3.

INDEXES GENERATED BY MACHINE--AUTOMATIC DERIVATIVE INDEXING

We have noted, in the earlier statement of the scope of this survey, a distinction
between !l derivative 11 and "assignment 11 indexing. This distinction is related directly tothe question: f, Is what can be done by machine properly termed 'abstracting', 'indexing 1 ,or 'classifying'?" It relates also, as we have remarked, to a continuing controversy far
older than any question of the introduction of machine techniques--that between "word"and "concept" indexing, between "uniterms" if selected directly from the text and"descriptors" in the sense of their being indexing terms selected so as to have "a carefully specified meaning for retrieval f t , ±J to say nothing of contrasts with subject heading
schemes and classification schedules.
Some of the major arguments pro and con derivative (usually word) and assignment(usually concept) indexing will be considered in a subsequent section of this report on the
problems of evaluating indexing methods. Nevertheless, the present popularity of
automatic derivative indexes of the KWIC type, while subject to all the disadvantages
typically cited for all purely derivative indexing systems, does show the actuality of
automatic indexing potentialities and may in fact hold the promise of solving some of thepresent-day problems of subject control.
In this section, we shall consider first the straightforward word extraction techniques used in KWIC type indexes. Possibilities for modified derivative indexing bytitle augmentation, manipulation of word groups and use of special clues in keyword
selection are then discussed, including work by Baxendale, Luhn, and Artandi. Related
research and developments efforts work in automatic abstracting which lend themselvesto derivation of indexing terms includes proposals and experiments by Luhn, Oswald,
Edmunds on, Wyllys, Doyle, and Lesk and Storm, among others. Some comments will
be given on the quality of modified derivative indexing by machine. Automatic derivativeindexing at the time of search, as in the natural language text searching systems ofSwanson, Maron, Kuhns, and Ray, and Eldridge and Dennis, will be discussed in a later
section of this report. U
3. 1

KWIC Indexes

The development of computer-gene rated permuted-title keyword indexes, especiallyin the issuances of Chemical Titles and B. A. S. I. C. (Biological Abstracts-Subjects-In
Context) has been hailed by some as "the miracle of the decade" and "the greatest thing
to happen in chemistry since the invention of the test tube". —' The major reason forthe optimistic enthusiasm is the speed with which the computer can produce can produce
a complete index to some specific set of books, documents or papers so that publicationand dissemination of the index can be prompt and thus serve as an important tool inU
Mooers, 1963 [423], p. 3.
See pp. 132-136.

II
Quoted by D. R. Baker statement in "U. S. Congress, Senate Committee on
Government Operations 11 , I960 [ 6 l 9 l , p. 169.

40

maintenance of truly current awareness. For example, Herner in his 1961 review of thestate-of-the-art of organizing information says:f,

I am told that the American Chemical Society has never had a more successful
basic science publication. The key to the whole thing i s , I believe, the extreme
currency of Chemical Titles. This in turn derives from the speed and simplicityof the KWICprocess. " 1/
Conrad reports as follows:"Reception of B. A. S.I. C. . . . has been so extremely enthusiastic . . . that weare excited by the possibilities of producing permuted title indexes in one ormore additional languages. The creation of a B. A. S.I. C. index in any language
requires only that the titles be translated and punched on cards. Alphabeticalarrangement, permutation and 'type-setting 1 is completely automated and, for
5,000 titles takes only two hours to accomplish. f f 2/
3 . 1 . 1 Applications of KWIC Indexing Techniques
The KWIC type process i s indeed simple and straightforward. The words of theauthor's title are prepared for input to the computer by keystroking, either to punchedcards or to punched paper tape. After being read by the computer, the text of a title isnormally processed against a "stop list" to eliminate from further processing the morecommon words, such as "the", "and", prepositions, and the like, and words so general
as to be insignificant for indexing purposes, such as, "demonstration", "typical","measurements", "steps", and the like. The remaining presumably "significant" or"key" words are" then, in effect, taken one at a time to an indexing position or window,
where they are sorted in alphabetical order. The result is a listing of each such word
together with its surrounding context, out to the limit of the line or lines permitted in agiven format. As each keyword is processed, the title itself is moved over so that thenext keyword occupies the indexing position, and this process is repeated until the entire
title has thus been cyclically permuted.
A number of formats are available in which the length of the line, the position of
the indexing window, and the extent of "wrap-around" (bringing the end of a title in at the
beginning of a line to fill space that would otherwise be left blank) are major variables.
Current examples of KWIC type indexing output are shown in Figures 2 through 7.
Usually, the indexing window is located at or near the center of the line with several
extra spaces to the immediate left or with other devices such as the shading of
B. A . S . I . C. to aid the searcher in scanning down the keywords listed. This isj7
Herner, 1962, [ 2 6 6 ] , p. 10.
2/
Conrad, 1962 [ 1 3 7 ] , p. 378A.

41

VfRVOLTAOE FOR HYDROGEN LIBERATION ON MANGANESE.* • ON THE 0
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ACSA-OOI4-1113
PHRV-6126-8222
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PHV8-0028-1I84
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CANW-6667-6969
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VPIT-21-04-022
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N I C NUMBER GREATE4HALF- L I V E S OF F I R S T E X C I T B O 2 + S T A T E S A T O
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GOUV MAGNE T I C BALANCE FOR USE AT L O W T E M P E R A T U R E S —MOSSBAUER EFFECTON ADMIXTURE NUCLEI AT L O W T E M P E R A T U R E S —ULTRA S O N I C A T T E
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CRYSTALS.•PHOTO ELECTRO L U M I N E S C E N C E O P ZINC S U L F I D E S I N G L E
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42

CRA8-00I6-090I
ZPKH-003S-2424
NEFT-0002-0780
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OANK-0147-0403
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UPZH-0007-1090
BCSJ-0038-2889
ANAL-8887-0949
PISA-00SS-0I8S
IANM-42-04-1S0
VKKZ-00S2-I4S2
ANAL-00S7-0977
RAOK-0004-0419
FTVT-0004-3373
JCPS-8837-2738
AIPT-0140-0404
CHIN-1942-2144
PRLT-0010-0088
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PHRV-0128-2282
PTVT-0004-3449
CANW-0007-0943
OANK-0I47-0170
TKSH-8087-0844
PV0E-42-I1-I09
IGSB-8884-8034B
8APB-0010-0389

SPER-0I12-0348
BCPC-8011-1141
BCPC-0011-1137
OCPC-OOI1-1137
NATU-0197-0097
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JBCH-0238-0044
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AIPT-0I4I-011I
JBCH-0236-48IP
ANVA-0102-0118
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BIJO-0066-6244
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NUPH-0040-0024
JCIN-0042-0014
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OANK-0147-0224
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J08A-0064-I336

CUSC-0031-0SI6
MGFF-6616-6333
NATU-0194-I230
JUPS-0017-1066
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VMUK-0017-0088
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FTVT-0004-3634
JCPS-6637-2413
APAH-0014-01 08
APAH-0014-0I2I
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4427
BODY S U E AND TEMPERATURE SENSITIVIT
6332
bOOY SUPERFICIAL IR RAOIATION WITH S
4398
BODY TEMPERATURE ANO WORK OECREHENT
6335
BODY TEMPERATURE DURING EXERCISE/ EP
6318
BOOY TEMPERATURE IN PACIFIC ISLAND**
7262
BODY TEMPERATURE OF RABBIT/ ENVIRONM
6343
BODY TEMPERATURE. INFLUENCE OF ENVIR~
6349
BOOY TEMPERATURE* OXYGEN CONSUMPTION
6303
BODY TEMPERATURES ANO HEART RATES OF
6321
BOOY TEMPERATURES IN ANESTHETIZED MA
6341
BODY WATER ANO HEAT POLYPNEA IN DOGS
6327
BOOY WEIGHT/ CHANGES IN SPIOER NEBS8492
BODY. ITS PLACE IN PSYCHOLOGICAL AND
6073
BODY/ DATA ON THE COMBINEO EFFECT OP
4431
BOOY/ EXPERIMENTAL RESEARCHES ON THE
3961
BODY/ THE PATHOGENESIS OF HOG CHOLER
7361
BOGS/ OBSERVATIONS CONCERNING THE Hi
7363
BOHUSLAN/
7656
BOHUSLAN, WESTERN SWEDEN. SOME NOTES
7664
BOILED CYLINDER BONE GRAFT REPLACEME
6487
BOLGfcn/ PALYNOLOGIC RESEARCH IN THE
7678
BOLIVIA. DIATOMSa BACILLARIOPHYCEAEo
7586
BOLSHOI LYAKHOV ISLAND NOVOSIBIRSK/7654
BOMB EXPLOSION. RADIO-CHEMICAL ANALY7137
BOMBAY STATE/ CONTRIBUTIONS TO OUR K
759B
BOMBAY-MAHARASHTRA/ A NEW SPE
7604
BOMBAY/
7100
BOMBYCILLA-GARRULUS IN CAPTIVITY/ OS
8540
BONOS BETWEEN PROTEIN SUBUNITS/ ACTI
8155
BONOS/ THE BIURET REACTION. CHANGES
4724
BONE BANK IN THE DIAPHYSEAL OSTEOSYN
5886
BONE CHANGES IN CUSHINGS SYNDROME AN
5693
BONE DISEASE/ METABOLIC STUDIES IN A
5897
BONE DYSTROPHIES IN CHRONIC RENAL DE
5889
BONE FROM HETEROGENEOUS BONE BANK IN
5886
BONE GRAFT REPLACEMENT IN FEMORAL OE
6487
BONE IMPLANTATION IN DOGS/ THE RESPO
5894
BONE MARROW ANO BUFFY COAT CULTURES/
7419
BONE MARROW CELLS IN VITRO. EFFECT 04433
BONE MARROW CELLS ON THE EFFICIENCY
4464
BONE MARROW DURING ACUTE RADIATION S
4428
BONE MARROW GRAFTING AS TREATMENT OF
4470
BONE MARROW IN THE RAT ANO THE MOUSE
4416
BONE MARROW IN THE TREATMENT OF ADVA
4479
BONE MARROW OF ALBINO RATS UNDER THE
5676
BONE MARROW REPLACEMENT. A SYMPOSIUM
4479
BONE NARROW REPLACEMENT. A SYMPOSIUM
4470
BONE MARROW REPLACEMENT. A SYMPOSIUM
4465
BONE MARROW REPLACEMENT. A SYMPOSIUM
4431
BONE MARROW TRANSPLANTATION UNDER CO
6858
BONE MARROW/ EXPERIMENTAL INVESTIGAT6958
BONE TO CULTUREO CALF BONE iMpLANTAT5894
BONE. ALPHA RADIOGRAPHIC AND MICRO R
5902
BONE/ AEROBIC M
5879
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5878
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4647
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7566
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6520
BONY LABYRINTH ANO THE CAUOAL CRANIU
6495
BONY ORBIT/ A SIMPLE DEMONSTRATION
6499
BOOBY/ TEMPERATURE REGULATION IN THE
6323
BOOSTER DOSE OF DIPHTHERIA AND TETAN
7073
BOOSTER DOSES OF THE TISSUE ANO SERU
6803
BORATE ION ON THE OXIDASE ACTIVITY 04862
BORDERLINES BETWEEN HYPER TENSIVE 01
5608
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7707
BOROETELLA-PERTUSSIS/ A NEW METHOD F
6878
BORDETELLA-PERTUSSIS/ SOME NOTES ON
6649
BORNE DISEASES/
7131
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7144
BOTANICAL COMPOSITION OF PRAIRIE VEG
4580
BOTANICAL COMPOSITION/ EFFECTIVENESS
7909
BOTANICAL EXPEDITION/
4203
BOTANICAL NOTES/
7637
BOTHIOAE IN THE MEDITERRANEAN/ ARNOG
8520
BOTTLE-NOSEO WHALE. HYPEROOOON-PLANI
8562
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7552
BOUILLAUDS DISEASE ANO IN NORMAL IND
6908
BOUND ASCORBIC ACIDa ASCORBIGENa FRO
8115
BOUNO NUCLEOTIDE AND CALCIUM OF G- A
4824
BOUNDARY BETWEEN THE NORWEGIAN ANO T
8515
BOVINE AORTA/ ISOLATION
4795
BOVINE BACILLI.a ITS RELATIVE FREGUE
6909
BOVINE BLOOO PLATELETS/ STUOIES IN A
8291
BOVINE BRUCELLOSIS IN THE DEPARTMENT
7376
BOVINE COCCIDIOIDOMYCOSIS/
7417
BOVINE CUTANEOUS PAPILLOMATOSIS/ FUR
7442
BOVINE ENTERO VIRUS/ A SUBSTANCE IN
6632
BOVINE ENTERO VIRUSES AND INFECTIOUS
7431
BOVINE ENTEROVIRUSES. TENTATIVE SCHE
7266
BOVINE EPIOERMAL CELLS/ ANTIGENICITY
7466
BOVINE FOETAL FLUIDS WHICH STIMULATE
7432
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5175
BOVINE KERATO CONJUNCTIVITIS. ETIOLO
7391
BOVINE KIDNEY CELL SUSPENSIONS/ GROW
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BOVINE K10NEV CULTURE CELLS INFECTED
4989
BOVINE KIDNEYS ANO BLOOO AS RELATED
7392
BOVINE LEPTOSPIROSIS/ EVALUATION OF
7355
BOVINE LEUKOSIS IN SWEDEN/ STUDIES 07443
BOVINE LEUKOSIS/
7389
BOVINE LEUKOSIS/
7384
BOVINE MALIGNANT CATARRHAL FEVER IN f 7279
BOVINE MAMMARY 6LAN0/
7246
BOVINE MASTITIS/
7364
BOVINE PERI PNEUMONIA/ NOTE ON INTRA
7445
BOVINE PHAGOCYTES/ THE CHEMICAL 6ASI
7452
BOVINE RHINO TRACHEITIS VIRUS AND PA
7348
BOVINE RHINO TRACHEITIS VIRUS/ SEROL
7431
BOVINE RHINO TRACHEITIS VIRUS/ THE R
7337
BOVINE SERUM ALBUMIN BY THIOCYANATE4791
BOVINE SERUM FOR FRESHLY CULTUREO BO
7441
BOVINE SHIPPING FEVER/ STUDIES ON TH
7387
BOVINE STAPHYLOCOCCAL MASTITIS I. CH
7413
BOVINE SUBMAXILLARY GLAND EXTRACT/5913
BOVINE SUBMAXILLARY MUCOIO/ QUANTITA
5912
BOVINE TUBERCLE BACILLI/ STUDIES OF
7441
BOVINE TUBERCLE BACTERIA/ NEW METHOD
6966

SERUMS FROM INTRADERMAL
US/ RESULTS OBTAINED IN
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CC1 ASSOCIATED WITH THE
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OR UP SEVERELY RETAROEO
NO MASCULINITY IN YOUNG
VERY OF THE VICINITY OP
TIMULATES THE GROWTH OFRMETUM HELIANTHENEfOSUH
OlSCASEa/ OBLITERATIVECHENG.-19610 TREMATODA.
S AND EVOKED ELECTRICALBEHAVIORAL EFFECTS ANOYRIC ACIOa G A B A D IN THE
LIPID BIO SYNTHESIS IN
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N OP SUBSTRATE-SPECIFIC
f MORPHOOENIC ACTION OF
F P SUBSTANCE ANO OTHER
STERASE ACTIVITY IN RATSES FOLLOWING SELECTIVE
ON THE LOCALIZATION OF
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STUDIES ON ACID-SOLUBLE
AND LACTIC ACID IN THE
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FREQUENCY 00UBLING IN ANISOTROPIC FERRITES. ( SINGLE CRYSTAL ZINC12)- YTTRIUM)MAGNETIC SPIN PLANES IN MAGNETITE CRYSTAL.
MULTIPLE THIN DOMAINS ANO DOMAIN MALLS IN NICKEL- OXIOE CRYSTAL.
PARAMAGNETIC RESONANCE OF THE COBALT ION IN RUTILE SINGLE CRYSTAL.
AGNETIC AWSOTROPY MEASUREMENTS OF ANNEALED NICKEL- OXIDE CRYSTAL.
A NEW APPARA
TUS FOR MEASURING MAGNETIZATIONS. APPLICATION TO A COBALT CRYSTAL.
PARAMAGNETIC R
ESONANCE ABSORPTION OF DIVALENT NICKEL IN CORUNDUM SINGLE CRYSTAL.
EFFECT
OF DOMAIN WA
LL ON SLOW NEUTRON SCATTERING BY A UNIAXIAL FERROMAGNETIC CRYSTAL.
MAGNETIC ANNEALING E
FFECT AND THE ORDERING PROCESS IN A NICKELt3> IRON SINGLE CRYSTAL.
MAGNETIC BEHAVIOR OF A TETRAGONAL ANTIFERROMAGNETIC CRYSTAL. ( THEORETICAL )ISTRIBUTION OF DISLOCATIONS OVER THE CROSS SECTION OF THE CRYSTAL. /PART-2. EDGE AND SCREW DISLOCATIONS, D
RELAXATION OF TRIVALENT ERBIUM IN CAOMIUM- IR0N(2) SINGLE CRYSTAL. /RAMAGNETIC RESONANCE AND SPIN-LATTICE
EARTH-DOPED YTTRIUM IRON GARNET. / CONTRIBUTION OF STATIC CRYSTAL-FIELD EFFECTS TO THE LINE-WIDTH IN RAREOLYCRYSTALLINE MANGANESE- ZINC- FERROUS FEZ PERMEABILITY^ CRYSTALLINE ANISOTKOPY AND MAGNETOSTRICTION OF P
RITE- MAGNETITE ANO MAGNESIUM FERRITE- MAGNETIT/ MAGNETIC CRYSTALLINE ANISOTROPY IN THE SYSTEMS NICKEL FER
CRYSTALLINE ELECTRIC FIELOS IN SPINEL-TYPE CRYST
ALS. ( LITHIUM(0.5I- ALUMINUM!2.5) OXYGENIC) )D.
HYDROTHERMAL CRYSTALLIZATION OF YTTRIUM- IRON GARNET ON A SEE
SOLUTION VANADIUM- 0XYGENI4)- COBALTC2-2X)- NICKEL (2X1/ CRYSTALLOGRAPHIC ANO MAGNETIC STUDY OF THE SOLIDMAGNETIC PROPERTIES OF POTASSIUM MANGANESE!III FLUORIDE. PART-1. CRYSTALLOGRAPHIC STUDIES.
TEMPERATURE DEPENDENCE OF M
ICROWAVE ACOUSTIC LOSSES IN YTTRIUM IRON GARNET. ( SINGLE CRYSTALS >R- CHLORIDE OIHYDRATE* COBALT-CHLORIDE HEXAHYDRATE SINGLE CRYSTALS ) /IVITY IN AN ANTIFERROMAGNET. ( COPPE/IENTAVION ANO ON THE METHOD OF DEMAGNETIZATION IN SINGLE CRYSTALS AND A POLYCRYSTAL OF 0.5PERCENT ALUMIN/
BALANCE FOR MEASURING ABSOLUTE SUSCEPTIBILITIES OF SINGLE CRYSTALS AND DILUTE SOLUTIONS. /SITIVE MAGNETIC
ON, AND PLASTIC DEFORMATION. COERCIVITY OF NICKEL SINGLE CRYSTALS AS A FUNCTION OF TEMPERATURE* ORIENTATISYMMETRY OF TRANSITION METAL IMPURITY SITES IN CRYSTALS AS INFERRED FROM OPTICAL SPECTRA.
SPECIFIC HEATS OF SINGLE COPPER- MANGANESE CRYSTALS BETWEEN 1.4 AND 5K.
GROWTH OF ALPHA- IRON SINGLE CRYSTALS BY HALOGEN REDUCTION.
PART-1 A NEW METHOD OF PREPARING MAGNETITE SIN/ GROWTH OF CRYSTALS BY THE CHEMICAL TRANSPORT OF MATERIAL.
L/ MAGNETIZATION PROCESS IN UNIAXIAL FERROMAGNETIC SINGLE CRYSTALS FOR THE CASE OF A VERTICAL MAGNETIC FIE
ESE OXIOE* ALUMINUM OXIDE* MANGANESE SPINEL AND MAGNETITE CRYSTALS FROM 3 TO 300K. /CONDUCTIVITY OF MANGANTIONS.
GROWTH SEQUENCE OF GADOLINIUM-IRON GARNET CRYSTALS IN MOLTEN LEAD OXIDE- BORON- OXIDE SOLU
FORMATION OF MAGNETOPLUMBITE SINGLE CRYSTALS IN THE PRESENCE OF THALLIUM OXIDE.
ELECTRON SPINRESONANCE TRIVALENT IRON AND DIVALENT MANGANESE IN SINGLE CRYSTALS OF CALCIUM OXIDE.
MICROWAVE RESONANCE LINEWIOTH IN SINGLE CRYSTALS OF COBALT-SUBSTITUTED MANGANESE FERRITEIMENSIONS.
DEPENDENCE OF THE RESONANCE FIELD IN SINGLE CRYSTALS OF FERR1TES ON TEMPERATURE AND SAMPLE D/OF TITANIUM ON THE LOW TEMPERATURE TRANSITION IN NATURAL CRYSTALS OF HAEMATITE. < ELECTRON SHADOW METHOD/R U B L E WAVELENGTH.
MAGNETIC ANALYSIS OF SINGLE CRYSTALS OF IRON BY ELECTRON DIFFRACTION WITH VA
IATION WITH OEMA/ INITIAL PERMEABILITY OF SINGLE AND POLY CRYSTALS OF IRON- 5 PERCENT ALUMINUM ANO ITS VAR
MAGNETORESISTANCE OF SINGLE CRYSTALS OF TRANSITION METALS.
FERRITE CRYSTALS USING AN ARC IMAGE FURNACE.
OPERTIES.
THERMODYNAMIC THEORY OF CRYSTALS WITH FERROELECTRIC AND FERROMAGNETIC PRDISLOCATIONS IN FERRITE SINGLE CRYSTALS WITH HEXAGONAL STRUCTURE.
ACOUSTIC PARAMAGNETIC RESONANCE IN CRYSTALS WITH IONS IN S-STATE.
PHONON-MAGNON INTERACTION IN MAGNETIC CRYSTALS.
SYMMETRY PROPERTIES OF WAVE FUNCTIONS IN'MAGNETIC CRYSTALS.
DISORDER STRUCTURE IN TERNARY IONIC CRYSTALS.
X-RAY AND MAGNETIC STUDIES OF CHROMIUM- OXYGEN(2) SINGLE CRYSTALS.
THEORY OF THE MAGNETIC SCATTERING OF SLOW NEUTRONS IN CRYSTALS.
MAGNETIC SPIN LEVELS IN MAGNETITE CRYSTALS.
NUCLEAR ORIENTATION IN ANTIFERROMAGNETIC SINGLE CRYSTALS.
THEORY OF NUCLEAR ACOUSTIC RESONANCE LINE SHAPE IN CUBIC CRYSTALS.
ON MAGNETIC RESONANCE SATURATION IN CRYSTALS.
PARAMAGNETIC RESONANCE OF NICKEL IONS IN DOUBLE- NITRATE CRYSTALS.
ASYMMETRIC SHAPE EFFECTS IN DIA- AND PARAMAGNETIC CRYSTALS.
GROWTH OF YTTRIUM-ALUMINUM GARNET SINGLE CRYSTALS.
RESEARCH AND DEVELOPMENT OF YTTRIUM IRON GARNET SINGLE CRYSTALS.
GROWTH OF REFRACTORY OXIDE SINGLE CRYSTALS.
GROWING YTTRIUM IRON GARNET SINGLE CRYSTALS.
D
IFFUSION OF IRON AND CHROMIUM IN CORUNDUM ANO RUBY SINGLE CRYSTALS.
EFFECT OF SIXTH OEGREE CUBIC FIELO ON RARE-EARTH IONS IN CRYSTALS.
THE
ALENT CHROMIUM AND IRON RELAXATION TIMES IN RUTILE SINGLE CRYSTALS.
TRIVWAVES IN RHOMBIC ANTIFERROMAGNETIC AND WEAK FERROMAGNETIC CRYSTALS.
SPINC INTERACTION OF CERIUM ANO COBALT IONS IN DOUBLE NITRATE CRYSTALS.
MAGNETI
IC DOMAIN PATTERNS ON NICKEL-COBALT ALLOY ANO PURE COBALT CRYSTALS.
FERROMAGNETNEALING EFFECT ON THE AN1SOTROPY OF COBALT FERRITE SINGLE CRYSTALS..
MAGNETIC ANRESONANCE OF TRIVALENT IRON IONS IN SYNTHETIC ZINC- OXIDE CRYSTALS.
PARAMAGNETICANCE OF DIVALENT MANGANESE IONS IN SILVER CHLORIDE SINGLE CRYSTALS.
PARAMAGNETIC RESONATTERNS ON TWO-PHASE NICKEL- COBALT ALLOY AND PURE COBALT CRYSTALS.
FERROMAGNETIC DOMAIN P
OF TRIVALENT IRON IONS IN SYNTHETIC CUBIC ZINC- SULPHIDE CRYSTALS.
PARAMAGNETIC RESONANCE
CTRON NUCLEAR DOUBLE RESONANCE OF PARAMAGNETIC DEFECTS IN CRYSTALS.
FREQUENCY SPECTRA OF ELEPY OF THE FERROMAGNETIC PRECIPITATE IN GOLO-NICKEL SINGLE CRYSTALS.
OBSERVATION BY ELECTRON MICROSCO
UNO-STATE POPULATION CHANGES OF NEODYMIUM IN ETHYLSULFATE CRYSTALS.
DIRECT OPTICAL OETECTION OF THE GROCREEP AND BASCULATION EFFECTS IN IRON- ALUMINUM SINGLE CRYSTALS. ( DEFECTS I) )CRYSTALLINE ELECTRIC FIELOS IN SPINEL-TYPE CRYSTALS. ( LITHIUMC0.5)- ALUM1NUM(2.5) OXYGEN(4ELASTORESISTANCE EFFECT IN IRON SINGLE CRYSTALS. 1 MAGNETOSTRICTION ) .
STARK EFFECTS AND SPIN-PHONON INTERACTION IN PARAMAGNETIC CRYSTALS. f THEORETICAL )LORIDE FROM II TO 300K. MAGNETIC ORDERING IN LINEAR CHAIN CRYSTALS. /AND ENTROPY OF COPPER AND CHROMIUM CH
SORPTION AND MANGANESE- MAGNESIUM- COBALT- FERRITE SINGLE CRYSTALS. /L POWER FOR THE CASE OF SUBSIDIARY AB
THE FERRIMAGNETIC RESONANCE LINEWIOTH OF LITHIUM FERRITE CRYSTALS. /L* THERMAL* ANO CHEMICAL TREATMENT OFTERIAL. PART-1 A NEW METHOD OF PREPARING MAGNETITE SINGLE CRYSTALS- /STALS BY THE CHEMICAL TRANSPORT OF MA
ON THE MAGNETIC DOMAIN STRUCTURE OF IRON- SILICON SINGLE CRYSTALS. /TERNAL STRESSES AND OF FIELD STRENGTH.
PORATION OF ALPHA- HEMATITE INTO MANGANESE FERRITE SINGLE CRYSTALS. EFFECT ON DISLOCATION DENSITY.
INCOR/FECTS IN YTTRIUM- IRON AND GADOLINIUM-IRON GARNET SINGLE CRYSTALS. PART-1. ETCHING AGENTS FOR GARNETS* 0/
LOW-INDEX FACE/ DISLOCATIONS IN MANGANESE FERRITE SINGLE CRYSTALS. PART-1. OBSERVATION OF DISLOCATIONS ON
ISTRIBUTION OF / DISLOCATIONS IN MANGANESE FERRITE SINGLE CRYSTALS. PART-2. EDGE AND SCREW DISLOCATIONS* D
TRIC PROPERTIES.
SYMMETRY OF CRYSTALS* EXHIBITING FERROMAGNETIC AND FERROELECLD SPLITTINGS OF DIFFERENT IRON COMPLEXES. ( PARAMAGNETIC CRYSTALS* GARNETS IZERO FIE
OF ORIENTED NUCLEI. ( FERROMAGNETIC OR ANTIFERROMAGNETIC CRYSTALS* THEORETICAL ) /MA RAYS FROM ASSEMBLIESSUPERCONDUCTIVITY IN THE CUAL2CC16) CRYSTAL CLASS.
FUNCTION ANO RELATED NONCROSSING POLYGONS FOR THE SIMPLE- CUBE LATTICE. HIGH-TEMPERATURE ISING PARTITION
CE IN RUBIDIUM- MANGANESE- IRON!3). OISCOVERY OF A SIMPLE CUBIC ANTIFERROMAGNET* ANTIFERROMAGNETIC RESONAN
FERRO- AND ANTIFERROMAGNETISM IN A CUBIC CLUSTER OF SPINS.
ADOLINIUM ION.
CUBIC CRYSTAL FIELD SPLITTING OF THE TRIVALENT G
THEORY OF NUCLEAR ACOUSTIC RESONANCE LINE SHAPE IN CUBIC CRYSTALS.
TTICE RELAXATION OF S-STATE IONS* DIVALENT MANGANESE IN A CUBIC ENVIRONMENT. I THEORETICAL 1
SPIN-LASPIN WAVE THEORY FOR CUBIC FERROMAGNETICS PART-3 MAGNETIZATION.

Figure 4.

Sample* Bell Laboratories Format
44

19-06604-03606-06212-04606-06317-03212-01601-07003-03106-02704-07312-05711-02004-06804-14704-091
18-00301-06405-035
11-11306-05003-06517-01903-00716-031
16-02918-01918-02202-09716-02718-00218-02112-03011-08111-03201-00903-06203-07109-00618-01302-09504-08212-00201-02101-02201-06301-06501-09704-03506-014
11-11512-00812-03614-01518-00118-01518-02018-02412-03214-04012-03106-00505-03810-01504-10812-02412-04410-02212-02512-01405-02214-01203-07304-09103-04313-00516-02311-08211-08918-02210-01704-02504-01204-07204-07301-02412-01513-00615-06202-06706-03802-06513-051
11-11$
12-00502-011

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A SYNTHETIC MACROMOLECULE ON THE ERYTHROCYTES OF THE BLOOD
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growthofEscherichia

coll.

actionrtv«rttdbyglutathione

}*

actI

deoxy uridine Inhibit growth of Escherichia coll* action reversed by uridine
cytldlne
growth of Staphylococcus aureue* Escherichia coll* Salmonella typhosa. Paaturella aultoclda
plaeltc acid In call walla of Eachertchla colli Increaaes content of N-ecetyl haxos aatn
content of N—acetyl haxoa salno estsrs snd dlsatno plaellc acid In acid—eoluble frectlon oeatlI general aneathattc decreaaea urinary output and Incr
AFTER GENERAL ANESTHESIA WITH ESTIL.
cycle pentyl proplonete end eetre dl ol valerate horaone ceuaa edeaa aad thickening af
THE TERATOGENIC ACTION OF ESTRADIOL ANO THYROXINE ON MUELLER'S DUCT IN THE CHICKEN E
Increeses sxcrstlon of sstrone estrsdlol estrlol snd totsl nsutrsl 17- ksta ataralda In
eatradlol Inhibits foraetton of Mueller's duct of chicken
eetredlol with thyroxine strongly Inhibit foraatlon of at
excretion of estrone estrsdlol sstrlol snd totsl neutral 17- keto aterolde In urine of yo
URINE ESTROGEN RESPONSES TO HUMAN CHORIONIC GONADOTROPIN IN YOUN
aethoxyeatra—1*3*5—trl ene has estrogenic ectlon
progeststtonsl ectlon on laaature estrogen-prlaed rebblt and doea not Inhibit growth of adreprogeatatlanal action on laaature estrogen—prtaed rebblt given orally
progeatat!onal action on laaature estrogen-prtaed rabbit given orally
progestetlonal action on laaature eatrogen-prtaad rebblt given orelly
action on laaature rabbit [eatrogen—prlaed] given subcutsnsously
increases excretion of estrone estrsdlol estrlol and total neutral 17- keta ate
phenyl)-2-(l»o propyl aalno) ethanol have hypotensive ectlon on barbiturate narcotised
2-dt aethyl ealno ethenol Increeses Incorporation of phoephorus Into phoapha
THE EFFECTS OF 2-DI METHYL AMINO ETHANOL ON BRAIN PHOSPHO LIPID METABOLISM
sulfate choline phenyl ether bromide OMPP end hist aalne ecld phosphate In tsol
sterone* less sffecttve then ethinyl teeto stsrone aoderetely hsvs progeststtonsl ectlo
acre effective then ethinyl teste stsrone strongly hss progeatatlanal actlaa ostsrone* equal In action to ethinyl teato sterone etrongly have pragestattonal actlan
ANTAGONISM OF LYSERGIC ACID 01 ETHYL AMIDE BY CHLORPROMAZINE ANO PHEN OXY BENZ AMINE*
recognition of lyeerglc ectd dl ethyl eatde In huaan If given alaultaneously
recognition of lyeerglc ectd dt ethyl eatde In huaan only If given prevloua to latter
cetechol eatnes caused by phen ethyl aalne' catechol

aminescaused

by

phen

ethyl

amine

cetechol aatnee cauaad by phen ethyl aalne and doee not Inhibit secretion of catechol aal
catechol eatnes ceussd by phen ethyl eatn'e nicotine end
carbacholaore effective then a-3-(2-dt ethyl ealno ethyl) aalno traptne bis aeth Iodide has M e e t
i-3**{ 2-dt ethyl sat no ethy«j ea^ne *rojp!«e bis aeth Iodide* acre off
eubetltuted bensyl and phen ethyl hydr sstnss have toxic Setten [LOgg 292*4000t* 4004*
trt ethyl tin end trl ethyl lead very strongly Inhibit metabolism of glucose by
THE ACTION OF TRI ETHYL TIN* TRI ETHYL LEAD* ETHYL MERCURY ANO OTHER INHIBITORS ON THE META
OF TRI ETHYL TIN* TRI ETHYL LEAD. ETHYL MERCURY AND OTHER INHIBITORS ON THE METABOLISM OF BR
ethyl aercury chloride ehlorproaaxtncaelontc ectd [as strt ethyl tin end trj ethyl lend very strongly Inhibit aetebo
THE ACTION OF TRI ETHYL TIN* TRI ETHYL LEAD* ETHYL MERCURY ANO OTHER INHIBIT
than e-3-(2-dt ethyl amino ethyl) aatno tropins bis aeth Iodide has nlcottnta blockln
6-3-(2-dl ethyl ealno ethyl) aalne tropins bis aeth Iodide* aore effective thangiven ee eelte with dt bensyl ethylene dleatne
a—9- ethyl-2*- hydroxy—2*5—dl aethyl—6*7- benso aorphen end 6aorphen end 6- 5*9-dt aethyl-2- ethyl-2«- hydroxy-6*7-benzo aorphan weekly hove toxic ectll-(2-p- ealno phenyl) ethyl-2- aethyl-3- phenyl-3- propton oxy pyrrolidine hes

Figure 5.

Sample Page, Cliemical Biological Activities
45

ABSORPTION OP D-CLUCOSE BY SEGMENTS OF 1NTESTINE FROM ACTIVE ANO HIBERNATING. IRRAOIATED ANO
NON-IRRADIATED GROUNO SQUIRRELS. CITELLUS TRIDECEMLINEATUS
NASA N63-11002IK) $2.60 0726
NON-ISOTHERMAL CORRELATIONS IN A NON-ISOTHERMAL PLASMA
AO-290 053(K) SI.10 0196
INVESTIGATION OF MICROWAVE NON-LINEAR EFFECTS
NON-LINEARUTILIZING FERROMAGNETIC MATERIALS
AD-290 572(K) $2.60 0487
BIBLIOGRAPHY AND TABULATION OF OAMPING PROPERTNON-METALLICIES OF NON-METALLIC MATERIALS
AO-289 856IK) $3.00 0502
NOTES ON NON-MILITARY MEASURES IN CONTROL OF I
NON-MILITARY
NSURGENCY
AD-290 2371K) $1.60 0696
JUDGMENTS OF VISUAL VELOCITY AS A FUNCTION OF
NON-MOVINGTHE LENGTH OF OBSERVATION TIME OF MOVING OR NO
N-MOVING STIMULIPB 162 549(K) $1.60 0125
NON-RELATIVISTI TABLES OF NON-RELATIVISTIC ELECTRON TRAJECTORIES FOR FIELD EMISSION CATHODES
AD-290 696(K) $14.50 0239
NON-SIMILAR NUMERICAL METHODS OF SOLUTION FORNON-SIMILAR
ELECTROOE BOUNDARY LAYERS IN A CROSSED FIELO A
CCELERATOR
AO-290 525(K) $5.60 0185
NONDESTRUCTIVE NONDESTRUCTIVE SYSTEM FOR INSPECTION OF FIBERGLASS-REINFORCED PLASTIC MISSILE CASES
AD-289 8251K) $1.60 0632
NONDESTRUCTIVE X-RAY IMAGE SYSTEM FOR NONDESTRUCTIVE TESTING
OF SOLID PROPELLANT MISSILE CASE WALLS ANO WELDMENTS
AD-289 821CK) $3.60 0637
NONDISSIPATIVE MAGNETOHYORODYNAMIC STABILITY OF VORTEX FLOW A NONDISSIPATIVE. INCOMPRESSIBLE ANALYSIS
ORNL-TM-402CK) $3.60 0615
NONEQUILIBRIUM SCALE EFFECTS FOR NONEQUILIBRIUM CONVECTIVE HE
AT TRANSFER WITH SIMULTANEOUS GAS PHASE ANO SU
RFACE CHEMICAL REACTIONS. APPLICATION TO HYPERSONIC FLIGHT AT HIGH ALTITUDES
AO-291 032(H) $1.60 0025
APPLICATION OF VARIATIONAL EQUATION OF MOTION
TO THE NONLINEAR VIBRATION ANALYSIS OF HOMOGEN
EOUS ANO LAYERED PLATES ANO SHELLS
AD-289 868(K) $2.60 0667
EXTENSIONS IN THE SYNTHESIS OF TIME OPTIMAL OR
BANG-BANG NONLINEAR CONTROL SYSTEMS. PART I.
THE SYNTHESIS OF QUASI-STATIONARY OPTIMUM NONLINEAR CONTROL SYSTEMSPB 162 547(K) $4.60 0235
EXTENSIONS IN THE SYNTHESIS OF TIME OPTIMAL OR
BANG-BANG NONLINEAR CONTROL SYSTEMS. PART I.
THE SYNTHESIS OF QUASI-STATIONARY OPTIMUM NONLINEAR CONTROL SYSTEMSPB 162 547(K) $4.60 0235
NONLINEAR FLEXURAL VIBRATIONS OF SANDWICH PLATNONLINEARES
AD-289 8 7 K K ) $2.60 0669
OPTIMUM NONLINEAR CONTROL FOR ARBITRARY DISTURNONLINEARBANCES
NASA N62-15890U) $2.60 0682
NONRECURRENTA TECHNIQUE FOR NARROW-BAND TELEMETRY OF NONRE
CURRENT PULSES
AD-290 6971K) $2.60 0577
ELECTROMAGNETIC SCATTERING FROM A SPHERICAL NONONUNIFORMNUNIFORM MEDIUM. PART II. THE RAOAR CROSS SECTION OF A FLARE
AD-289 615(K) $2.60 0747
ELECTROMAGNETIC SCATTERING FROM ASPHERICAL NONNONUNIFORM
UNIFORM MEDIUM. PART I. GENERAL THEORY
AD-289 614(K) $2.60 0748
NORMALPROBABILITY INTEGRALS OF MULTIVARIATE NORMAL A
NO MULTIVARIATE-T
AD-290 746(K) $8.60 0760
RESONANCE ABSORPTION OF GAMMA-RAYS IN NORMAL A
NORMALND SUPERCONDUCTING TIN
AD-289 844(K) $3.60 0826
NORMS FOR ARTIFICIAL LIGHTINGNORMS
AO-290 555(K) $1.10 0734
NORTH
FACTORS INFLUENCING VASCULAR PLANT ZONATION IN
NORTH CAROLINA SALTMARSHES
AO-290 938(K) $7.60 0603
NORTH
SONAR STUDIES OF THE OEEP SCATTERING LAYER IN
THE NORTH PACIFICPB 162 427(K) $2.60 0587
NORTH
THE DEVELOPMENT OF RESCUE ANO SURVIVAL TECHNIQUES IN THE NORTH AMERICAN ARCTICPB 162 410(K) $12.00 0085
NOSE
THE FLORA OF HEALTHY DOGS. I. BACTERIA AND FUN
GI OF THE NOSE. THROAT. AND LOWER INTESTINE
LF-2(K) $2.60 0458
NOZZLEFABRICATION OF PYROLYTIC GRAPHITE ROCKET NOZZLE COMPONENTSPB 162 3 7 K K ) $1.10 0351
NOZZLEFABRICATION OF PYROLYTIC GRAPHITE ROCKET NOZZLE COMPONENTSPB 162 370IK) $1.10 0353
NOZZLEFABRICATION OF PYROLYTIC GRAPHITE ROCKET NOZZLE COMPONENTSPB 162 372(K) $2.60 0352
NOZZLETHIRD SYMPOSIUM ON ADVANCEO PROPULSION CONCEPTS SPONSORED BY UNITED STATES AIR FORCE OFFICEOF SCIENTIFIC RESEARCH AND THE GENERAL ELECTRIC COMPANY FLIGHT PROPULSION DIVISION CINCINNATI. OHIO OCTOBER 2-4. 1962. PLASMA FLOW IN A MA
GNETIC ARC NOZZLE
AD-290 082(K) $2.60 0147
HEAT TRANSFER AND PARTICLE TRAJECTORIES IN SOLNOZZLES
ID-ROCKET NOZZLES
AO-289 6 8 H K ) $5.60 0030
DEVELOPMENT AND STANDARDIZATION OF FORMS 3 AND
NROTC
4 OF THE NROTC CONTRACT STUDENT SELECTION TES
T
AO-290 784<K) $1.10 0201
EVALUATION OF NROTC AVIATION INDOCTRINATION FI
ELO TOURS FOR 1961-1962
AO-290 356(K) $1.60 0581
A 7090 CODE FOR THE CALCULATION OF ELECTROMAGNNON-IRRADIATED

