College and Research Libraries By H E N R Y B L A C K A n Approach to a Theory of Subject Headings THE END of the war has brought in-creased demands on libraries. Problems of building a peaceful world are numerous and complex. N o t only do we have to deal with much new material, but whole groups of our population—trade unions, women, Negroes, national minorities—that have come to positions of greater national im- portance, present new problems and points of view. T h e number of fields which do not have adequate bibliographical tools of their own will probably increase rather than diminish. Keeping subject catalogs up to date and in line with contemporary needs will be much more important than in the past. But our subject catalogs have not been adequate even for past needs. Reference librarians express continuing dissatisfaction with the results of current practices; ad- ministrators worry about their cost and usefulness; library school teachers have spoken of the difficulty of teaching subject heading w o r k ; evidence of reaction by the public is inevitably diffuse and spotty, but all that is available suggests dissatisfaction and unmet needs. Is there a pattern, a common element, in all the varying specific problems of subject heading work? If we turn to the literature —perhaps 250 titles in English in the last half -century—we find lists of headings, dis- cussions of specific headings or criticisms of particular practices, and advice as to where to look for new headings, but almost nothing by way of underlying principles, of theoretical generalizations. Such principles as have been formulated—those in Miss M a n n ' s textbook, for example—seldom have more of a rational basis than the writ- er's personal experience of the fact that most libraries do it that way. /There is little that would help answer such questions as: W h a t elements determine the formulation of a new heading? O r , H o w can one evaluate the subject catalogs of a particular library? T h e reasons for this lack of theory are clear. It is only within the past decade or so that scientific methods have been applied to any branch of library procedure. T h e pattern of internal development in the larger libraries as well as various social forces have tended to make cataloging ap- pear merely as a complex mechanical pro- cedure, when actually it is an important educational function. A theory is a statement of principles un- derlying a whole field, a generalizing of facts and experience for the purpose of guid- ing further work in the field. W i t h refer- ence to our immediate problem the principal uses of theory would be to simplify the teaching of subject heading techniques; to provide a rational basis for handling ques- tions of level of specificity, subordination, and inversion; to aid in the development of new headings; and to assist catalogers in handling difficult titles. Probably it would incidentally provide a sounder basis for spreading knowledge of how to use catalogs and indexes and furnish criteria for evalu- ation of lists of headings and of particular catalogs. Recent empirical studies such as those of 244 COLLEGE AND RESEARCH LIBRARIES K n a p p , 1 Quigley, 2 Swank, 3 and V a n H o e - sen,4 will provide material for testing and elaborating a theory, but they cannot alone produce one. Ultimately, the piling up of discrete empirical studies w i t h o u t the sort- ing, criticizing, and tying together of their results, which is the f u n c t i o n of theory, w o u l d lead to f u r t h e r confusion. T h e function of a subject heading is to enable groups of readers to find f r o m the whole body of literature, material which will help satisfy their specific needs. A t - tempts to define subject headings in terms of "books"—commercially published, mono- graphic works—comprise even a m a j o r i t y of the physical units processed. W h a t , then, is the unit to which a subject heading relates? W h a t is a subject? A particular piece of literature is nearly always w r i t t e n for a specific group of people. I t s w r i t i n g and publishing is, in fact, a social process in which a number of individuals or organizations participate. But the boundaries between different activi- ties are neither fixed nor w a t e r t i g h t . As a particular field develops, the people con- cerned w i t h it frequently come to have need for materials t h a t w e r e w r i t t e n for quite different g r o u p s ; thus the workers in a cer- tain branch of economics may find indis- pensable, papers or books that were w r i t t e n originally for mathematicians. O r a title may be useful, less for its f o r m a l subject m a t t e r than for the point of view expressed or generalization made. ( A n article on the economic aspects of the book trade, 5 for example, w o u l d be of considerable use to 1 K n a p p , P . B . " S u b j e c t Catalog in the College Li- b r a r y . " Library Quarterly • 14:108-18, 214-28, A p r i l , J u l y 1944. 