned to each book. It is divided into four parts of variable length. The four parts are: Group or country identifier (identifies a group of publishers), publisher identifier (identifies a particular publisher within a group), and title identifier (identifies a particular title or edition). There is a single check digit at the end of the ISBN (usually numbers 1-9; X represents 10).¹⁶

The ISBN is searchable in most online catalogs, but it may or may not be on the CIP printed in the book. If it is, it should be compared to the ISBN found on the cover of the book. Occasionally the ISBN from the original hardback edition appears on the book’s CIP for a different edition, which should have its own ISBN. For the catalog record, use the ISBN from the cover of the book in hand for MARC field 020.

On a MARC record, the ISBN is entered without hyphens in field 020. On a catalog card, the ISBN (with hyphens) appears below the last note.

CIP includes the Library of Congress Control Number (LCCN), formerly known as the Library of Congress Card Number in the days when libraries ordered card sets from LC. This number is unique to the book and is usually assigned during the CIP process. For some books, LC assigns the LCCN but does not create CIP for the book.

On CIP, older LCCNs are hyphenated, while LCCNs assigned from January 2001 onward do not contain hyphens after the year. The LCCN reflects the year the number was assigned, not necessarily the year the book was published.

Figure 3 shows the book’s LCCN, 99-043096, at the lower right of the CIP block. On the MARC CIP record, this information is entered as: 010 $a 99-043096.

A descending series of numbers (e.g., 10 9 8 7 6 5 4 3 2 1) may be found just below the CIP block. This is not part of the CIP data, but denotes printing numbers and is ignored during cataloging.

If the book is more than 20 years old, the choice of main entry on the CIP may be incorrect. Under current cataloging rules, editors and compilers cannot be main entries. Corporate bodies can be main entries only if the work emanates from and is about the corporate body (such as a staff directory, statement of policy, budget, or annual report).¹⁷ Editors, compilers, and other responsible corporate bodies should be MARC 7XX added entries.

The main entry for a book with two or three authors is the first named author. If the publisher changes the order of the authors’ names on the title page after the CIP is created, the CIP main entry as well as the statement of responsibility will need to be changed (see above). Also, 7XX added entries should be made for the other author(s).

If the publisher adds authors totaling four or more to the title page after the CIP is created, the main entry should be under title. Only the first named author (of four or more) appears in the statement of responsibility and is traced as an added entry in a MARC 7XX field.

In addition to an obsolete choice of main entry, an obsolete form of personal or corporate name heading may be used as main entry or added entry on older CIP. For example, under former rules, persons who wrote under two or more names were entered under only one name, with references from all other names. AACR2, however, allows entry under each of these bibliographic identities. LC may have added birth/death dates or a middle name to the authorized form of a personal name after the CIP was created. Corporate names may now differ in form also, due to newer cataloging rules. The current form of entry can be checked in the LC authorities.

If the CIP main entry is a personal name, occasionally the word “date” may appear in the CIP block after the author’s inverted name, instead of the actual birth date. The word “date” is not intended to be part of the main entry heading on the local catalog record. “Date” indicates that LC adds a date to the heading for this personal name, but the author has not granted permission to the publisher to print his/her birth date in the book. Therefore, the publisher substitutes the word “date” in the name heading on the CIP block. The LC authorities file should contain the authorized personal name heading with date, and this form of name should be used as the heading for the local catalog record.

Verifying personal and corporate name headings on the CIP takes time, but it is important to use the current form of a name so that the works by these persons and bodies will not be separated in the catalog.

Added entry headings for personal names on older CIP may contain abbreviations such as ill., ed., comp., or jt. auth. following the personal name heading. Such abbreviations appear on MARC CIP in subfield e of field 700. This term of function is called a relator term and is defined as optional in AACR2, Rule 21.0D1.¹⁸ In reality, LC currently does not apply the option except for illustrators of children’s books on LC catalog records with Annotated Card (AC) subject headings.

Relator terms do not need to be added to LMC catalog records and may be removed from MARC CIP records. Some online systems regard the relator term as a filing word while some do not. If the online catalog files on the relator term (MARC field 700, subfield e), the subfield should be removed from the MARC CIP record for indexing purposes.

In the past, school library media centers often used Sears subject headings, but a greater dependence on copy from vendors led to the acceptance of whatever subject headings arrived on the records, most often LCSH.¹⁹ Whether the library uses Sears, AC subject headings, or LCSH, it is important to be consistent and verify each heading in the thesaurus being used. LCSH may be verified at http://authorities.loc.gov.

Good subject access both for subject searches and for online keyword searches is very important in the LMC. CIP subject headings should be checked for appropriateness and accuracy, and additional subject headings should be added as needed for local users.

LC assigns the CIP subject headings based solely on the data provided by the publisher before the book is published. The publisher may send only a CIP application form, title page, and possibly the preface, introduction, and/or a table of contents, rather than full galley proofs for the book. Therefore, the subject headings on the CIP may not fully describe the contents of the book.