Figure 6.

NUCLEAR
NUCLEAR
NUCLEAR

NUCLEAR
NUCLEAR
NUCLEAR
NUCLEAR

NUCLEAR
NUCLEAR

NUCLEAR
NUCLEAR
NUCLEAR
NUCLEAR
NULL-ZONENUMBERSNUMBERSNUMERICALNUMERICALNUMERICALNYSTAGMUSOAKOBJECTSOBSERVATORY
OCEAN
OCEANOGRAPHIC
OCEANOGRAPHIC
OCEANOGRAPHIC

OCEANOGRAPHIC

OCEANOGRAPHIC

OCEANOGRAPHIC

OCEANOGRAPHICOCTYLETIC BLACKOUT FOLLOWING A HIGH ALTITUDE NUCLEAR DETONATION
AO-291 141(K) $8.60 0372
ACCURATE NUCLEAR FUEL BURNUP ANALYSES
GEAP-4062(K) $1.60 0362
APPLICATION OF NUCLEAR POWER SUPPLIES TO SPACESYSTEMS
TI0-17306(K) $8.60 0741
CAROLINAS-VIRGINIA NUCLEAR POnER ASSOCIATES* I
N C t RESEARCH AND DEVELOPMENT PROGRAM QUARTERLY PROGRESS REPORT FOR THE PERIOO APRIL - JUNE
1962
CVNA-156(K) $6.60 0839
COMPUTER PROGRAMS FOR OPTIMUM START-UP OF NUCLEAR PROPULSION SYSTEMS
TID-16730IK) $1.10 0712
DOSE-TIME-DISTANCE CURVES FOR CLOSE-IN FALLOUT
FOR LOW YIELD LANO-SURFACE NUCLEAR DETONATIONSPB 162 5i6(K) $1.60 0573
EXTRUDED CERAKIC NUCLEAR FUEL DEVELOPMENT PROGRAM
ACNP-62550IK) $4.60 0092
FEASIBILITY DETERMINATION OF A NUCLEAR THERMIONIC SPACE POWER PLANT
AD-290 068(K) $2.60 0031
HIGH - ENERGY NUCLEAR PHYSICS RESEARCH PROGRAM
AD-291 140(K) $1.60 0374
HIGH-ENERGY NUCLEAR REACTIONS OF NIOBIUM WITH
INCIDENT PROTCNS ANO HELIUP IONSUCRL-1046KK) $2.25 0222
INVESTIGATIONS ON THE DIRECT CONVERSION OF NUCLEAR FISSION ENERGY TO ELECTRICAL ENERGY IN A
PLASMA DIOOE
AO-290 727CK) $9.60 0385
NUCLEAR SUPERHEAT DEVELOPMENT PROGRAM *GNEC-2541K) $14.00 0386
PRODUCTION OF TRITIUM BY CONTAINEO NUCLEAR EXPLOSIONS IN SALT. I. LABORATORY STUOIES OF ISOTOPIC EXCHANGE OF TRITIUM IN THE HYOROGEN-WATERSYSTEM
0RNL-3334CK)$.50 0617
STRIKING EFFECT OF NUCLEAR EXPLOSION
AD-290 824CK) $21.00 0083
THE NUCLEAR PROPERTIES OF RHENIUM
AD-291 1801K) $1.60 0310
VARIATIONS IN THE TOTAL ELECTRON CONTENT OF TH
E IONOSPHERE AFTER THE HIGH ALTITUDE NUCLEAR E
XPLOSION
NASA N63-10486CK) $1.10 0142
630A MARITIME NUCLEAR STEAM GENERATORGEMP-160U) $8.10 0349
THE ESTIMATION PROBLEM IN NULL-ZONE RECEPTIONFEEDBACK SYSTEMS
AO-290 325(K) $11.00 0599
FUNDAMENTAL SOLUTION TO THE DIFFUSION BOUNDARYLAYER EQUATICN FOR NEARLY SEPARATED FLOW OVERSOLIO SURFACES AT VERY LARGE PRANOTL NUMBERS
AD-291 0 3 K K ) $2.60 0023
LOCAL PRESSURE DISTRIBUTION ON A BLUNT DELTA W
ING FOR ANGLES OF ATTACK UP TO 35-OEGREES AT M
ACH NUMBERS OF 3.4 AND 4.7
NASA N63-10800U)$.75 0516
A MAINTENANCE PROGRAM FOR NUMERICAL CONTROL SYSTEMS ON MACHINE TOOLS
TID-17376U) $2.60 0809
A PRIORI BOUNDS ON THE SISCRETIZATION ERROR IN
THE NUMERICAL SOLUTION OF THE DIRICHLET PROBL
EM
AD-290 322(K) $4.60 0464
NON-SIMILAR NUMERICAL METHODS OF SOLUTION FOR
ELECTRODE BOUNDARY LAYERS IN A CROSSED FIELO A
CCELERATOR
AD-290 525(K) $5.60 0185
MANIPULATION OF AROUSAL AND ITS EFFECTS ON HUM
AN VESTIBULAR NYSTAGMUS INDUCED BY CALORIC IRR
IGATION AND ANGULAR ACCELERATIONS
AD-290 348CK) $1.60 0252
A SAFETY REVIEW OF THE OAK RIOGE CRITICAL EXPE
R1MENTS FACILITY
0RNL-TM-349CK) $5.60 0612
ORAG OF OBJECTS IN PARTICLE - LADEN AIR FLOW P
HASE IV. BLUNT BODIES AND COMPRESSIBILITY *#*fCTS
AD-291 178CK) $6.60 #Tft
TONTO FOREST SEISMOLOGICAL OBSERVATORY
AO-291 148(K) $3.6* **)ISA SAMPLE TEST EXPOSURE TO EXAMINE CORROf |**l **D FOULING OF EQUIPMENT INSTALLED IN THE •**# 0
CEAN
AD-291 049(K) $1.4* *f*2
OCEANOGRAPHIC CRUISE TO THE BERING ANO CMUKCMI
SEAS. SUMMER 1949. PART I SEA FLOOR STUDIESPB 162 426(K) $2,6* *f*f
OCEANOGRAPHIC ANO UNDERWATER ACCOUSTICS ******
CH
AD-290 252IK) $2.60 **48
OCEANOGRAPHIC CRUISE TO THE BERING ANO CHUKCHISEAS. SUMMER 1949. PART IV. PHYSICAL OCEANOGRAPHIC STUDIES. VOL. I. DESCRIPTIVE REPORTPB 162 428-KK) $3.60 0584
OCEANOGRAPHIC CRUISE TO THE BERING ANO CHUKCHISEAS. SUMMER 1949. PART IV. PHYSICAL OCEANOGRAPHIC STUDIES. VOL. I. DESCRIPTIVE REPORTPB 162 428-KK) $3.60 0584
OCEANOGRAPHIC CRUISE TO THE BERING AND CHUKCHISEAS. SUMMER 1949. PART IV PHYSICAL OCEANOGRAPHIC STUOIES. VOL. 2. DATA REPORTPB 162 428-2CK) $4.60 0586
OCEANOGRAPHIC CRUISE TO THE BERING AND CHUKCHISEAS. SUMMER 1949. PART IV PHYSICAL OCEANOGRAPHIC STUDIES. VOL. 2. DATA REPORTPB 162 428-2(K) $4.60 0586
PROCEEDINGS OF INTERINDUSTRIAL OCEANOGRAPHIC SYMPOSIUM (NO. 1 ) . BURBANK, CALIFORNIA, 5 JUNE1962
PB 162 587(K) $2.60 0451
RUBBER ELASTICITY IN HIGHLY CROSSLINKEO SYSTEM

Sample, CEIR Format for Office of Technical Ser\46

DIABETEI *8LATf» LITlRATUNS

KlVtlOftD INOEX 1961

GLYCERIC ACID D

CHANGES Or GLYCEHIA IN THE UMBILICAL VEIN FOLLOWINGINTRAVENOUS ADMINISTRATION OF GLUCOSE TO MOTHER. •Z K STEMBERA. J HODR * CESK GYNEK V24 P610-6. OCT »>9 CZ

PHOSPHORYLATION

OF D-GLYCERIC A C I D T O

2-PHOSPHO-D-GLYCERIC

ACID WITH QLYCERATE KINASE IN THE LlvgR* I. O N THE
BIOCHEMISTRY OF FRUCTOSE METABOLISM. II. * H LAMPRECHT*
T OtAHANTSTElN*. F ME1N2. f BALDE * MOPPE SEVLER Z PHYSIOL CHEN
V316 P97-112* 38 llPT 99 BEN

MODIFICATION OF THE GLYCEHIA LEVEL* PYRUVIC ACID LiVEL AND tHf
LEVEL OF INORGANIC PHOSPHORUS BY APPLICATION OF GLUCOSE DURING
LABOR WITH CONSIDERATION TO HYPOXIA OF THE FETUS. * J HODR*J HERZMANN. J JANOA * Z GEBURTSH GYNAEK V194 P97-79 1999 GER

OLYCEftlDE
IFFECtS OF tHE ADMINISTRATION OF SULFONAMIDE BY WAV Of tM|
EXOCRINE DUCTS ON THE GLYCEHIA AND HISTOLOGICAL STRUCTURE OF
THE PANCREAS. * A LOUBAT1ERES* A SASSlNl* M H MARlANl*
C FRUTEAU DE LACL08 • C R SOC BIOL PAR V194 PlS§*8* 1960 FR
EFFECT OF SODIUM A C E T O A C E T A T E ON GLYCEHIA. * M TOTH* L 8ARTA *ACTA MED ACAD SCI HUNG V19 P343-6. I960 FR

INFLUENCE OF INSULIN ON THE INCORPORATION OF 2-l4 C-SODIUMPYRUVATE INTO GLYCERIDE GLYCEROL IN DIABETIC AND NORMALBABOONS. * N SAVAGE* J Q1LLMAN* C GILBERT * NATURE LOND V1B9
P168-9, 16 JAN 60
GLYCERIDE GLYCEROLMODIFICATIONS IN GLYCEHIA AND GLUCOSE LOADING CURVE IN
ANIMALS WITH CHRONIC LESIONS OF THE SPINAL CORD *G PINNA* M 8 DECHERCHI * BOLL SOC ITAL BtOL SPER V3S P18S9-S.
31 DEC 99 IT
THE GLYCERIC CYCLE COMPARED WITH THE INDUCED HYPERGLYCENtATEST AND THE FASTING GLYCEHIA. ITS IMPORTANCE IN DIABETICS*
EVEN IN TH08I APPARENTLY IN EQUILIBRIUM. SIMPLIFIEDPERFORMANCE OF TEST USING AUTO-HICRO-SAMPLINGI. *C PEREZ * TUNISIE HED VJ« P199-209, MAR 60 FRMETABOLIC ROLE Of BLUC0I8. A SOURCE OF GLYCERlDE-GLYCEROk IN
CONTROLLING THE RELEASE OF FATTY ACIDS BY ADIPOSE TISSUE. *F C WOOD JR.* B LEBOEUF. G F CAHILL JR. * DIABETES V9 P261-3*
JULY-AUG 60
GLYCEROLEFFECT OF EPINEPHRINE ON GLUCOSE UPTAKE AND GLYCEROL RELEASEBY ADIPOSE TISSUE IN VITHO. * B LEBOEUF* B FLlNN. G F CAHILL
JR* • PROC SOC EXP BIOL RED V102 P927-9, OCT-DEC 99
INFLUENCE OF INSULIN ON IHE INCORPORATION OF 2-i4 C-SODIUMPYRUVATE INTO GLYCERIDE GLYCEROL IN DIABETIC AND NORMALBABOONS. • N SAVAGE. J GILLMAN* C GILBERT * NAtURE LOND V169
P16B-9* 16 JAN 60

EFFECT OF OVERSTIMULATION OF THE CNS ON GLYClMtA IN RATIIN VARIOUS CONDITIONS. * M SUBOVA * CESK FYSlOl VS P598*
NOV 59 C2
THE GLYCERIC CYCLE COMPARED WITH THE INDUCED HYPERGLYCEMIATEST AND THE FASTING GLYCEHIA. ITS IMPORTANCE IN DIABETICSEVEN IN THOSE APPARENTLY IN EQUILIBRIUM. SIMPLIFIEDPERFORMANCE OF TEST USING A U T O - M I C H O - S A M P L 1 K G S . * C PEREZ *TUNISIE MED V38 P199-2Q9. MAR 60 FR

UNIMPAIRED SYNTHESIS OF FATTY ACIDS AND ALTERED SYNTHESIS OF
GLYCEROL OF TRIGLYCERIDES IN DIABETIC BABOONS P. URS1NUS. •N SAVAGE. J GILLMAN, C GILBERT * S AFR J NED SCI V29 P19-38*
APR 60EFFECT OF INSULIN ON GLYCEHIA STUDIES BY MEANS Of TEMPORARY
AND PERMANENT METHODS OF LIGATION OF THE V. PORTA! AND V.
HEPATICUH

IN

RATS.

*

R

KOREC

*

CESK

FYSIOL

V9

PES*

JAN

66

MATERNAL GLYClDE NORMAL ASSIMILATION* TOMATO BABY* PRECEDENTS
OF MACHOSOHIA AND FETAL MORTALITY. * B SALVADOR!.
Q CAGNAZZO* A DELEONARDIS * MINERVA PEDIAT V12 P117*
11 FEB 60 IT

C2

GLYCEMIC
THE AMlNOAClDEHlC AND GLYCERIC RESPONSE IN ULCER PATIENTSAFTER INTRAVENOUS LOAD OF AMINO ACIDS. * I GIORGIO. V OLlVA *BOLL SOC ITAL BIOL SPER V35 P1064-6* 15 SEPT 99 IT

GLYCINEAN INSULIN ASSAY BASED ON THE INCORPORATION OF LABELLEDGLYCINE INTO PROTEIN OF ISOLATED RAT DIAPHRAGM. •K L MANCHESTER. P J R A N D L E . F G YOUNG * J ENDOCR V19 P259-62*
DlC 59EFFECTS OF CHLORPROMAZINS ON CEftfAtN QLYCEH1C T E S T S IN
CHILDREN. * V TISCHLER* J JAC1NA* B HRUBA* 0 PAVKOvcEKOVACESK PEDIAT V14 -P6//-89. AUG 59 CZ

MAINTENANCE OF CARBOHYDRATE STORES DURING STRESS OF COLD AND
FATIGUE IN RATS PREFED DIETS CONTAINING ADDED GLYCINE. *W R TODD* M ALLEN • USAF ARCTIC AEROMEO LAB TECHN REP V57-34
Pl-16* JUNE 60

THE GLYCERIC CYCLE C O H P A R E D WITH THE INDUCED H Y P E R O L Y C E M I A
TEST AND THE FASTING GLYCEHIA. ITS IMPORTANCE IN DIABETICS*
EVEN IN THOSE APPARENTLY IN EQUlLIBRlUH. SIMPLIFIEDPERFORMANCE OF TEST USING AUTO-MtCHO-SAMPLlNGS* *C PEREZ * TUNISIE HED V3B P199-209* HAR 60 FRGLYCINE: Cl4
NEURAL REGULATION OF INDUCED GLYCERIC REACTION. * E GUTMANN*
B JAKOUBEK • CESK FYSIOL V6 P404-5* SEPT 59 CZ

NATE OF ASSOCIATION OF S35 AND Cl4 IN P L A S M A P R O T E I N FRACTIONSAFTER ADMINISTRATION OF NA2S3504, GLYCINE-C14, OR GLUCOSE C14.
* J E RICHMOND * J BIOL CHEM V234 P2713-6* OCT 59

GLYCEMIC CURVECHANGES OF GLYCERIC CURVE FOLLOWING THE ADHINISTRATION OF
GALACTOSE IN HEAD INJURIES. * I HAVLlN * CESK FYSIOL VS P317.
JULY 59 CZ

GLYCOGENGLYCOGEN OF tME ADRENAL CORTEX AND MEDULLA. INFLUENCE OF AGE
AND SEX* • H PLANtL* A GUlLHEM t C R SOC BtOL PAR V153 P844-8,
I M S FREXPERIMENTAL CONTRIBUTION TO THE STUDY OF THE INFLUENCE
EXERTED BY PERIPHERAL TISSUE ON GLYCEMIC HOMEOSTASIS. It. THE
GLYCEMIC CURVE FROM ADRENALINE. * C CORDOVA* G D BOHPIANI*G PALMA • BOLL SOC ITAL BIOL SPER V35 P1566-9* 15 DEC 59 IT

iPPtQT OP DIET ON fHE BLOOD SUGAR AND LtVER GLYCOGEN LEVEL OFNORMAL AND ADRENALECTOHUED MICE. * B P BLOCK. G S COX *NATURE LOND V1B4 SUPPL 10 P721-2. 29 AUG 59

EXPERIMENTAL CONTRIBUTION TO THE STUDY OF THE INFLUENCE
EXERTED BY PERIPHERAL TISSUES ON GLYCERIC HOMEOSTASIS. H | .
THE GLYCEMIC CURVE FROM INSULIN. * Q PALMA* C CORDOVA*Q D BOHPIANI * BOLL SOC ITAL BtOL SPER V35 Pl5?0-3, 19 DEC 59
IT

LIVER GLYCOGEN AND BLOOD SUGAR LEVELS IN ADRENAL-DEHEDULLATED
AND ADRENALECTOHUED RATS AFTER A SINGLE DOSE OF GROWTHHORMONE. * C A DE GROOT * ACTA PHYSIOL PHARMACOL NEERL V9
P1Q7-20* MAY 60

GLYCEMIC CURVES IN NORMAL SHEEP FOLLOWING THE ADMINISTRATION
OF CHLORINATED HYDROCARBONS. * E KONA * CESK FYSIOL VS P322*
JULY 59 CZ

A MlCROMETHOD FOR SIMULTANEOUS DETERMINATION OF GLUCOSE AND
KETONE BODIES IN BLOOD AND GLYCOGEN AND KETONE BODIES INLIVER. • 0 HANSEN * SCAND J CLIN LAB INVEST V12 P1S-24. 1960

GLYCEMIC

AN INVERSE RELATION BETWEEN THE LtVER GLYCOGEN AND THE BLOOD
GLUCOSE IN THE RAT ADAPTED TO A FAT DIET. * P A MAYES * NATURE
LOND V187 P325-6* 23 JULY 60

HOMEOSTASISEXPERIMENTAL CONTRIBUTION TO THE STUDY OF THE INFLUENCE
EXERTED BY PERIPHERAL TISSUE ON GLYCERIC HOMEOSTASIS. It* THE
GLYCERIC CURVE FROM ADRENALINE. • C CORDOVA* 0 D BOHPIANI*G PALMA « BOLL SOC ITAL BtOL SPER V35 P1566-9. ID DEC 9* IT

LIVER GLUCOSYL OLIGOSACCHARIDES AND GLYCOGEN CARBON-14
DIOXIDE EXPERIMENTS WITH HYDROCORTISONE* * H G SIE.
J ASHHORE* R MAHLER. W H FISHMAN * NATURE LOND V1S4 P1360-1.
31 OCT 5*

EXPERIMENTAL CONTRIBUTION TO THE STUDY OF THE INFLUENCE
EXERTED DY PERIPHERAL TISSUES ON GLYCERIC HOMEOSTASIS, lit.
THE GLYCERIC CURVE FROM INSULIN. * 6 PALMA* C CORDOVA.
Q D BOHPIANI * BOLL IOC ITAL BtOL SPER V39 P1570-3* IS DEC 99

STUDIES ON GLYCOGEN BIOSYNTHESIS IN GUINEA PIG CORNEA BY
MEANS OF GLUCOSE LABELED WITH C14. * R PHAUS.
J OBENBERGER* J VOTOCKOV* • CESK FYSIOL V9 P45-'6» JAN 60 CZ

tT

GLYCOGEN CONTENT AND CARBOHYDRATE METABOLISM OF THE LEUKOCYTESIN DIABETES MELLITUS. * G MAEHR * WIEN Z INN MED V40 P330-4,
SEPT 99 6ER

QLYCERATE KINASE
PHOSPHORYLATION OF D*QLYCERIC ACID TO 2 » P H O S P H O * D » G L Y C E R I C
ACID WITH QLYCERATE KINASE IN THE LlVER. I. ON THE
BIOCHEMISTRY OF FRUCTOSE METABOLISM. II. * M LAMPRECHT*
T OtAHANTSTElN* F HEINZ* P BALDE * HOPPE SEYLER I PHYSIOL CHEH
V316 P97-112* 30 SEPT 99 GER

GLYCOGEN LIVER. AN IATROGENIC ACUTE ABOOHlNAL DISORDER IN
DIABETES MELLITUS. * A SCHOTTE* H K LANKAHP* H FRENKEL *NED T GENEESK V103 P2258-62. 7 NOV 59 DUT
ACUTE GLYCOGEN INFILTRATION OF THE LIVER IN DIABETES HELLITUS.
2.
THE EFFECTS OF GLUCAGON THERAPY. * A SCHOTTE. H K LANKAMP,
H FRENKEL * NED T GENEESK V104 P12B8-91, 2 JULY 60 DUT

1963

Figure 7.

Sample Page, Diabetes Index47

essentially the original Luhn format, and it should be noted in this connection that while
Luhn recognized that the origin of the KWIC principle lay in the making of concordances,
he claimed in particular the use of machines to achieve speed, completeness, and accuracy, and a novel format.
The most common variant to the center position for the indexing window (or keyword
position) is at the left or the beginning of the line. Netherwood's selected bibliography oflogical machine design, which is probably the first of the modern permuted title indexes
to appear in the open literature, used the left-most positions for the index entry word ineach title listing. Slant marks were also printed to show the breaks in the normal orderof the title (Netherwood, 1958 [ 4 3 7 ] ) . A proposed subscription service, advertized in
1958 but never actually brought into operation, would also have used the left-handposition. zJ
In these left position examples, the keyword-in-context principle is kept only
partially intact since the word in the index position is directly adjacent to its most
specific right-hand context, not to its left-hand. In variations such as developed at
Stanford Research Institute, however, the index word is extracted from its context andprinted separately in the left-hand margin, with the title in its normal order printed to
the right. This type of variation has been called "KWOC", for keyword-out-of-context,
and is illustrated in Figure 6, which shows the format developed by C . E . I . R . , Inc. for
the OTS index to U.S. Government Research Reports.
Table 1 lists a number of KWIC index projects for which computer programs are or
might be made available to interested additional u s e r s . Computer programs have been
written specifically for the IBM $50, 704, 1620, 709, 7090, and 7094 data processing
systems, the G. E. 225 computer, the Deuce Computer in England, the UNIVAC 1103 and1107 s y s t e m s , and the Japanese computer JEIPAC, among others. In addition, somepermuted title indexes are produced manually, or with the use of simple business officemachine equipment. For example, an index to the AIBS Bulletin for 1951-1961 has been
so produced by the American Institute of Biological Sciences. 3 /yPrivate communication, excerpt of letter from H. P. Luhn to C. L. Bernier,December 27, I960: "With respect to the origin of the KWIC Index, you are,of course, right that it is a form of concordance, as stated in my original
paper. Furthermore, keyword indexing has been practiced in various forms
as far back as a hundred years ago. All of these methods were, however, dependent on manual effort. I would say that the significance of the present KWIC
Index is based on the fact that it is produced automatically by machine, affording
speed of compilation, accuracy and completeness. As far as the particular formatof the Index is concerned, this is novel to my knowledge, in accordance with information I have been able to ascertain from others.""PILOT--a permutation index to this month's literature 11 , see p. 8 and Figure 1.
A left-most window full-title format was developed at Stanford University in c o operation with the IBM San Jose Laboratories. It has been applied by the Computation Center to the titles of computer programs for the benefit of u s e r s of theProgram Library Computation Center, Stanford University, "The KWIC Index",
1963. See also Marckworth, 1961 [ 3 9 3 ] .

IINational Science Foundation's CR&D Report No. 11, [ 4 3 0 ] , p. 10; Janaske, 1962
[ 2 9 9 ] ; Shilling, 1963 [ 5 5 0 ] and [551] .
48

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53

In addition to the regularly issued KWIC indexes by Biological Abstracts, Chemical
Abstracts Service, the American Meteorological Society and others, a large number of
special field, one time, or limited collection coverage indexes of this type have been andare being produced both in the United States and in other countries. Well-known examples
include the programs developed at the Lawrence Radiation Laboratories, University ofCalifornia, which simultaneously produce catalog, cross-reference and subject authority
cards, JL' and the programs developed at the Bell Telephone Laboratories from 1959 onward (Kennedy, 1962 [ 3 1 0 ] ) .
Other KWIC indexing efforts cover a.wide variety of subject matter. In the fieldof law, applications of KWIC type indexing include work on the legislation of the 50 states,a joint project of the American Bar Foundation and the Bobbs-Merrill Company (Eldridgeand Dennis, 1962 [ 183] , 1963 [ 182]), the ninth annual edition of the Index to Legal
Theses and Research Projects, July 1962, (Eldridge and Dennis, 1963 [182]); and a cooperative program between the libraries of the Universities of Kansas and Oklahoma to
prepare an index to the latter's "Space Law" collection. }J In I960, the KWIC Index to
the Science Abstracts of China was prepared for an AAAS Symposium, (Henderson, ivbl
[ 263]; Farley, 1963 [ 192] ). At the University of Kansas Library also, the Kansas
Slavic Index is being produced, with coverage of 3,000 articles from more than 200 Slavic
journals. U In the computer technology field, Youden (1963 [ 659] and [ 660]) has compiled KWIC type indexes to both the Journal of the ACM and the Communications of the
ACM and the Western Periodicals Company offers KWIC indexes to the proceedings of
the Joint Computer Conferences as well as to the proceedings of other conferences andsymposia including those in fields of electronics, aerospace and quality control. £ /Aspecial-purpose application is in the use of a KWIC-index in lieu of cross-references ina revised edition of Current Medical Terminology. j>/
Examples of KWIC indexing projects abroad include work at the Japanese Information Center of Science and Technology, Tokyo, —%an index "of the 'Chemical Titles 1 type"at the All-Union Institute for Scientific and Technical Information (VINITI) U . S . S . R . , ?/an information journal for the atomic energy field being prepared at the Gmelin
Institute, (Koelwijn, 1962 [330]), and work in Great Britain both at the English ElectricCompany 8/ and the IBM British Laboratories (Black, 1962 [ 65]).

T7
Nation Science Foundation's CR&D Report, No. 11, [ 4 3 0 ] , p. 42.

l!
Ibid, pp.44 and 171.

U
Ibid, p. 43; University of Kansas, 1963 [ 3 0 7 ] .
See advertisements in journals such as American Documentation.

y
Gordon and Slowinski, 1963 [ 2 3 6 ] , p. 55.

yNational Science Foundation's CR&D Report, No. 11, [ 4 3 0 ] , p. 120.

V
Mikhailov,1962 [ 4 1 8 ] , p. 50.
Dowell and Marshall, 1962 [ 1 5 9 ] , p. 323; Black, 1962 [ 6 5 ] , p. 316.

54

Trans-Canada Air Lines — is using a KWIC System, and at the EURATOM ISPRA laboratories a KWIC type program has been developed with up to 600-character context and aleft-most indexing position.
3. 1. 2 Advantages, Disadvantages and Operational Problems of KWIC Indexing
Luhn's original acronym, KWIC, is peculiarly apt for permuted title word indexing.
As both proponents and critics have noted, the resulting product may be relatively crude
in terms of indexing quality, but it is quick. The speed achievable both by elimination ofhuman intellectual effort and by use of machine (especially computer) processing is indeed
the major single advantage of this type of automatic indexing. Closely related, however,are the advantages of currency of announcement and the availability of these indexes forindividual use.
Some typical claims with respect to speed and currency are as follows:n

The permuted index was invented as a means of adequately controlling(essentially, of indexing) the literature without further intellectual effort,
and thus eliminating indexing delays. ! I 3/!l

The great merit of this particular method. . . i s that it enables information
concerning new articles to be made available very much more quickly than if
there were the inevitable delays of human abstracting and indexing. " 4/"In spite of the disadvantages which are pointed out, perhaps the greatest
advantage is the timeliness and the speed with which permuted-title indexes
can be prepared. If 5/Specific examples of high speed are given by Biological Abstracts, where one hour f s
computer time suffices to prepare and arrange entries for over 150,000 items. £/Kennedy reports for the Bell Laboratories System that:"Editorial scanning is very fast; only several lines of print must be read foreach report and the required text markings are trivially few. Keypunching,
the largest single task, takes about two minutes per report. . . Main-frame time
. . .was 12 minutes for 1703 reports. 1 1 U

Tl
Simons, 1963 [ 5 5 6 ] , p. 34.

U
Meyer-Uhlenried and Lustig, 1963 [ 4 1 7 ] , p. 229.

1'
Tukey, 1962 [ 6 l l ] , p. 13.

±1
Cleverdon, 1961 [ 1 2 5 ] , p.108.
Janaske, 1962 [ 2 9 9 ] , p. 3.
See Biological Abstracts, 36:24, p. xii.

V
Kennedy, 1961 [ 3 1 1 ] , p.123.
55

Skaggs and Spangler claim:"The most obvious advantage of permuted indexing by computer is speed. In
a test of one permuted indexing system, input of 3, 000 punched cards containing titles and running text produced a permuted significant word index of
12, 190 index entry lines, with approximately 85 minutes of computer timerequired for the permuting and sort operations. The output was printed atsome 500 lines per minute. . . f l U
In many c a s e s , greater speed and timeliness are achieved at significantly lower
cost. This is particularly true if the preparation of the input - - title, author, item
identification and other descriptive cataloging information--serves multiple purposes
from a single keystroking operation. Thus, the MATICO System provides from a single
input (1) KWIC indexes as required, (2) selective dissemination notices to potential usersof new acquisitions, (3) records on magnetic tape for the information retrieval file, and(4) book catalogs covering specialized areas of the collection, all at a net savings overprevious methods of $0. 39 for each title processed. £jAnother advantage which is typically claimed for KWIC indexes is the use of theauthor's own terminology. The display of different words as they have been used intitle context with any word looked up introduces "suggestiveness" so that different meanings and different browsing clues are shown. Kennedy makes the following typical points:"The use of the author's own t e r m s - - t h e alive currency of new ideas--rather thanthe considered reshapings to the indexing system may often be of advantage. The
automatic generation as index entries of all the separate words in multi-term
concepts is definitely so. A c c e s s is direct, under any one of the componentt e r m s , in the unrestricted manner of Uniterm indexing. And context minimizes
false drops; the author has supplied the term coordination. "Others, however, consider some of these same factors to be definite disadvantages.
In general, even among enthusiasts of KWIC, there is more agreement as to thevalues of the technique as a device for current awareness scanning and as a disseminationindex than for its use for more extensive searching. It was, in fact, primarily as adissemination index that Luhn first proposed the KWIC technique. He pointed out thatsuch indexes could be prepared with minimum effort and be ready for dissemination in
the shortest possible time, justifying publication by inexpensive printing means. He also
noted the following additional advantages:

17''
Skaggs and Spangler, 1963 [557], p. 30.

2/
Carroll and Summit, 1962 [ 102] , p. 4.

II
Kennedy, 1962 [ 310], p. 184.

56

"1.

Because of the mechanical method of preparation, more information
may be displayed than would have been practicable by conventional
means.

"2.

Keywords-in-context permit the cross-correlation of subjects to an
extent not realizable by conventional p r o c e d u r e s . " 1/

The most common type of complaint against the KWIC indexing method i s , as wehave noted earlier, identical with that which i s applied to word indexing in general--thelack of terminological control. WheiNB the indexing t e r m s a r e r e s t r i c t e d to those used by
the author himself, in his title or even full text, t h e r e a r i s e many serious problems ofsynonyms, near-synonyms, homographs, neologisms, and eponyms. The effects ofmachine inability to resolve these problems a r e redundancy, scatter of references
throughout the index, "haphazard groupings", 2/ and r e t r i e v a l l o s s e s because the u s e r isforced to guess at the terminology the author actually used. 1 / These problems areseverely aggravated when only the title i s used as the basis for index-word extraction.
Thus, a first and major question in attempting to appraise the effectiveness of KWICindexing techniques is that of the adequacy of titles alone as the source of subject content
clues. Spurred on at least in part by the existence of KWIC-type indexes, several
investigators have studied this question, with somewhat different r e s u l t s . Williams has
explored for some years the possibilities of developing systematic procedures for title
elaboration, especially making explicit information that is implied. Her conclusions arethat indexing by title and direct elaboration of the title would produce index informationequivalent to that found in Chemical A b s t r a c t s for about 50 percent of the documents
studied, but that other procedures would be required for the remainder. Ik/
Specific studies of title adequacy for a particular journal or field have been undertaken by both the American Institute of Physics and the Biological Sciences Communications Project. In the A. I. P. experiments, graduate physics students were asked tolocate from limited clues certain specific articles appearing in The Physical Review, andsearch times were checked for their use of permuted title and other indexes. Anothergroup of students compared the subject index entries in Physics Abstracts and Chemical
A b s t r a c t s with the words in the titles of 25 papers from The Physical Review. In the caseof Physics A b s t r a c t s , 69 percent of the entries for these papers w e r e found in the wordsof the title and 63 percent of the titles contained all of the information supplied by theset of index entries. In the case of Chemical A b s t r a c t s , the corresponding percentages
were 47 and 23. 5/ These latter findings, for the chemical index, are closely corroboratedyLuhn, 1959, [ 3 8 l ] , p. 295.

I'
Olney, 1963, [ 4 5 8 ] , p. 44.
See, for example, Dow ell and Marshall, 1962, [ 1 5 9 ] , p. 324: "This problem of'conceptual scatter 1 becomes a nightmare when highly idiosyncratic author
language is used as a basis for subject indexing. "±1
Williams, 1961 [643] , pp. 361-363.

1/
Maizell, I960 [ 3 9 2 ] , p. 126.

57

Bernier and Crane who report that for the non-organic chemistry items covered by
Chemical Abstracts, 34 percent of the entries can be derived from the titles. U
With respect to the Biological Sciences Communications Project studies, Shilling
reports as follows:"Titles of scientific articles are being utilized at present in a great many ways
under the general assumption that there is a positive correlation between thetitle and the content of the article. A study was undertaken to analyze theaccuracy of titles in describing the content of biomedical articles. It was conductedin two parts. In part one, a group of scientists were asked to predict the content
of selected scientific articles, in their area of interest, from the title, the author's
name, and the name of the journal in which it appeared. The results of the firstphase of the study on the first trial journal were so diverse as to make analysis
impossible, and this part of the study was not pursued further. From this small
segment of the study it appears that scientists are deluding themselves when they
search by title only and then decide what they wish to read.
"In the other half of this experiment, the article without title, author f s name, orjournal name was sent to 20 scientists, selected as experts in the scientific fieldof the article, who were asked to write a meaningful title. Fifty articles wereused, five from each of ten selected biomedical journals. From this part of thestudy it is apparent that if the article is in a field which is relatively wellstandardized and has an accepted vocabulary, it is possible for a group of titlists toagree remarkably well on an appropriate title. However, if the article is looselyorganized, contains more than one subject, or is in a specialty in which there is
no standard vocabulary, then titling scientists fail to agree to a rather alarming
extent.' •£/Other studies involving the question of usefulness of titles alone for indexing purposes
include those of Doyle, Lane, Montgomery and Swanson, O f Connor, Ruhl, Swanson, andWhite and Walsh, among others. Doyle checked the retrieval loss likely to result fromthe synonymity-scatter problem for a permuted title index compiled in 1958 to the internalreports of the System Development Corporation. He found, for example, that for 12
direct references to McGuire Air Force Base, there were one to "New York Air Defense
Sector", two to "New York Sector", ten to "NYADS" and five to "N. Y. Sector". 1.1
1/
Bernier and Crane, 1962 [56], p. 120.

U
Shilling, 1963 [ 5 5 1 ] , pp. 205-206.
Doyle, 1961 [ 1 6 6 ] , p. 11.

58

Ruhl (1963 [506]) found that between 50 and 90 percent of author-prepared titles (thevariation depending on subject field and other circumstances), did fully reflect the index
terms assigned to these documents by human indexers. Lane and White and Walsh havealso made studies directly related to ^e"Aq.uestion of KWlC index effectiveness. The latter
two investigators report only 52 percent retrieval effectiveness for a permuted title index
to the Abstracts of Computer Literature, 1963v which they attribute to the changing
terminology in the still new field of computer technology. 2 / Lane made counts of titles
that would be "acceptable" and those that would not for a KWIC index for 50 titles drawn
from each of 10 published indexes. He concluded that, if there were judicious pre-editing,technical articles in the technical subject indexes could be quite adequately covered, andpapers in the fields Of law, business, and the humanities somewhat l e s s satisfactorily so,
but that for the material indexed in the Reader's Guide to Periodical Literature, the KWIC
technique would fail 58 percent of the t i m e , -w——
Montgomery and Swanson have studied, as has O'Connor is even more detail, theadequacy of "machine-like indexing by people". Montgomery and Swanson took as theirtest corpus the September 196CX issue of Index Medicus and found that for 4, 770 items,
85. 8 percent contained either the word itself or a synonym for the subject heading
assigned, slightly over 11 percent did not, and in the remaining cases the investigators
could not clearly decide. They concluded, therefore, that: "Most of the articles studied
could have been indexed by machine on the basis of machine 'inspection 1 of article titles
alone." 2 / O'Connor, however, typically reports that of a random sample of 50 papers
manually indexed under the term "Toxicity", five had titles which contained the word
"toxic" or the word "toxicity" and 34 had titles which were not even indirectly connectedwith the term. (['443], [ 4 4 4 ] , [ 4 4 5 ] , [447] and [448]). With respect to the MontgomerySwanson conclusions as such, Carlson raises the further critical questions of overassignment and false drops and suggests that: "a simple machine processing of titles
would give us way too much or practically nothing." 4 /Research activities at the American Bar Foundation have included checking of
KWIC type indexing of several thousand legal articles with the subject headings assigned
under the "Index to Legal Periodicals" system (Kraft, 1962 [ 3 3 3 ] ) . It is reported that:U
White and Walsh, 1963 [ 6 3 9 ] , p. 346.

U
Lane, 1964 [ 3 4 5 ] , p. 46.

II
Montgomery and Swanson, 1962 [ 4 2 l ] , p. 359. In another study (1962 [534], p. 468),
Swanson reports findings for several thousand entries in classified bibliographies
where approximately 90 percent of the sampled items contained title words that wereidentical, or similar in meaning, to the subject headings under which they wereindexed. He notes, however, that similar results could have been produced bymachine processing with the significant proviso that the machine have available anadequate synonym dictionary or thesaurus.
4/
G. Carlson, 1963 [lOO], pp.328-329.

59

"Interpretation of data revealed, among other things, that 64. 4 percent of thetitle entries contained as keywords one or more of the ILP subject heading words
under which they were indexed, and 25* 1 percent contained logical equivalents.
The remaining 10. 5 percent of the title entries had non-descriptive titles. " 1 /The difficulties with titles as sources of the indexing information stem from at least
three distinct types of determining factors: (1) the language habits, background,interests, and idiosyncracies of the author; (2) the interests, familiarity with the subject
matter, language habits, imagination, and idiosyncracies of the user, and (3) factors
largely extrinsic to either the particular author or the particular user. In the first case,
we find especially the problem of the witty, punning, deliberately non-informative title,
the so-called "pathological title". Janske gives the provocative example, in the literatureof information selection and retrieval itself, of "The Golden Retriever". IJ Even in the
non-pathological case, however, there is the serious question of whether the author himself is likely to be a good i n d e x e r . - /On the user side* the normal critical problems of "bringing the vocabulary ofindexer and searcher into coincidence" (Bernier, 1953 [ 55]) are aggravated by the facts
that the user of KWIC must anticipate the terminology used by a large number ofdifferent "indexers" (i. e . , the authors), that title words spelled the same but with quite
different meanings in different special applications are grouped together in the sameplace in the index, and that the same concepts may be expressed in quite different
phraseology depending on the author's, rather than the u s e r ' s , field of specialization. To
these aggravating circumstances there must be added in turn the psychological acceptability to the individual user of the scatter and redundancy, to say nothing of the format
and legibility, of a particular published index.
Such factors affecting the particular user will of course vary with the nature and purpost of his search. Kennedy points out, for example, that the location of a document fromonly a single clue, a single title word, is particularly easy with a permuted title index
and he emphasizes that the "index purpose, use, size, statement and array are otherfactors of considerable moment in judging the value of title indexes". —'1/
National Science Foundation's CR&D Report No. 11, [ 4 3 0 ] , p. 62.

U
Janaske, 1962 [299] , p. 4.
See, for example, a report on a conference on better indexes for technical literature,
ASLIB Proceedings, 13:4, April 1961, with a number of statements on the author asa poor indexer. See also Crane and Bernier, 1958 [ 1 4 4 ] , p. 515: "Not even authors
are qualified to index their own work unless they are equipped for the task by training and experience".

±1
Kennedy, 1961 [ 3 1 1 ] , p. 125.

60

A major question in the area of user acceptability, however, is that of the adequacyof title alone to tell the searcher whether or not a specific document is relevant to his
query or interest. A number of investigators, both documentalists and u s e r - s c i e n t i s t s ,suggest that this is rarely the case. J7 In fact, for many u s e r s , titles alone provide only
a negative searching device--in an announcement bulletin or abstract journal the user's
scanning of titles merely tells him whether or not he should read the abstract and thenperhaps go on to the paper itself.
It is for reasons of this type, in all probability, that Montgomery and Swanson foundl e s s effectiveness of titles on relevance-judgment tests than might be suggested by theirmore optimistic findings as to the success of machine procedures for replicating humansubject heading assignments. Whereas they have claimed that about 90 percent of test
items could have been as successfully indexed by machine as by manual procedures,(Montgomery and Swanson, 1962 [ 421 ]; Swanson, 1962 [584]), they have also reported
that: "Comparison of title relevance judgment with judgment based on full text examination indicates that titles are only about one-third effective (i. e. , two-thirds of the relevant
articles would be judged irrelevant) as the basis for estimating the relevance of thearticle to a given question 11 ..?/ They go on to suggest, therefore, that n . . .indexing should
be based on more than titles and. . . a bibliographic citation system should present to therequester something more than titles. " _' Similarly, Jahoda reports in an analysis of 281
actual search requests at E s s o Research and Engineering that only two-thirds could havebeen answered with a shallow index based on titles and major section headings of the
documents and that answering the remainder of the requests would have required an index
of considerable depth, i /The obvious factors affecting the utility of titles as the source of indexing-searchingclues include, first, the limitation of most titles to the principal subject matter, the main
topic or topics of the document. The display of title context does to some extent provide
for modifications of the topic to the special aspects treated, but it is of course obviousthat a title cannot possibly provide clues to subject content not implied in the words of that
title. In many c a s e s , the potential user wants information contained in the paper, or evenySee, for example, Atherton and Yovicfi, reporting on evaluations by physicists ofexperimental citation indexing, 1962 [ 2 6 ] , p; 22: "The reliance on titles of papers
for retrieval purposes was not sufficient 11 ; Levery, 1963 [ 3 5 9 ] , p. 235. "Titles areusually insufficient to burnish a correct index to the text"; Hocken, 1962 [ 2 7 4 ] , p. 93:"The titles were not explicit enough"; Crane and Bernier, 1959 [ 1 4 5 ] , p. 1053:"Li sts of titles can be prepared rapidly, but they are inadequately useful in selecting
articles of interest, and they provide little or no directly usable information";
Dowell and Mars hall, 1962, [ l 5 9 l , p. 324: "Frequently titles either lack sufficientdetail or are in fact misleading"; Connolly, 1963 [ 1 3 6 ] , p. 35: "Most titles are
inadequate as descriptions of the contents of papers. "UMontgomery and Swanson, 1962 [ 4 2 l ] , p. 364.

I'
Ibid, p. 366.

±1
Jahoda, 1962 [ 2 9 8 ] , p. 75.

61

in its appendices, which was not the principal concern of the author and may not even havebeen considered significant by him. The claim that the author, who knows his own subject
best, has already indexed his paper best by his choice of words and emphasis in text, andespecially in his title, is pertinent only to that main subject to which he addresses himself,
not to the other potentially useful information which he may also disclose.
Other extrinsic factors affecting title adequacy and hence the effectiveness of title indexes are the size and the relative homogeneity or heterogeneity of the collection or setof documents so indexed, the breadth or narrowness of the subject field or fields covered,
the time period covered and whether for one or many fields. Whether or not material inmore than one language is included is a special factor. These various factors interact invarious ways, usually with disadvantageous effects when even the most "nondescript"
human indexer (that i s , one who accepts only words from the text itself) is replaced by"a keypunch operator whose job it is to convert the keywords into machine-readable form,
and a machine whose job it is to assimilate machine-readable text and print out its permutations with each significant word serving as an access point. " ]J
The difficulties of subject scatter, synonymy, homography, redundancy, and thelike, however, will also occur in human indexing that relies heavily on title only, whichis perhaps more frequently the case than is generally recognized, zJ just as much as formachine-gene rated indexes involving the permutations of keywords in titles. Such disadvantages must therefore be balanced not only against the advantages of speed, timeliness,having an index announcement tool personally available at low cost, and the like, but also
against the probability of obtaining as useful a tool within the limits of available humanindexing resources and justifiable costs. Cleverdon, for example, comments as follows:"There are those who would say that this [KWIC] can in no way be called indexing,
and that the value of such indexing must be very much lower than that done byintelligent trained human beings. This is a comfortable thought, but such small
evidence as is at present available makes it appear doubtful as to whether it isentirely true. This is not to say that a human being cannot do a better job, but it
certainly appears likely that the cost of employing a human being to do it is of
doubtful economic value. " 3/U
Herner, 1962 [ 2 6 6 ] , p. 4.

U
See, for example, Moss, 1962 [ 4 2 5 ] , p. 39: "I am convinced that a great many of
the UDC and other numbers which are provided on millions of cards in technicallibraries up and down the country, and which look so erudite, are, in fact, no morethan cards transliterating titles, with occasionally similar transliteration of a few
randomly chosen words from the abstracts as well. . .We are, in effect, alreadylargely using title indexing and complicating it unnecessarily by magic numbers. "See also Crane and Bernier, 1958 [144], p. 514: "Some indexes to periodicals,particularly word indexes, are merely indexes of titles of papers or of abstracts. "II
Cleverdon, 1961 [125], pp.107-108.

62

It is also of interest to note, moreover, that the very existence of machine-generated
permuted title indexes should greatly increase the likelihood that authors will use betterand more useful titles, \_l At a seminar on word and vocabulary byproducts of permuted
title indexing held at Biological Abotei^B-headquartesfr-d^^tober 8, 1962, Rigby ofMeteorological and Geoastrophysical Abstracts reported informally that as of that time
there was already discernible improvement in titles covered by their KWIC index. La thesame year (1962), Tukey similarly stated that: "Chemical Titles has been heavily enoughused to affect the construction of titles of papers on chemical subjects. " 2 / Instructions
to authors of the previously mentioned "Short Papers" ZJ for the A . D . I . 1963 Annual
Meeting specified that at least six significant words should be included in their titles andnearly all authors did in fact comply. Two of the "Short Papers" are specifically directedto the topic of improvements that authors can make in writing their titles (Brandenberg,
1963 [80]; Kennedy, 1963 [312]).
Instructions of this type can be effectively used for situations where all authors areunder the same administrative control, as in the internal reports prepared in a single
organization. This type of situation, incidentally, is one for which KWIC proponents areoften most enthusiastic (Kennedy, 1962 [310]; Black, 1962 [65]; Linder, I960 [362]).
Finally, there is considerable promise that pressures brought to bear by journal editorsof the publications of professional societies, notably the American Institute of Chemical
Engineers and other cooperating member societies of the Engineers Joint Council, will
result in improved adequacy of titles and thereby increased effectiveness of title word
indexes.
Certain other disadvantages of KWIC indexing techniques, however, relate specifically to operational problems and requirements in the machine production of these indexes.
There i s , first, the problem of the amount of context that is usually displayed--that i s , thequestion of line length--and the related problems of title truncation and wrap-around. As
Kennedy notes: "Progressive shifting of the title to bring a given word to the indexing
column frequently causes portions of the title to exceed the line space available, first at
the right margin, then the left, or even both simultaneously. " 47 A case in point is theperhaps apocryphal "EROTIC TENDENCIES AMONG TRAPPIST MONKS" where"ATHEROSCL" had been dropped off at the left.
For multi-column KWIC indexes, in particular, where the line length is typically
58-60 characters, "much of the relevance is lost because the reader sees the wrong sliceof the title". 5/ The Bell Laboratories KWIC index, 6/ Chemical-Biological Activities, 7/

See for example, Black, 1962 [65], p. 317; Youden, 1963 [658], p. 332.

yTukey, 1962 [611], pp. 9-10.

1'Luhn, 1963 [376] and [377].

±1
Kennedy, 1961 [311], p. 117.

II
Brandenberg, 1963 [80], p. 57.

£/
Kennedy, 1961 [311], p. 118.

V
Figures 4 and 5.
63and Youden's indexes to ACM papers (1963 [ 6 5 9 ] and [ 66o]) illustrate single-column
formats that alleviate this problem by extending the title line to 103-106 characters, exclusive of the identification code. Youden has calculated that for the titles in the field ofcomputer literature which he analyzed 30 percent of the titles would have been truncatedin 60-character title line formats, but that only 2 percent would have been chopped by 103character title length limits. If
A second disadvantageous effect of machine production requirements in most KWIC
indexes is the tedious sequential scanning necessary because of the unbroken organizationof the page format and the long blocks that occur for frequently occurring word entries.
Doyle (1959 C 168], 1961 [ 166]) has investigated this problem of block length and suggests
either that alphabetization be carried out to the iwords following those in the indexing
window or that the entries in the block be permuted also in a second-order cycle. The
latter suggestion has the advantage of facilitating any two-term coordinate indexing
type of search, "because one can now look up directly any pair of subject words, regardl e s s of whether or not they occur adjacently in a sentence."
Redundancy in KWIC indexes, which aggravates the sequential scanning and the longblock fatigue effects, is in large part the result of difficulties in establishing the mostappropriate bounds for exclusion or "stop" l i s t s . We have previously distinguishedmachine-generated indexes of the derivatiye type from certain of the machine-compiled
indexes primarily on the basis that in the first case, the criteria for determining thesignificance of the keywords to be used as the index access points are applied automatically during the machine processing, even if the selectivity so achieved is only
"negative selectivity. f l _' The amount of index entry redundancy, of too many entries
and of irrelevant entries i s , in simple KWIC indexing, a direct function of the length andcontents of the stop list.
In Luhn's original proposals for both KWIC and other types of automatic indexing,
he pointed out the importance of the rules which must be established in order todifferentiate the significant words from the nonsignificant. He says, for example:"Since significance is difficult to predict, it is more practicable to isolate itby rejecting all obviously nonsignificant or 'common' words, with the risk ofadmitting certain words of questionable value. Such words may subsequently beeliminated or tolerated as 'noise 1 . A list of non*significant words would include
articles, conjunctions, prepositions, auxiliary verbs, certain adjectives, and words
such as 'report 1 ,'analysis', 'theory', and the like. "yW. W. Youden, 1963 [ 4 5 8 ] , p. 331.
Doyle, 1961 [ l 6 6 ] , p. 13.
Artandi, 1963 [ 2 0 ] , p. 15.

±1Luhn, 1959 [ 3 8 l ] , p.289.