2 Q u i g l e y , H . " I n v e s t i g a t i o n of the P o s s i b l e Rela- tionship of I n t e r b r a n c h L o a n to C a t a l o g i n g . " Library Quarterly 14:333-38, October 1944. 8 S w a n k , R . C . " O r g a n i z a t i o n of L i b r a r y M a t e r i a l s f o r R e s e a r c h in E n g l i s h L i t e r a t u r e . " Library Quar- terly 15:49-74, J a n u a r y 1945- 4 V a n H o e s e n , H . B . " P e r s p e c t i v e s in C a t a l o g i n g , with Some A p p l i c a t i o n s . " Library Quarterly 14:100-07, A p r i l 1944. 5 S c h n e i d e r , Isidor, " M o n o p o l y in B o o k P u b l i s h i n g . " New Masses, M a r . 5, 1946, p. 23-24. those concerned w i t h the position and re- sponsibilities of the creative w r i t e r in contemporary society.) M o r e o v e r , new activities, new emphases on old ones, do not develop at r a n d o m . T h e y g r o w out of definite changes—economic, political, tech- nological—in society. T h i s is t r u e even for the development of new specialties in scien- tific fields; while such developments are influenced by the past history and the in- ternal relations of particular sciences, more general social forces are the deciding ele- ments in determining lines of w o r k , w h a t is emphasized or neglected, in even the most " a b s t r a c t " sciences. T h e extreme com- plexity of modern society must not blind us to the fact that there are always patterns, definite—and often predictable—trends, in the development of intellectual activities and, hence, of the demand for printed ma- terials. Subjects, then, are definable in terms of the needs of people w o r k i n g in particular fields, and these are always growing, over- lapping. T h e literature of physics includes all the material that may be useful to physi- cists, whatever its original source and pur- pose. L e t us call the units to which subject headings relate, sectors of literature. A sector is defined as a part of the whole field of literature which is useful to a continuing, socially determined group of people with common interests and activities. F o r the sake of convenience w e shall designate the latter as interest groups. T h e principal value of this concept is that it focuses attention on the people w h o use books, on the actual uses to which printed materials are put, rather than on the books and j o u r n a l articles themselves. A t t e m p t s to define "subjects" w i t h o u t reference to users of libraries are not relevant to cataloging w o r k . J u s t w h a t bearing does this idea have on subject heading w o r k ? H o w , as a practical JULY, 1946 245 matter, are sectors to be defined and subject headings formulated? T h r o u g h familiarity with current activities in particular scien- tific, technical, political, historical, or other fields. Because people are constantly work- ing with them, ideas, concepts, processes, always have names, and the names used by people who are working in a field will usually be the best guide to correct and permanent subject headings. In a few very specialized and rapidly advancing scientific fields—possibly vitamin research, for ex- ample—this may mean daily activity in the field. But in most cases a familiarity with the literature and the way in which it is being used—the activities, trends, relations with other fields—will be sufficient. An Example Consider cartels, for example. A cartel is a specific form of monopoly, defined as an agreement between the heads of two or more firms to control production, allocate mar- kets, a n d / o r fix prices. T h e term has been standardized for at least twenty years and several groups are concerned with the topic; one recent bibliography6 covers 120 pages. Both the Library of Congress and the Read- ers' Guide enter material on cartels (along with that on several other forms of mon- opoly) under the heading " T r u s t s , Indus- trial." But an industrial trust is a different kind of monopoly, one that is now illegal in the United States and so largely of histori- cal interest. L u m p i n g them all together under the same heading is as useful as would be putting the literature on apples and pears under the same term because they are botanically related. A somewhat more complex type of case is illustrated by anti-Semitism. T h e r e is a considerable amount of material on the problems of anti-Semitism and ways of com- 6 C o n o v e r , H . F . Cartels, Combines and Trusts: a Selected List of References. W a s h i n g t o n , L i b r a r y of C o n g r e s s , 1944. batting it. I t is essential that the whole be easily available. T o enter it under a much more general heading such as " J e w s — Political and Social Conditions" is compar- able to burying all the material on geology under the heading "Science." I t may be objected that the use of specific headings in controversial fields would in- volve judgments of the material which a cataloger is not competent to make. But judgments must be made in any case; they are as inescapable as breathing. Continued entry of material such as that mentioned under broader or antiquated headings (thereby implying that the needs of people who use correct terms are not significant) represents as much an intellectual—and in many cases a political—judgment as would use of the correct terms. T h e r e are ra- tional, objectively valid ways of dealing with the unpleasant facts of the world. R e t u r n i n g to specific practical problems, what difference might this approach make in cataloging work ? T h e usual process of formulating a new subject heading is some- thing like this: H e r e is a book on a new subject; can we find a suitable term in an index or encyclopedia? ( A n d there is rarely any attempt to evaluate or criticize the practice, say, of a periodical index.) If not, what word or phrase can be used as a heading? Ordinarily new subject headings are formed by head or senior catalogers who have little if any contact with people who use libraries and who are only occasionally specialists in a particular field. W i t h rare exceptions, the problem of publicizing a new heading is ignored. I n the light of the above discussion, the procedure should probably be somewhat as follows: H e r e is a new body of literature. F o r whom is it w r i t t e n ? T o w h a t groups, for what purposes, will it be useful ? W h a t are the main trends or centers of interest of these groups? W i l l there be much or little 246 COLLEGE AND RESEARCH LIBRARIES material, and what forms will it take ? T o what extent will people who need this ma- terial be aided by older titles now under other headings? W i l l cross-references suf- fice or should additional subject entries be made for some of the older titles? W o r k - able answers can be gotten for all these questions by anyone familiar with current activities in the field. T h e correct subject heading will usually emerge in the process of answering these questions. So will the answer to the question, W h o among our own clientele should be told about new sub- ject headings? Specialized Knowledge Recognition of the importance of close and continuing knowledge of activities in specific fields should bring several changes in the organization of cataloging work. For one thing, it makes clear the signifi- cance of special lists of subject headings. T h e idea that special libraries need special- ized subject headings more than large gen- eral libraries, is hardly valid. Only rarely do special libraries have bodies of material not contained in university and research li- braries. By and large, the same people use both types of institutions. T h e better special lists have value precisely because they have been compiled by librarians who have closer contact with the workers in a par- ticular field and who are more thoroughly acquainted with its literature than catalog- ers in a general library. T h e r e appears to be no good reason why new headings de- veloped by competent special librarians should not immediately be adopted by the larger general libraries. In the universities there is a promising field for experimentation in the use of cer- tain faculty members and research workers on a part-time basis either for consultation or for routine subject heading and classifi- cation work. T h i s would create a number of administrative and training problems, but there is no reason for believing they would be impossible of solution. An im- mediately practical step in the larger li- braries would be the fuller utilization for cataloging work of reference department and subject-matter department workers, as suggested by Lund.7 T h e Subject Catalog- ing Division of the Library of Congress has already made some progress in the recruit- ing of specialists for cataloging work in scientific fields. Moreover, fuller develop- ment of a body of theory should lead to a more extensive standardization of subject headings and, hence, to greater possibilities for centralized and cooperative cataloging. W h i l e there is no single, easy solution for the problem of getting into catalog depart- ments workers familiar enough with vari- ous special fields to catalog adequately materials in those fields, combinations of several administrative steps would make the problem much less overwhelming than it may seem at first sight. I t is quite true that people who have both a working knowledge of one or more fields and some facility in subject heading work will not be available for forty dollars or even sixty dollars per week, but this only takes us to the more general problem—into which we can hardly go here—of the need for sharp increases in all library salaries. I t is worth noting, however, that all available experience indicates that the output of a cataloger who knows a particular field is so much greater than that of a general cata- loger working in the same field, that differ- ences in salaries would be more than covered. Technical Questions Apart from administrative problems, two or three technical points may be noted. 7 L u n d , J. J. " C a t a l o g i n g P r o c e s s in the U n i v e r s i t y L i b r a r y : a Proposal for R e o r g a n i z a t i o n . " College and Research Libraries 3 : 2 1 2 - 1 8 , J u n e 1942. JULY, 1946 24 7 O n e is the question of technical versus popu- l a r terms. T h e textbook proposition t h a t university a n d technical libraries should use technical t e r m s as subject headings w h i l e public libraries should use p o p u l a r ones, is a v u l g a r i z a t i o n of the a c t u a l situation. People are c o n s t a n t l y m o v i n g f r o m one educational level to a n o t h e r . E v e n a club- w o m a n w h o is w r i t i n g a brief paper on i n f a n t i l e paralysis w i l l l e a r n in the process t h a t the correct n a m e f o r t h a t disease is poliomyelitis; incidentally, she will prob- ably also l e a r n t h a t these t w o t e r m s are n o t completely synonymous, t h a t the f o r m e r is occasionally used to cover b i r t h i n j u r i e s . I n general, the c o r r e c t — a n d hence most nearly p e r m a n e n t — t e r m s w i l l be those used by people w h o are w o r k i n g in a p a r t i c u l a r field. T h e indexes to both Biological Ab- stracts a n d Experiment Station Record freely use a m i x t u r e of " p o p u l a r " a n d technical terms, a p p a r e n t l y p r e f e r r i n g the f o r m e r w h e n e v e r they are specific and stable e n o u g h . Inversion T h e n t h e r e is the question of inversion. T h e a r g u m e n t t h a t it is desirable to b r i n g t o g e t h e r in the c a t a l o g several aspects of the same topic ( " I n s u r a n c e , F i r e ; " " I n s u r - ance, L i f e , " e t c . ) 8 involves a confusion of purpose. I t is n o t a f u n c t i o n of the alpha- betical subject c a t a l o g to b r i n g together m a - terial in logically related fields. I n all dual aspect headings the question is, w h i c h f o r m — i n v e r t e d or d i r e c t — i s the correct n a m e f o r the sector to w h i c h it relates? T h e answer is neither a m a t t e r of subjective personal opinion n o r of a b s t r a c t logic, b u t of the purposes f o r w h i c h m a t e r i a l on a topic is w r i t t e n and used. E v e n a casual acquaintance w i t h the l i t e r a t u r e on u n e m - ployment insurance, f o r example, w i l l show 8 M a n n , M . Introduction to Cataloging and the Classification of Books. C h i c a g o , A m e r i c a n L i b r a r y A s s o c i a t i o n , 1943, 2nd e d . , p. 144. 248 CO t h a t the emphasis is almost entirely on the economic and social effects of u n e m p l o y m e n t a n d the place of insurance a m o n g other devices f o r p r o t e c t i n g or cushioning w o r k e r s against it, w i t h only very incidental a t t e n - tion given to the technical aspects of insur- ance as a device f o r d i s t r i b u t i n g risks or losses. W i t h the possible exception of cer- tain chemicals, it is difficult to t h i n k of any case w h e r e inversion is justified by any- t h i n g m o r e t h a n the desire to tie n e w topics to old established headings, t h u s saving w o r k — a c t u a l l y only postponing i t — f o r catalogers. T h e question as to w h e t h e r certain topics should be s u b o r d i n a t e d to l a r g e r topics or given headings of their o w n w i l l , again, be decided p r o p e r l y in t e r m s of a c t u a l use of the m a t e r i a l . Readers' Guide, f o r example, subordinates m a t e r i a l on dismissal pay to the l a r g e r topic " W a g e s " and enters m a - terial on small business firms in the f o r m " B u s i n e s s — S m a l l Business." B u t dismissal pay is a specific problem in labor r e l a t i o n s ; there are several groups of people concerned w i t h it. T h e problems of small business firms are n u m e r o u s a n d complex enough t h a t at least t w o Congressional committees have been concerned largely w i t h t h e m . M a t e r i a l on both these topics w i l l be m a d e most easily available in catalogs and in- dexes by giving t h e m headings of their o w n . O n the o t h e r h a n d , the m a t e r i a l on the educational or health activities of t r a d e unions w i l l best be subordinated to " T r a d e U n i o n s " because the f a c t t h a t the activities reported are being done by t r a d e unions is w h a t gives them significance f o r v a r i o u s groups of readers. Need for Further Study Space does n o t p e r m i t the consideration here of the w o r k r e l a t i n g to subject head- (Continued on page 255) \ LEGE AND RESEARCH LIBRARIES Schools limits its membership to faculties of accredited l i b r a r y schools. T h i s in effect means t h a t those schools w h i c h m i g h t con- ceivably benefit most by association are ex- cluded f r o m the a d v a n t a g e s of an effective means f o r the i n t e r c h a n g e of professional l i b r a r y t e a c h i n g ideas. T h i s association of all l i b r a r y schools w o u l d be similar to the A m e r i c a n L i b r a r y Association f o r general l i b r a r i a n s h i p ; it w o u l d welcome all interested in l i b r a r y educational problems. W i t h detailed k n o w l e d g e of present teaching techniques in use in all l i b r a r y schools a n d w i t h an association a d m i t t i n g the e n t i r e professional l i b r a r y t e a c h i n g per- sonnel, w e w o u l d have the lever and the wheel necessary f o r an e x a m i n a t i o n of w h a t teaching in the field of librarianship should be. A t this point a t h i r d step t o w a r d o u r professional philosophy may be t a k e n by in- v i t i n g practicing l i b r a r i a n s a n d the users of their libraries to c o n t r i b u t e to the u n d e r - s t a n d i n g of the type of l i b r a r y personnel w h i c h should be p r o d u c e d . T h e s e t h r e e steps are in themselves an e n o r m o u s order, and the goal lies still f u r t h e r . T h i s goal of l i b r a r i a n s h i p is well k n o w n . L i b r a r i a n s h i p aims t o m a t e readers and ideas f o u n d in p r i n t e d and n o n p r i n t e d m a t e r i a l s in any w a y t h a t w i l l be f r u i t f u l . W h a t is n o t w e l l k n o w n is t h a t it is m u c h easier to see w h e r e you w a n t to go t h a n to provide and utilize the m e a n s f o r g e t t i n g there. T h e crucial problems in a philosophy of librarianship a r e not scientific or philo- sophical, b u t engineering problems concerned w i t h time, money, and personnel w i t h in- genuity f o r f i t t i n g means to ends. A Theofy of Subject Headings (Continued from page 248) ings of Bliss9 or Kelley 1 0 or of practical rules proposed by V a n H o e s e n . 1 1 B u t several problems needing f u r t h e r investigation should be n o t e d . A t first glance, one m i g h t expect t h a t an increased n u m b e r of headings w o u l d m e a n a m u c h g r e a t e r n u m b e r of cross references, b u t there is some reason f o r think- i n g t h a t f u l l e r use of correct and up-to-date headings w o u l d mean f e w e r see and see also r e f e r e n c e s ; the relative scarcity of both in such a detailed and specialized index as t h a t of Psychological Abstracts is interesting in this connection. T h e relation between the theory suggested above and the classified catalog needs discussion. M y o w n experi- ence, as well as t h a t of H e l e n S t a r r , 1 2 is 9 B l i s s . H . E . Organisation of Knowledge in Librar- ies and the Subject Approach to Books. N e w Y o r k C i t y , W i l s o n , 1939. 1 0 K e l l e y , G . O . Classification of Books: an Inquiry into Its Usefulness to the Reader. N e w Y o r k C i t y , W i l s o n , 1937 1 1 V a n H o e s e n , op. cit. 1 2 S t a r r , H . K . " S u b j e c t H e a d i n g s in a C h a n g i n g W o r l d . " Library Journal 5 9 : 2 ' o s , M a r . 1, 1934- t h a t the use of m o r e specific headings re- duces the average n u m b e r of subject entries per title ( a c t u a l l y , since a cataloger w h o is also a subject m a t t e r specialist can o f t e n omit less essential added or title entries, savings are even g r e a t e r ) ; w h e t h e r this w o u l d hold t r u e f o r all fields is a problem to be investigated. C a t a l o g e r s w h o are also subject specialists w o u l d u n d o u b t e d l y dis- cover legitimate needs w h i c h o u r catalogs do n o t n o w meet ;1 3 on the o t h e r h a n d , they could probably w i t h d r a w l a r g e n u m b e r s of cards r e l a t i n g t o fields w h e r e a d e q u a t e bib- liographies are available. T h e approach to subject headings suggested here implies changes in the o r g a n i z a t i o n of c a t a l o g i n g w o r k a n d in l i b r a r y school c u r r i c u l a . B u t these problems are b e t t e r l e f t f o r f u t u r e dis- cussion. 13 Cf. M c M u r t r i e , D . C . " L o c a t i n g the P r i n t e d S o u r c e M a t e r i a l f o r U n i t e d S t a t e s H i s t o r y . " Missis- sippi Valley Historical Review 31:369-406, D e c e m b e r 1944- JULY, 1946 24 7