College and Research Libraries By J O H N J. L U N D The Cataloging Process in the University Library: A Pro- posal for Reorganisation Mr. Lund is librarian, Duke University Library. A, I O N G the recent developments in the catalog and the cataloging process^ there are two that will undoubtedly be of the greatest significance to those concerned with the organization and administration of university1 libraries. T h e one is the division of the dictionary catalog into an author-title catalog and a subject catalog;2 the other, the division of the cataloging de- partment into a descriptive cataloging sec- tion and a subject cataloging section.3 Neither of these, however, is properly a division, but they represent, rather, the resolution of the catalog and the cataloging process into their original component parts. Furthermore, although the two developments have so far apparently been independent of each other,4 there is a very close correspondence, on the one hand, be- 1 T h e university library is here considered in its function as a scholarly r e f e r e n c e and research li- brary. T h i s function comprises service to f a c u l t y members, research workers, graduate students, and to undergraduates in their advanced work in their " m a j o r " field during the j u n i o r and senior years. T h e other function of a university library, that of pro- viding library service for the general education pro- gram of undergraduates during the freshman and sophomore years and part of the j u n i o r and senior years, though certainly no less important, is entirely distinct from the former function and properly re- quires separate organization and administration. 2 T h i s division has recently been made at the Uni- versity of C a l i f o r n i a ( 1 9 3 8 ) , D u k e U n i v e r s i t y (1940), the U n i v e r s i t y of P e n n s y l v a n i a ( 1 9 4 1 ) , and else- where. 3 This division has been made, among other places, at the New Y o r k Public L i b r a r y and the L i b r a r y of Congress. 4 T h e r e seems to be no example as yet of the two occurring in any one library. tween the author-title catalog and the descriptive cataloging section, and on the other hand, between the subject catalog and the subject cataloging section. A s to the division of the dictionary cata- log, we might very well ask why it did not begin earlier. For we have certainly been aware that author-title and subject entries were intended to serve entirely different purposes5—the former to locate books al- ready identified by author or title and the latter to identify books on particular sub- jects—and since it is just as useful to keep unlike things apart as it is to keep like things together, a priori logic would cer- tainly favor the separation and place the burden of proof on those who proposed combining the two.6 And even as a mere practical device for reminding us of the distinct function of the two types of entry and aiding us in adapting each to its own 0 C f . M a n n , Margaret. Introduction to the Cata- loging and Classification of Books. Chicago, 1930, p. 135 f f . ; and Bishop, William W a r n e r . Practical Handbook of Modern Library Cataloging. 2nd ed. Baltimore, 1924, p. 37 if. 6 It is not easy to determine from the available literature exactly when and why the dictionary form was adopted. One explanation is that the dictionary catalog did not evolve f r o m the combination of separate author-title and alphabetical subject catalogs, but rather that it developed from the author-title catalog alone by the gradual increase in title, in- verted title, catchword, and other added e n t r i e s — t h e accompanying subject catalog in classified form then disappearing as it was superseded by the subject en- tries in the author-title catalog. C f . Cutter, Charles A . " L i b r a r y C a t a l o g s . " Public Libraries in the United States of America . . . Special report, De- partment of the Interior, Bureau of Education, pt. I. Washington, 1876, p. 526-622; also Heiss, R u t h M . The Card Catalog in Libraries in the U.S. before 1876. ( M . S . in L . S . thesis, U . of Illinois, 1938), P. 31-34. 