When a copy of the published book is received, LC will recheck the MARC CIP and may revise the subject headings. If LC does not receive a copy of the book, the MARC CIP subject headings will not be revised. Subject headings on the book’s CIP block will never be revised, since this version of the CIP is out of LC hands when it is sent to the publisher and printed in the book.

Sears subject headings are not included in the CIP, but subject headings on CIP may easily be converted by checking Sears. Older books may have obsolete Library of Congress Subject Headings (LCSH) or Annotated Card (AC) subject headings in the CIP block, but these obsolete headings can still be converted in libraries using Sears.

AC subject headings are simplified LCSH for juvenile works. On the CIP block, AC subject headings are enclosed in square brackets. On MARC CIP, second indicator 1 in MARC field 6XX identifies AC subject headings.

The AC Program began at LC in 1965 to provide more appropriate subject analysis of juvenile materials than allowed by LCSH. The Children’s Literature Team at LC creates and maintains AC subject headings. The AC subject headings are an offshoot of LCSH and are to be used in conjunction with them. LC children’s catalogers may consult Sears and Reader’s Guide when creating new AC headings. Over 900 AC subject headings are now in use.²⁰

Subject headings without brackets on CIP are standard LCSH. CIP for juvenile books may include both LCSH and AC subject headings. If the local library uses Sears subject headings, LCSH or AC subject headings can easily be converted to Sears subject headings. However, LCSH and AC subject headings should not be used simultaneously, as they may conflict (e.g., LCSH uses Swine; AC uses Pigs). Additionally, if the local library uses Sears, it is important to use the latest edition since subject headings are frequently added and updated.

LC assigns AC subject headings for juvenile fiction followed by the subject subdivision Fiction. Standard LCSH may have subdivisions such as Juvenile fiction and Juvenile literature. Equivalent AC subject headings will not have these juvenile subdivisions, since AC headings are intended for libraries serving children under age 15 (grade 9 and under). The assumption is that everything in a collection using AC subject headings is for children, and therefore, there is no need to distinguish juvenile materials from the rest of the collection. Unlike LCSH, the bracketed AC subject headings may list overlapping and/or broader subject headings.²¹ Also, AC subject headings may not be subdivided geographically for the United States, but all items that focus on the United States will be under the general subject.

A Dewey Decimal classification (DDC) number is included in the CIP. Most books could be assigned any one of several DDC numbers, depending on what subject aspect is seen as most important. Local needs should be considered when choosing a DDC number, rather than merely accepting the LC Dewey number.

LC uses the unabridged DDC, which accounts for slight differences between the DDC number on the CIP and the classification number that the cataloger may find or build through the abridged Dewey schedules.

Occasionally, catalogers find that the DDC number assigned by LC is incorrect. LC often must classify for the CIP record using only a few pages rather than the full text of the book. Therefore, the LC cataloger may misunderstand the subject focus and misclassify the book. There is also the chance that the classification number was mistyped, since repeated keying of data was done until recently by both LC and the publisher.

CIP in older books may use a now-obsolete DDC number, since DDC numbers sometimes change from edition to edition in both the unabridged and the abridged Dewey. On the CIP block, the edition of Dewey used for classification follows the Dewey number, such as –dc21, which means the number came from the current 21^st unabridged edition of Dewey. The current 13^th abridged Dewey is based on the 21^st unabridged edition. The new editions of the unabridged and abridged Dewey will both be available September 2003 and January 2004 respectively. On MARC CIP records, the DDC number appears in MARC field 082, with subfield 2 showing the edition of Dewey used for the classification number.

On the CIP record, the DDC number shows where it can be broken to shorten if desired. The CIP block breaks are shown by one or more prime marks. On MARC CIP, the breaks are shown by slashes. The DDC number should be broken only at the prime marks or slash marks. Here is an example of the Dewey number from Figure 3: 942.05’5’092—dc21. The prime marks show that the book’s DDC number may be broken into 942.05, 942.055, or 942.055092. The —dc21 shows that the 21^st edition of Dewey was used for the classification number. The same information on the MARC record would be: 082 00 $a 942.05/5/092 $2 21.

Biography and fiction can be classified different ways. CIP will show the preferred Dewey classification number (with the person’s subject field for biography, or the country literature number for literary authors), followed by alternative classification [B] or [Fic]. CIP shows [E] for easy books.

The Cutter line is not included on the CIP record along with the DDC number. Local libraries Cutter in various ways, such as the first letter of the author’s last name, the first three letters of the author’s last name, or a true Cutter number assigned from a Cutter table. To summarize, make sure the DDC number accurately expresses the subject of the book and fits appropriately into the local collection.

CIP is a valuable starting point for the LMC cataloging record. However, CIP should not be used as it is without verification. Because CIP is created without the book in hand, the cataloger should verify all cataloging data carefully, add bibliographic information and access points that are missing, and tailor the cataloging record to meet local needs. It is important to follow current cataloging standards in order to ensure record accuracy and compatibility with cataloging records in other library catalogs.

Using CIP to Create the Local Catalog Record: The Nuts and Bolts

By Marilyn McCroskey and Michelle R. Turvey

Table of Contents: