略论信息组织中的文献保证原则
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摘要
基于以往对文献保证原则的研究成果及其提出者休姆的论述原文和相关研究文献,阐述文献保证原则的产生背景,提炼文献保证原则的主要内涵——文献而非概念本身是类分的依据、文献著者是分类者而编目员是记录者、图书属性的排序在本质上并无差别,并梳理文献保证原则的演变及其影响。美国国会图书馆分类体系遵照文献保证原则识别新主题词、进行类目修订,具体体现在类型复分、主题复分、主题不同方面的区分、主题关系变化等方面,但该原则存在"文化资本占有者的话语渗透""已类分文献无法随认识而联动"等弊端。我国的文献分类组织应将文献保证原则与科学分类相结合,建设叙词库,注重对主题词词间关系的揭示,确立主题词识别规则。
Based on the research literatures on the principle of literary warrant in the past, by reviewing Hulme's original text and related research literature, the paper elaborates the birth background of the literary warrant principle and refines the main connotation of this principle—the literature rather than the concept itself is a basis for literature classification, the author of the literature is the classifier and the cataloger is the recorder, the ordering of the book attributes is essentially the same, and reviews the evolution of the literary warrant principle and its impact. Combined with the relevant application of the literary warrant principle in the Library of Congress Classification system, it explains how the Library of Congress recognizes new subject words and revises the categories, which are embodied in the classification of categories, thematic division, distinction of different aspects of the theme, and change of the subject relationship; it also points out that the principle has the drawbacks of "cultural capital occupant's discourse infiltration" and "classified literatures cannot be linked with cognition". Finally, it puts forward suggestions for the literary classification organization in China, such as combining the literary warrant principle with scientific classification, constructing the thesaurus, paying attention to disclosure of the relationship between topic words, establishing topic recognition rules, etc.
Based on the research literatures on the principle of literary warrant in the past, by reviewing Hulme's original text and related research literature, the paper elaborates the birth background of the literary warrant principle and refines the main connotation of this principle—the literature rather than the concept itself is a basis for literature classification, the author of the literature is the classifier and the cataloger is the recorder, the ordering of the book attributes is essentially the same, and reviews the evolution of the literary warrant principle and its impact. Combined with the relevant application of the literary warrant principle in the Library of Congress Classification system, it explains how the Library of Congress recognizes new subject words and revises the categories, which are embodied in the classification of categories, thematic division, distinction of different aspects of the theme, and change of the subject relationship; it also points out that the principle has the drawbacks of "cultural capital occupant's discourse infiltration" and "classified literatures cannot be linked with cognition". Finally, it puts forward suggestions for the literary classification organization in China, such as combining the literary warrant principle with scientific classification, constructing the thesaurus, paying attention to disclosure of the relationship between topic words, establishing topic recognition rules, etc.
引文
1 北京大学图书馆学系《图书分类》编写组.图书分类[M].北京书目文献出版社,1983:40.
2 曹鑫.试论图书分类法的两个基本原则:文献保证与用户需求保证——兼评关于分类法路向的若干文献[J].图书馆理论与实践,1987(3):40-44, 47.
3 王育红.文献保证原则与图书分类法[J].图书馆建设,2000(1):47-48.
4 郑惠珍,陈雪华.从文献保证原理的角度探讨中国古代图书分类法[J].图书资讯学刊, 2016(1):87-114.
5 Biographical Information[EB/OL].[2018-05-08].https://public.oed.com/history-of-the-oed/contributors/biographical-information/.
6 Dousa T M. E. Wyndham Hulme's Classification of the Attributes of Books: On an Early Model of a Core Bibliographical Entity[J]. Knowledge Organization,2018,44(8):592-604.
7 Bottomley S. The British patent system during the industrial revolution 1700-1852: from privilege to property[M]. Cambridge: Cambridge University Press, 2014:106.
8 Drake M. Encyclopedia of library and information science, first update supplement[M]. Florida: CRC Press, 2005:292.
9 Richardson E C. Classification, theoretical and practical: together with an appendix containing an essay towards a bibliographic al history of systems of classification[M]. New York: C. Scribner's Sons,1901:69-70.
10 Rodriguez R D. Hulme's concept of literary warrant[J].Cataloging & classification quarterly,1984,5(1):17-26.
11 Hulme E W. Principles of book classification[J].Library Association Record, 1911(13):446-449.
12 Kaiser J.O. Systematic indexing[R]// The Association of Special Libraries and Information Bureaux. Report of proceedings of the third conference held at balliol college, oxford, september 24th-27th, 1926. London: Association of Special Libraries and Information Bureaux,1926:20-44.
13 Hulme E W. On a cooperative basis for the classification of literature in the subject catalogue[J].The Library Association Record,1902(4):317-326.
14 Hulme E W. Principles of book classification[J].The Library Association Record,1912(14):39-46
15 Ranganathan S R. Prolegomena to library classification[M].New York:Asia Publishing House,1967:196.
16 Wilson T D. The work of the British Classification Research Group'[M]//Wellisch H, Wilson T D. Subject Retrieval in the Seventies. Westport, CT: Greenwood Publishing Company,1972:62-71.
17 Olding R K. Wyndham hulme's literary warrant & information indication[M]. Los Angeles: University of California, Graduate School of Library Service,1968:18-19,21.
18 Rodriguez R D. Hulme's concept of literary warrant[J]. Cataloging & classification quarterly,1984,5(1):17-26.
19 Chan L M, et al. Theory of subject analysis: a sourcebook[M]. Littleton, Colorado: Libraries Unlimited,1985:48-49.
20 Beghtol C. Semantic validity: concepts of warrant in bibliographic classification systems[J].Library Resources & Technical Services,1986,30(2):109-125.
21 Duff W M. The influence of literary warrant on the functional requirement for recordkeeping[D]. Pittsburgh: University of Pittsburgh,1996.
22 National Information Standards Organization. Ansi/niso z39.19-2005 (r2010) guidelines for the construction, format, and management of monolingual controlled vocabularies[S]. Baltimore, MD: NISO,2010.
23 Cataloger's Reference Shelf. LCSH: principles of structure and policies for application (3.2 literary warrant)[EB/OL].[2018-06-27].https://www.itsmarc.com/crs/mergedprojects/sub-jhead/subjhead.htm#subjhead/3_1_lcsh.htm.
24 Library of Congress. H180 assigning and constructing subject headings[EB/OL].[2018-03-02].https://www.loc.gov/aba/publications/FreeSHM/freeshm.html.
25 Library of Congress. H187 when to establish a new topical subject heading[EB/OL].[2018-03-02].https://www.loc.gov/aba/publications/FreeSHM/freeshm.html.
26 Library of Congress. H202 authority research for subject heading proposals[EB/OL]. [2018-03-02].https://www.loc.gov/aba/publications/FreeSHM/freeshm.html.
27 Chan L M. A guide to the library of congress classification[M]. Englewood, Colo.: Libraries Unlimited, 1999: 43-45.
28 Goldstein R. Homocons: The rise of the gay right[M]. London, New York: Verso, 2003:版权页.
29 Library of Congress. Marc tags of “homocons: the rise of the gay right”[EB/OL]. [2018-06-19].https://catalog.loc.gov/vwebv/holdingsInfo?searchId=6555&recCount=25&rec-Pointer=0&bibId=13610210.
30 Library of Congress. LC Authorities. Sexual minorities[EB/OL].[2018-06-19].https://authorities.loc.gov/cgi-bin/Pwebrecon.cgi?AuthRecID=6349627&v1=1&HC=20&SEQ=20180-619215840&PID=CFImLmH3x16Fzn-4UE8IiSm-K.
31 Library of Congress. Library of congress classification weekly list 06 (February 9, 2005)[EB/OL].[2018-06-19].http://www.loc.gov/cgibin/gourl?URL=%2Fcatdir%2Fcpso%2Fw-lc05%2F.
32 严文郁.美国国会图书馆及其分类法[J].图书馆学季刊,1929(4):509-538.
① 如1918年出版的图书The unmarried mother; a study of five hundred cases(主题词为“Illegitimacy”),被归入此类。
② 如Silent lives : how high a price? : for personal reflections and group discussions about sexual orientation(2004年出版且入藏,首要主题词为Sexual minorities,类号为HQ73.B63 2004)、Gender politics(2005年出版且入藏,首要主题词为Sexual minorities,类号为HQ73.M58 2005)。
(1)也被学者译为“文献保障原则”,两者皆可。笔者考虑到,文献保障多译为literature guarantee, 主要用于馆藏资源建设中,更侧重主体如图书馆、文献情报中心的藏书建设资金和能力;而“warrant”在牛津词典中的解释为“Justification or authority for an action, belief, or feeling”(某一行为、信念或感觉的依据或授权),literature warrant的含义更侧重于文献的客观存在,表示类目的设置以文献本身而非空洞的概念为依据。因此,本文采用“文献保证原则”,这一用法在马张华、郑惠珍等学者的著述中均有提及,如马张华编著的《信息组织》第三版,郑惠珍的博士论文《中西图书分类原理之比较研究》。
(2)此表格内容由以下文献的内容概括而成:Hulme E. W. Principles of book classification[J].Library Association Record,1911(13):356-358,389-394,444-449.Hulme E. W. Principles of book classification[J].Library Association Record,1912(14):39-46,176-181,216-221.
(3)Rodríguez将其诠释为:一是明确图书的主题内容;二是确立相应的主题词或主题类目;三是将主题类或主题词放置到分类体系中;四是将结果转译成为标记制度。参考来源:Rodriguez R D. Hulme's concept of literary warrant[J]. Cataloging & Classification Quarterly,1984,5(1):17-26.
(4)有关主题词的使用和规定,在Charles A Cutter的Rules For A Dictionary Catalogue(1889年),David J Haykin的Subject Headings: A Practical Guide(1951年)、Lois M Chan的Library Of Congress Subject Headings:Principles Of Structure And Policies For Application(1991年)、美国国会图书馆出版的《SACO 参与者手册》(2007年)和《主题编目手册》(2013年)中有全面、细致的说明。
(5)主题词规范档中引证的图书为Queer Wars :The New Gay Right and Its Critics,该书版权页给出的国会图书馆在版编目数据的主题词中就使用了“Gay conservatives”(数据录入于2004年,该书于2005年出版)。来源:LC Authorities. Gayconservatives[EB/OL].[2018-06-19].https://authorities.loc.gov/cgi-bin/Pwebrecon.cgi?AuthRecID=6186802&v1=1&HC=1&SEQ=20180619120335&PID=auL705v7UaVcBsNMj28z-FeH9d4.
(6)如在俞君立和陈树年主编的分类学经典教材《文献分类学》中有“科学分类即学科分类”“科学分类就是依据一定的原则,把人类知识划分为各个学科或知识门类……”“平时我们所说的科学分类以学科知识作为分类标准……”等表述。在后来的版本中该论述被调整。
2 曹鑫.试论图书分类法的两个基本原则:文献保证与用户需求保证——兼评关于分类法路向的若干文献[J].图书馆理论与实践,1987(3):40-44, 47.
3 王育红.文献保证原则与图书分类法[J].图书馆建设,2000(1):47-48.
4 郑惠珍,陈雪华.从文献保证原理的角度探讨中国古代图书分类法[J].图书资讯学刊, 2016(1):87-114.
5 Biographical Information[EB/OL].[2018-05-08].https://public.oed.com/history-of-the-oed/contributors/biographical-information/.
6 Dousa T M. E. Wyndham Hulme's Classification of the Attributes of Books: On an Early Model of a Core Bibliographical Entity[J]. Knowledge Organization,2018,44(8):592-604.
7 Bottomley S. The British patent system during the industrial revolution 1700-1852: from privilege to property[M]. Cambridge: Cambridge University Press, 2014:106.
8 Drake M. Encyclopedia of library and information science, first update supplement[M]. Florida: CRC Press, 2005:292.
9 Richardson E C. Classification, theoretical and practical: together with an appendix containing an essay towards a bibliographic al history of systems of classification[M]. New York: C. Scribner's Sons,1901:69-70.
10 Rodriguez R D. Hulme's concept of literary warrant[J].Cataloging & classification quarterly,1984,5(1):17-26.
11 Hulme E W. Principles of book classification[J].Library Association Record, 1911(13):446-449.
12 Kaiser J.O. Systematic indexing[R]// The Association of Special Libraries and Information Bureaux. Report of proceedings of the third conference held at balliol college, oxford, september 24th-27th, 1926. London: Association of Special Libraries and Information Bureaux,1926:20-44.
13 Hulme E W. On a cooperative basis for the classification of literature in the subject catalogue[J].The Library Association Record,1902(4):317-326.
14 Hulme E W. Principles of book classification[J].The Library Association Record,1912(14):39-46
15 Ranganathan S R. Prolegomena to library classification[M].New York:Asia Publishing House,1967:196.
16 Wilson T D. The work of the British Classification Research Group'[M]//Wellisch H, Wilson T D. Subject Retrieval in the Seventies. Westport, CT: Greenwood Publishing Company,1972:62-71.
17 Olding R K. Wyndham hulme's literary warrant & information indication[M]. Los Angeles: University of California, Graduate School of Library Service,1968:18-19,21.
18 Rodriguez R D. Hulme's concept of literary warrant[J]. Cataloging & classification quarterly,1984,5(1):17-26.
19 Chan L M, et al. Theory of subject analysis: a sourcebook[M]. Littleton, Colorado: Libraries Unlimited,1985:48-49.
20 Beghtol C. Semantic validity: concepts of warrant in bibliographic classification systems[J].Library Resources & Technical Services,1986,30(2):109-125.
21 Duff W M. The influence of literary warrant on the functional requirement for recordkeeping[D]. Pittsburgh: University of Pittsburgh,1996.
22 National Information Standards Organization. Ansi/niso z39.19-2005 (r2010) guidelines for the construction, format, and management of monolingual controlled vocabularies[S]. Baltimore, MD: NISO,2010.
23 Cataloger's Reference Shelf. LCSH: principles of structure and policies for application (3.2 literary warrant)[EB/OL].[2018-06-27].https://www.itsmarc.com/crs/mergedprojects/sub-jhead/subjhead.htm#subjhead/3_1_lcsh.htm.
24 Library of Congress. H180 assigning and constructing subject headings[EB/OL].[2018-03-02].https://www.loc.gov/aba/publications/FreeSHM/freeshm.html.
25 Library of Congress. H187 when to establish a new topical subject heading[EB/OL].[2018-03-02].https://www.loc.gov/aba/publications/FreeSHM/freeshm.html.
26 Library of Congress. H202 authority research for subject heading proposals[EB/OL]. [2018-03-02].https://www.loc.gov/aba/publications/FreeSHM/freeshm.html.
27 Chan L M. A guide to the library of congress classification[M]. Englewood, Colo.: Libraries Unlimited, 1999: 43-45.
28 Goldstein R. Homocons: The rise of the gay right[M]. London, New York: Verso, 2003:版权页.
29 Library of Congress. Marc tags of “homocons: the rise of the gay right”[EB/OL]. [2018-06-19].https://catalog.loc.gov/vwebv/holdingsInfo?searchId=6555&recCount=25&rec-Pointer=0&bibId=13610210.
30 Library of Congress. LC Authorities. Sexual minorities[EB/OL].[2018-06-19].https://authorities.loc.gov/cgi-bin/Pwebrecon.cgi?AuthRecID=6349627&v1=1&HC=20&SEQ=20180-619215840&PID=CFImLmH3x16Fzn-4UE8IiSm-K.
31 Library of Congress. Library of congress classification weekly list 06 (February 9, 2005)[EB/OL].[2018-06-19].http://www.loc.gov/cgibin/gourl?URL=%2Fcatdir%2Fcpso%2Fw-lc05%2F.
32 严文郁.美国国会图书馆及其分类法[J].图书馆学季刊,1929(4):509-538.
① 如1918年出版的图书The unmarried mother; a study of five hundred cases(主题词为“Illegitimacy”),被归入此类。
② 如Silent lives : how high a price? : for personal reflections and group discussions about sexual orientation(2004年出版且入藏,首要主题词为Sexual minorities,类号为HQ73.B63 2004)、Gender politics(2005年出版且入藏,首要主题词为Sexual minorities,类号为HQ73.M58 2005)。
(1)也被学者译为“文献保障原则”,两者皆可。笔者考虑到,文献保障多译为literature guarantee, 主要用于馆藏资源建设中,更侧重主体如图书馆、文献情报中心的藏书建设资金和能力;而“warrant”在牛津词典中的解释为“Justification or authority for an action, belief, or feeling”(某一行为、信念或感觉的依据或授权),literature warrant的含义更侧重于文献的客观存在,表示类目的设置以文献本身而非空洞的概念为依据。因此,本文采用“文献保证原则”,这一用法在马张华、郑惠珍等学者的著述中均有提及,如马张华编著的《信息组织》第三版,郑惠珍的博士论文《中西图书分类原理之比较研究》。
(2)此表格内容由以下文献的内容概括而成:Hulme E. W. Principles of book classification[J].Library Association Record,1911(13):356-358,389-394,444-449.Hulme E. W. Principles of book classification[J].Library Association Record,1912(14):39-46,176-181,216-221.
(3)Rodríguez将其诠释为:一是明确图书的主题内容;二是确立相应的主题词或主题类目;三是将主题类或主题词放置到分类体系中;四是将结果转译成为标记制度。参考来源:Rodriguez R D. Hulme's concept of literary warrant[J]. Cataloging & Classification Quarterly,1984,5(1):17-26.
(4)有关主题词的使用和规定,在Charles A Cutter的Rules For A Dictionary Catalogue(1889年),David J Haykin的Subject Headings: A Practical Guide(1951年)、Lois M Chan的Library Of Congress Subject Headings:Principles Of Structure And Policies For Application(1991年)、美国国会图书馆出版的《SACO 参与者手册》(2007年)和《主题编目手册》(2013年)中有全面、细致的说明。
(5)主题词规范档中引证的图书为Queer Wars :The New Gay Right and Its Critics,该书版权页给出的国会图书馆在版编目数据的主题词中就使用了“Gay conservatives”(数据录入于2004年,该书于2005年出版)。来源:LC Authorities. Gayconservatives[EB/OL].[2018-06-19].https://authorities.loc.gov/cgi-bin/Pwebrecon.cgi?AuthRecID=6186802&v1=1&HC=1&SEQ=20180619120335&PID=auL705v7UaVcBsNMj28z-FeH9d4.
(6)如在俞君立和陈树年主编的分类学经典教材《文献分类学》中有“科学分类即学科分类”“科学分类就是依据一定的原则,把人类知识划分为各个学科或知识门类……”“平时我们所说的科学分类以学科知识作为分类标准……”等表述。在后来的版本中该论述被调整。
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