212 C O L L E G E , AND RESEARCH LIBRARIES particular purpose, the division w o u l d like- wise seem justified. Furthermore, w e have seen that much of the talk about simplify- ing and reducing the cost and complexity of the dictionary catalog, w i t h o u t chang- ing its basic form, has been of little avail. Similarly, w e might ask w h y our recog- nition of the t w o distinctly different types of w o r k that make up the cataloging process have not brought about their sepa- ration before n o w . O n the one hand, there is the bibliographical description of the book, w i t h the making of the usual author, title, and other added entry cards, and on the other, the entirely different process of examining the subject matter of the book and determining the subject head- ings and the classification number under which it belongs.7 It is not that w e have been u n w i l l i n g to create additional depart- ments or sections—in fact, it w o u l d seem that nothing short of an active desire for a n e w department could explain the setting up, as is sometimes done, of a separate department for classification, apart from the regular catalog department where the subject headings are assigned. A t any rate, w i t h the division into descriptive cataloging and subject cataloging w e have unquestionably made the first step in the rationalization of the w h o l e cataloging process and are already further along than all our general talk about reducing the cost and complexity of cataloging could ever bring us.8 T h e next important development in the 7 T h e terms " d e s c r i p t i v e c a t a l o g i n g " and " s u b j e c t c a t a l o g i n g " are used to designate these two func- tions, as is done at the L i b r a r y of Congress. Euro- pean librarians have a l w a y s kept the two separate, though they usually also separate the classification of the books on the shelves, since with them the latter is, o f t e n not a matter of subject classification at all. /8iThe f a i l u r e to separate the two types of work has made it impossible to determine the professional level of cataloging work and has likewise made it difficult to state the essential qualifications and the proper training f o r a cataloger. F o r descriptive cataloging and subject cataloging each require their own answers to these questions. JUNE, 1942 organization of the cataloging process w i l l come w h e n the interdependence of the t w o distinctions here mentioned is f u l l y recog- nized. T h e t w o divisions w i l l then be made in the same library and coordinated so that the descriptive cataloging section assumes the responsibility for the author- title catalog and the subject cataloging section for the subject catalog. B u t even w i t h this rationalization of the cataloging process itself, w e shall merely have laid the foundation for the integration of this process w i t h the other library f u n c t i o n s — acquisition and service. For the descrip- tive cataloging done by the cataloging department cannot—in the interests of good management—be separated from the bibliographical work that must be done in the course of ordering and accessioning books, any more than—in the interests of good service—the subject cataloging done by the cataloging department can be sepa- rated from the subject work done by the reference staff, whether by means of the catalog, bibliographies, or their o w n knowledge. Proposal for Reorganization of Functions W e come thus to a concrete proposal for the reorganization of those library func- tions included under the terms "technical processes" and "reference service."9 T h e proposal is simply that the ordering, ac- cessioning, and descriptive cataloging proc- esses be organized as a unified division and that subject cataloging and reference service be likewise organized as a unified division. Instead of creating an additional department by the separation of descriptive from subject cataloging, w e shall thus have greatly reduced the number of administra- 9 W i t h the exception of circulation service, we have taken into account all the major library functions. It must still be remembered, of course, that we are dealing with the university library only as a research or scholarly library (see footnote i ) . 213 tive units and considerably simplified the organization of the library. T h i s simplifi- cation, however, would be only one result of the proposed reorganization—the real justification rests on other considerations. Bibliographical Work and Descriptive Cataloging T h e close connection between the biblio- graphical work done in the process of or- dering and the work that falls under the head of descriptive cataloging is readily apparent. Both involve the establishing of the entry and the identification and enumeration of the bibliographical and physical characteristics of the book. Most libraries have recognized this to the extent that they have attempted to prevent dupli- cation of this work by the order and the cataloging departments. These attempts, however, have not proved particularly suc- cessful, and we still find the catalogers verifying the information secured by the order department if it is passed on to them or securing it anew if it is not passed on. Obviously there would be nothing to be lost and much to be gained by letting the same group prepare the catalog cards for a book for which they had already secured the information needed to check and order it. T h e simplification of records that would result would not be the least of the benefits of combining the two. Such a unified bibliographical department would have a subdivision for the clerical work of writing orders, checking bills, accession- ing, etc., and perhaps also a subdivision for serial publications, without affecting its essential unity. O n the other hand, the combination of subject cataloging and reference work may require some explanation. Once we recog- nize two factors, however, the desirability of combining the two is obvious. In the first place, satisfactory subject cataloging and subject classification in a university library can only be done by persons with advanced academic training in the subjects they deal w i t h ; likewise, satisfactory refer- ence service in a university library can only be done by persons w h o have academic training equal to those whom they serve. And since no one person can be competent in all or even very many fields, we have tried and are still trying to build up a staff of subject specialists in both the cataloging and the reference departments. T h e cost of this duplication of what must neces- sarily be high-salaried persons is unjustifi- able under normal conditions and will become prohibitive in the period we are now entering. Furthermore, within the limits of the staff of each department, it is often impossible to secure coverage of the entire range of subject fields. But by combining the two we shall have elimi- nated this duplication and shall have avail- able twice the number of people to cover the subject fields.10 In the second place, with the continual change in our subject divisions and approaches, the subject cata- log of any particular collection can no longer be regarded as the final and com- plete guide to the subject matter of the collection—and certainly not to the sub- ject material in other collections, which the scholar cannot ignore. T h e personal knowledge and service of the reference librarians and both general and special bibliographies are taking places of at least equal importance with the subject catalog. And proper coordination of the three can certainly best be secured by combining them in one administrative unit. In fact, 10 I n addition to clerical help, each r e f e r e n c e li- b r a r i a n in c h a r g e of a s u b j e c t field or group may- h a v e one or more professional assistants or " u n d e r - s t u d i e s . " I n this w a y new r e f e r e n c e librarians can be t r a i n e d . 214 C O L L E G E , AND RESEARCH LIBRARIES the need for closer cooperation between the reference and cataloging departments has been felt for some time and efforts made to obtain it. F u l l combination of the two, however, has only become pos- sible w i t h the separation of subject from descriptive cataloging. Two Divisions In place of the usual order, cataloging, and reference departments, w e then have t w o divisions—one of professional library work in a technical sense, covering biblio- graphical checking and descriptive catalog- ing, and the other of professional library work in an academic sense, covering subject cataloging and reference service. U n d e r this organization the "processing" of a n e w book w o u l d be carried out somewhat as follows. Preparatory to placing the order, the bibliographers—as w e shall call the assistants in the first division—will, as usual, check the entry, title, and imprint in order to identify the book and prevent duplication, and w i l l make a preliminary card. W h e n the book is received, this card w i l l be revised as necessary to conform w i t h the book, collation added, and the title, editor, and other added entries determined. T h e distribution of books among the sev- eral bibliographers may w e l l be made by language, or by form, rather than by sub- ject. T h e book is then taken over by the reference librarian (or subject cataloger) in whose particular subject field it falls. T h e book is classified, subject headings are assigned—subject to some centralized revision—and the title entered in special lists or checked in printed bibliographies as the reference librarian sees fit. In the course of the subject cataloging procedure the reference librarians actually handle and have an opportunity to familiarize themselves w i t h the books being added to the library in their respective fields. T h i s is undoubtedly one of the greatest values of the arrangement. T h e book then goes to the stacks, the cards are typed, traced, and filed—in the author-title catalog under the supervision of the bibliographers and in the subject catalog under the supervision of the refer- ence librarians.11 Use of L.C. Cards In this basic outline of the "processing" of books there are several points that may need amplification. T h e r e are also certain possible variations and innovations that merit consideration.1 2 T a k e first, for ex- ample, the question of using L . C . cards in a university library. T h e r e is no doubt that the information contained on L . C . cards is very helpful in the descriptive cataloging process and can save a good deal of time. B u t it is certainly reasonable to suppose that if university libraries had been making these cards instead of the Li- brary of Congress, they w o u l d have ar- rived at a different form. A n d since university libraries cannot get L . C . cards for all their books, they are forced to choose between using L . C . form for the cards they make themselves and having t w o different types of cards in their cata- logs.1 3 B u t perhaps w e are worrying too much about the form of descriptive catalog- ing and perhaps consistency is the most 1 1 It may, of course, prove advisable, as is o f t e n done now, to file a temporary card in the author-title catalog as soon as the book is received and the entry established. 12 Some of these would be applicable to other f o r m s of organization than the one here proposed. 13 T h e r e is, of course, also the delay and expense of ordering L . C . cards to be taken into account. W e might have the benefit of the information on the card without necessarily adopting the card itself by simply using the depository catalog (as H a r v a r d does) or if a depository catalog is not available, order- ing one L . C . card f o r each book at the time the book itself is ordered. A n o t h e r possibility would be f o r publishers to supply information f o r cataloging along with each book. JUNE, 1942 215 important consideration. For descriptive cataloging is, after all, only one step in the cataloging process, even though the primary step.14 It is when we come to subject cataloging that we meet the real difficulty. Here the value of the subject headings and classifi- cation numbers on L . C . cards is very doubtful. For while it is possible to make universal descriptive cataloging rules, it is not possible to do the same satisfactorily for subject cataloging. Subject cataloging, including classification, cannot be done once and for all like descriptive cataloging but must be constantly changed and re- vised to meet changing approaches and conceptions. Each library must face and solve this problem in terms of its own peculiar conditions and purposes and the needs of its users—and also must be pre- pared to revise and change the solution continually.15 Perhaps centralized subject cataloging cannot even be satisfactory within a library that has departmental libraries and it should be left to each sepa- rate unit. One reason, undoubtedly, why libraries have used the subject headings on L . C . cards is that they have not had subject catalogers competent to work out their own system of subject headings. T h e combination of subject cataloging and reference work in one department should, however, make this possible. Classification T h e second point that needs special con- sideration is classification and its place in 14 W e must g u a r d a g a i n s t a s s u m i n g that by solving the problem of a descriptive c a t a l o g i n g code or of c e n t r a l i z e d d e s c r i p t i v e c a t a l o g i n g we h a v e t h e r e b y solved the c a t a l o g i n g problem. T h i s is p a r t i c u l a r l y p e r t i n e n t now that we are c o n s i d e r i n g the n e w A . L . A . code and proposals by the L . C . E x p e r i m e n t a l Divi- sion of L i b r a r y Cooperation f o r a c e n t r a l i z e d card- m a k i n g b u r e a u . 1 5 N o one will d e n y that o u r lists of s u b j e c t head- ings a n d o u r classification schemes are in need of revision, if not complete r e w o r k i n g . the processing of a book. If the book could be classified by the descriptive catalogers— instead of the subject catalogers, as we have proposed—we could make a further improvement in the routine, for the des- criptive catalogers could then file their cards in the author-title catalog as soon as the call number was added, before turning the book over to the subject catalogers— thus eliminating perhaps the need for a temporary card.16 A t the same time they could make, say, three or four extra cards to be sent along with the book, to which the subject catalogers could add subject headings before filing them in the subject catalog. But to have classification done by the descriptive catalogers would violate the basic principle by which we are pro- posing to reorganize the processing opera- tions, because separating from the subject cataloging classifications would require descriptive catalogers with the same subject knowledge as the subject catalogers. T h e r e is, however, one way in which classification could be done by descriptive catalogers with no special subject knowl- edge but it would mean either adopting a scheme of subject classification so broad that no particular academic knowledge would be required to classify a book by it,17 or else giving up subject classification on the shelves altogether and choosing 1 6 T r a c i n g s f o r added e n t r i e s in the author-title c a t a l o g could be put on the s h e l f l i s t c a r d by the descriptive c a t a l o g e r s and then sent on to the s u b j e c t c a t a l o g e r s w h o would t r a c e their s u b j e c t e n t r i e s on it b e f o r e it w a s filed in the shelflist. 17 T h i s could v e r y easily be worked out for the d e p a r t m e n t a l libraries of a u n i v e r s i t y l i b r a r y . T h e d e s c r i p t i v e c a t a l o g i n g could be c e n t r a l i z e d in the main l i b r a r y , j u s t a s the o r d e r i n g i s — t h e cards in the u n i o n author-title c a t a l o g simply stamped " d e p a r t - mental l i b r a r y " and filed, and then a c e r t a i n n u m b e r of s u b j e c t cards (also some f o r the departmental li- b r a r y author-title file) g o i n g with the book to the departmental l i b r a r i a n ( w h o f u n c t i o n s as the r e f e r - ence librarian and s u b j e c t cataloger in that field), and she would then do her s u b j e c t c a t a l o g i n g and shelf a r r a n g i n g as she saw best, i n d e p e n d e n t of the main l i b r a r y or other d e p a r t m e n t a l libraries. ( S u c h an a r r a n g e m e n t would parallel a national situation in w h i c h descriptive c a t a l o g i n g is done b y a central a g e n c y , but s u b j e c t c a t a l o g i n g l e f t to each i n d i v i d u a l l i b r a r y . ) 216 C O L L E G E , AND RESEARCH LIBRARIES some factor other than subject as a basis for arranging the books in the stacks— such as order of accession, date of publica- tion, country of origin, size, alphabetical sequence of authors' names, or a combina- tion of any of these. T h e r e is more than a remote probability that we shall event- ually come to the latter, and in any event, with detailed subject classification proving to be less and less useful18 and less and less permanent, some other system based on some more permanent characteristic should at least be considered.19 Another important point that can be discussed further is the manner of making subject entries. One of the chief obstacles to continual and regular revision of the subject catalog is undoubtedly the physical problem of changing the subject headings typed on the cards. But if subject head- ings were not actually typed or written on the cards and instead guide cards were used, the various titles could be refiled from time to time and new headings added and old ones removed with little difficulty. O f course, this would mean that we would have to give up tracing and run the risk of having subject cards in the catalog for books that had been reclassified or with- drawn. Here we would have to weigh advantages and disadvantages against one another.20 18 C f . K e l l e y , G r a c e O. The Classification of Books; an Inquiry into Its Usefulness to the Reader. N e w Y o r k , W i l s o n , 1937. 1 9 F o r e x a m p l e : country of origin w o u l d be a v e r y u s e f u l basis, f o r books published in G e r m a n y in the present period, f o r instance, are o f t e n more impor- tant f o r this f a c t itself than f o r their s u b j e c t matter. C l a s s i f y i n g books first by c o u n t r y of origin, then b y y e a r of publication, and then alphabetically by author, would be e x t r e m e l y u s e f u l f r o m several points of v i e w , besides the f a c t that it would be p e r m a n e n t and would also enable one to find a specific book in the stacks without first l o o k i n g up a call n u m b e r -—something which cannot_ r e g u l a r l y be done with a classification based on s u b j e c t . 20 W e could, of course, l e a v e call n u m b e r s off the s u b j e c t c a r d s altogether and r e q u i r e the u s e r to r e f e r to the author-title catalog to get the call num- ber. T h e i n c o n v e n i e n c e of this w o u l d not be so g r e a t as might be supposed, f o r it has been shown that the s u b j e c t c a r d s are used much less than the author-title cards. JUNE j 1942 Pamphlets and Similar Materials T h e treatment and servicing of pam- phlet and other research material that does not warrant regular cataloging has always been a problem. However, under the pro- posed reorganization with the reference librarians responsible for the subject cata- loging and the subject approach to the material in their respective fields, whether listed in the subject card catalog or not, this material can simply be arranged in groups corresponding to the various subject fields and each reference librarian made responsible for his part of the collection. Since this type of material will not be listed in the author-title catalog, it can go directly to the reference librarians who can supervise its shelving in a special room or section of the stacks and make what- ever special lists or indexes may be neces- sary. In time these collections will develop into what may be called research collec- tions and will include a great deal of material that belongs much more properly in such a collection than in the general stacks.21 For this type of material, then, the reference librarian, with the help of his shelf arrangement, actually takes the place of the subject catalog. And it is quite probable that he will be of more help 2 1 T h e decision as to w h a t sort of material does belong in such a research collection presents some difficulty. It is possible, h o w e v e r , in a u n i v e r s i t y li- b r a r y to draw a distinction b e t w e e n " r e f e r e n c e " material and " r e s e a r c h " material. T h e f o r m e r is material that is still r e f e r r e d to b y specific r e f e r - ences and is still important f o r the original purpose f o r which it w a s w r i t t e n . T h e second is material that is not r e f e r r e d to by specific r e f e r e n c e and which has lost its o r i g i n a l l y intended significance and is important f o r some other r e a s o n — a s a 19th c e n t u r y textbook on c h e m i s t r y , important now o n l y in the study of the history of education. T h e f o r m e r ma- terial should be f u l l y c a t a l o g e d and shelved in the g e n e r a l stack, the latter need not be cataloged by individual pieces and may well be housed together in a room apart f r o m the stacks w h e r e it is available to research w o r k e r s only. T h e r e c o g n i t i o n of this distinction and the possibility of t r e a t i n g " r e s e a r c h " material w i t h o u t r e g u l a r c a t a l o g i n g will enable the library to be more liberal in its c o l l e c t i n g policy and thereby solve a n o t h e r of its v e x i n g problems. C f . T a u b e , M o r t i m e r . " T h e T h e o r y of Book Selection, pt. I . " College and Research Libraries 2:221-25, J u n e 1 9 4 1 ; also " T h e Realities of L i b r a r y Coopera- t i o n . " Library Quarterly 12:246-56, A p r . 1942. 217 to research workers than any subject cata- log could ever be. T h e r e is a further responsibility that the reference librarians will be in an excellent position to assume—that of suggesting new titles for purchase in their fields. It is conceivable that each reference librarian might, in fact, act as the library represen- tative for an academic department or two or more related departments and review their recommendations for new acquisitions before they are passed on for ordering.22 In general, each reference librarian could function as a liaison agent between the faculty and graduate students of his de- partment or departments.23 Conclusion It may seem, then, from one point of view that we have proposed to solve the cataloging problem by eliminating the catalog department. From another point of view, however, we have greatly ex- tended the cataloging function so that it takes in the bibliographical checking proc- ess preparatory to ordering on the one 22 A l l recommendations f o r purchase, h o w e v e r , will u l t i m a t e l y have to go through the hands of one per- son in g e n e r a l c h a r g e of book selection to i n s u r e proper coordination. 23 I t is understood throughout this discussion that separate provisions h a v e been made f o r the g e n e r a l education needs of u n d e r g r a d u a t e s . hand and extends over into the work of the reference department on the other. A t any rate, whatever the new arrangement does to the traditional cataloging depart- ment, it assigns a new importance to cata- loging itself and makes it a more integral part of the library's work. T h e foregoing presentation of the pro- posed reorganization must, of course, be considered as an outline that includes only the basic steps of the processes involved. M a n y details remain to be worked out be- fore it can be put into practice and once the reorganization has been made, further adjustments will be necessary. It is true that the proposed reorganiza- tion will help reduce library administrative costs and that this will be an even more important factor in the immediate future than it is now. Economy, however, has not been the primary reason for proposing the reorganization. T h e ultimate purpose of the reorganization is the improvement of university library service to the faculty and advanced students, by making the con- tents of the library accessible from the point of view of the scholar. T h e aim is to provide, not a librarian's library that the scholar may learn to use, but a scholar's library administered by the librarian. 218 C O L L E G E , AND RESEARCH LIBRARIES