64

Interesting variations are to be noted in the current practices of using stop l i s t s .
Some lists are quite short, and others extend to several thousand words. Parkins reportsthat a mere 14 words on the stop lists used for B. A. S.I. C. are responsible for 80 percentof the title lines that need not be printed, but that their original list of 200 stop words grewquite rapidly to more than 1,000 now in use. 1/Chemical Abstracts Service representatives
reported in 1962 an initial list of about 1, 000 words which dropped to 300 at one time andthen was increased again to the original level. =-' Using a stop list of 82 words eliminated
30 percent of a 42, 000-word corpus of internal reports at the System Development
Corporation, (Olney, 1961 [456]).
Critical questions in the establishment of stop lists relate to the problem of balancing
the economics of the number of title lines to be printed and to be subsequently scanned
against the loss of retrieval effectiveness if certain words are omitted from the search
entry positions. How this balance should be achieved may vary from one subject field toanother and between different organizations. In several regularly published KWIC indexes,
the actual list used to exclude the presumably nonsignificant words is printed so that theuser can check before proceeding to actual search. Williams has suggested that each
excluded word be listed once, in its proper alphabetic place in the index, if it occurs in
the titles of the particular set of items being indexed.
In general, however, not enough i s yet known about the requirements of particularsubject fields and particular types of organization to arrive at the most effective comprom i s e s in establishing exclusion lists for keyword indexing. Noting that stop lists in
actual use vary from only a few function words such as prepositions and conjunctions tolists several hundred words long, Brandenberg points out that:"At the present state of the KWIC indexing art the selection of stop words appears
to be largely arbitrary and a comparison of half a dozen stop lists shows that they
have about two dozen words in common. 11
Kennedy and Doyle both specifically suggest that more research on the contents andeffects of stop lists is necessary, (Kennedy, rj l%|l [31*11, 1962 [ 3 1 0 ] ; Doyle, 1963 [ l 6 2 ] ) ,but Kennedy points out the ease with which the machine programs themselves can be used
for modification of the l i s t s .

yParkins, 1963 [ 4 6 6 ] , p.27.
F. A. Tate, discussions at seminar on the word and vocabulary byproducts of permuted title indexing, Biological Abstracts headquarters, October 8, 1962.

I'
T. M. Williams, discussions at seminar on word and vocabulary byproducts of permuted title indexing, Biological Abstracts headquarters, October 8, 1962.

±1
Brandenberg, 1963 [ 8 0 ] , p. 57.

1'
See also Clark, (I960 [ 1 2 3 ] , p. 459), who suggests: "It is very probable. . .that the
cut-off points [for most common, for very infrequent, words] will have to be adjusted
to the material we actually use. The effect on the process of such factors as style,size of text, the complexity of the subject matter, and the like, i s as yet not clearly
seen. The collection of large amounts of text and their analysis will undoubtedly be
the best way of deter mining the effects of these variables. "65

Some of the reasons for keeping stop lists short, however, may reflect unnecessary
programming difficulties. Turner and Kennedy have reported that in the SAPIR system atitle word is compared only with the group of nonsignificant words that have the same
number of characters, in order to reduce the machine time required for the exclusion
list search. 2 / Skaggs and Spangler give an account of an exclusion list system developed
for general text processing as follows:n

A representative form developed by General Electric is composed of three groups
of words, high frequency, special and standard. The high frequency words (25)
occur most frequently in English text. A compression of approximately 35 percent
will occur for most kinds of text when these 25 words are deleted. The special
words are derived from the particular body of text being processed. The composition of this group is left to the program user. Normally the words for thisgroup are selected by making an Editing list in alphabetical sequence. The words
appearing in the index position on the preliminary listing are then reviewed.
"Standard words are words that occur with a relatively high frequency in mosttypes of text and therefore are appropriate for a general purpose screen. In the
GE program, 375 words are used in this group.
n

To minimize computer processing time, it is desirable that words in the Exclusion Dictionary be arranged in approximate order of their frequency ofoccurrence.
.. 2 /It should be noted, however, that in most cases stop list searches can be programmed in
the form of so-called "logarithmic", "partitioning" or "bifurcation" searches in which
the number of machine operations required is only log£ N + 1, where'N is the number ofwords in the list.
The more words excluded, the fewer the title entry lines that must be included in
the final index. This is a factor involving first of all the user in the sequential scanninghe must do, where, as Coates has remarked, the retrieval effectiveness is usually ininverse proportion to the amount of such scanning required..lA Secondly, longer stop lists
help to minimize the long block problem, since it i s obviously the most frequently
occurring title words that have not been excluded that cause thellbngest blocks of entries.

Turner and Kennedy, 1961 [ 6 1 4 ] , p. 7.

U
Skaggs and Spangler, 1963 [557], p. 29.
Coates, 1962 [ 1 3 4 ] , p. 430.

66

The important economic factor, however, is the total number of lines to be printed in theindex, which is directly reflected in page costs. The effects of page costs, in turn,engender compromises in printing quality, such as page format and size of type. These
are among the serious unresolved problems that affect user acceptance of KWIC indexes
and involve questions of format, legibility, character s e t s , and size of the index.
In general, however, in the present state of the art of KWIC indexing, the consensus
seems to be that of qualified praise, especially for the early announcement and dissemination applications. The KWIC index i s recognized as responding to a definite need,—'as having merit for fields in whiph more conventional indexes do not exist as well as for
current awareness searching,?,/ as receiving excellent response from users "because
they can take a handy booklet, sit down at a table and look under the words they know anduse, and which they expect other engineers to use in titles. " 2 / Bernier and Crane, after
considering comparative effectiveness data for subject as against word indexing, come tothe following conclusions:"Title lists keyed by words have value for quick distribution and fast use since timeis often a very important element in the obtaining of information. Such lists do notserve adequately for thorough searching. . . . A title concordance may be more u s e ful than would s e e m from the . . . data on index entries. However, it must obviously
be incomplete, must have many unnecessary entries, and would not prove suggestive
enough to users who lack background in the subjects sought. " 2/
Additional benefits can quite readily be obtained by taking advantage of the bibliographic information once it is in machine-readable form to provide selective KWIC
indexes (Balz and Stanwood, 1963 [28]? Black, 1962 [65J; Carroll and Summit, 1962 [102 j)
machine retrieval of item citations by specified keywords. (Kennedy 1961 p l l ] ) andselections of items geared to a Selective Dissemination of Information System (Barnes andResnick, 1963 [ 3 6 ] ; Balz and Stanwood, 1963 [281). Gallianza and Kennedy at theLawrence Radiation Laboratory, for example* "report as being under development
programs for the IBM 1401 and 7090 computers W&ich*ill combine KWIC type indexing
features with the logical search operators "AND^ "dR", and "IF" in order that users
may specify subject searches in ordinary English language terms.'§/U
Clapp, 1963 [ 1 2 2 ] , p. 7,

yMarkus, 1962 [ 3 9 4 ] , p. 19.

IIBlack, 1962 [ 6 5 ] , p. 316.

±1
Bernier and Crane, 1962 [ 5 6 ] , p. 120.
National Science Foundation's* CR&D Report No. 11, [430] , p. 42.

67

3. 2 Modified Derivative Indexing
Some of the more obvious of the disadvantages of KWIC indexing techniques can be
reduced if not eliminated by a variety of human and machine procedures. These include
augmentation of titles to provide additional clues to subject aspects, ^manual post-editing,and synonym reduction through such devices as thesaurus lookups*
The ink was scarcely dry on the first issues of a KWIC index before a number ofsuggestions for improvements, modifications, and augmentations were proffered in theliterature. In fact, both Luhn and Baxendale considered various possible refinements intheir original proposals. The first systematic review of work in the field of automatic
extracting--whether to produce indexes or abstracts, or both--was made by Edmundson
and Wyllys in 196lD[18l]. They covered not only the KWIC type indexes as such, but also
modifications suggested by Baxendale, Luhn, Oswald and others, and they themselvesadvanced a number of additional possibilities. Of the various modifications and refinements that have been suggested, the most obvious is that of title augmentation.
3. 2. 1 Title Augmentation
The machine-prepared index that was probably the first to go into productive operation is actually one involving title and subject indicators rather than pure keyword-fromtitle permutations. The CIA project, beginning in 1952, is based upon manual preediting of the titles themselves, with the words to be picked up as index entries being
underlined. In addition, it involves assignment of other words, descriptors or terms
from a hierarchical classification schedule to indicate additional access points (Veilleux,1961 [ 6 2 4 ] .
In later KWIC type indexing, the possibilities of improving effectiveness by preediting or post-editing to modify and expand titles have been suggested and explored by anumber of investigators. The semi-automatic indexing reported by Janaske adds
descriptive words or phrases in parentheses at the end of titles and uses them asadditional indexing points (Janaske, 1962 [ 2 9 9 ] ) . At Biological Abstracts Service,improvements have been obtained (without sacrifice in the speed desired in order to index
5, 000 abstracts twice a month') by title supplementation as well as by an improved stop
list and by post-editing word divisions and word recombinations. U Titles for each of
two 12,000-item bibliographies in the field of radiobiology are reported as being editedconsiderably before KWIC type processing. 2/' Other examples of modified derivativeindexing based on title augmentation include Chemical Patents —; the Applied Physics
Letters indexing project at Oak Ridge National Laboratory, which provides for an authorprepared form to describe features of property and method not covered in the title, ZJ
and the KWIC Index to Neurochemistry ([420]).
1/Parkins, 1963, [ 4 6 6 ] , p. 27.
2/
Davis, 1963 [,150l,p. 238.
3/
See Markus, 1962 [ 3 9 4 ] , p. 19, and ref. [ 6 6 2 ] .

±1Connolly, 1963 [ 1 3 6 ] , p. 35.

68

To some extent, however, the use of human editors to improve the product of KWIC
type indexing defeats the initial purf^te of a quick and purely clerical or mechanicalprocess. Thus, Dowell and Marshall argue:" . . . The basic permuted-title index can be substantially improved by editing and rewriting the titles before they are submitted to the computer. . . . But this of course,
destroys the great advantage claimed for the permuted title index, 'that it is apurely clerical process 1 . Intellectual effort has entered the picture again and weare back where we started. " A/
In the extreme case, the re-introduction of intellectual effort is in effect the re-introduction of conventional human indexing, with the machine's role limited to that of compilation,
as in the case of the "notation-of-content" statements prepared for NASA's STAR
System (Slamecka and Zunde, 1963 [ 5 6 l ] ; Newbaker and Savage, 1963 [ 4 3 0 ] ) .
Kennedy suggests instead, therefore, that the augmentation might be accomplished by
the authors themselves. However, it may then be pointed out, as by Bernier and Crane,
for example, that the supplementation of titles before publication in order to provide
suitable additional indexing words would be "awkward, space-consuming and difficult".
They continue:"It would call for the attention of index experts at the manuscript stage, which would
delay publication and expand the total indexing effort. Furthermore, good, thoroughindexes are based on the full information of abstracts and papers, not on their titles
only. " yAn alternative method for title augmentation to improve the quality of KWIC indexingis therefore to establish procedures for machine selection of significant words from moreof the text than just the titles alone. In fact, Luhn himself did not limit his technique as
originally proposed to titles only but indicated that the process could be performed atvarious levels: title, abstract, or full text. $J In the 1958 permuted index to the ICSI
preprints, entries were derived from titles, author's names, author affiliations, headings
within the paper, figure and table captions, and sentences and phrases taken directlyfrom text. Z! Combinations of human and machine procedures based on sentences andphrases selected from text are described by Herner who cites a two-fold advantage:"First, it is not wholly dependent on the informativeness or lack of informativeness of
titles and bibliographic citations, and, second, it affords a greater depth of analysis thanis generally possible where titles or bibliographic descriptions alone are used.

17
Dowell and Marshall, 1962 [ 1 5 9 ] , p. 324-325.
Bernier and Crane, 1962 [ 5 6 ] , p. 117.
Luhn 1959 C 3 8 l ] , p. 289.

±1
Citron, et al, 1958 [ 1 2 0 ] , p. i.

1/Herner, 1963 [ 2 6 4 ] , pp. 1-2.

69

Taking more text as the basis for automatic derivative indexing adds, of course, theproblems and costs of keystroking additional input material. At the same time, most of
the major problems of scatter of references, synonymity, redundancy and exclusive
reliance on the author's own language and terminology not only remain but may quite
probably be intensified. The problems of establishing suitatle rules for selection of
Significant words are aggravated, not only by the far larger number of different words tobe processed, but because of unresolved problems in effectively relating length of index
and depth of indexing to the length of the document. 2 /There are, however, a number of practical suggestions by which machine augmentation of titles might be accomplished. First is the invariant selection of words that arecapitalized, other than those that begin a sentence. U As Wyllys points out, this type of
selection criterion would emphasize proper names, and these in turn might be particularly
valuable clues, especially in a military intelligence situation. U It has also beensuggested that the selection criteria should depend on particular pre-specified contexts,
such as being preceded by the words: "the results were. . . , ", "in conclusion . . . ", andthe like.
A second type of machine selection procedure is the converse of the exclusion orstop list, namely, an inclusion list or dictionary which may involve especially significant
words for a particular subject matter area or words that are of importance to a particularorganization. In the discussions of the Area 5 ICSI papers it was remarked:"Another complication is that mechanized indexing finds in a paper what was
important to the author. What happens if there is something in the paper notimportant to the author but of importance to the indexer? One possibility is
to have a list of words and phrases expressing the interests of a particularcollection, which the machine looks for in the papers. If this word or phrase
occurs even once, it should be picked up as an indexing t e r m . ! l £'1/
See, for example, Wyllys, 1963 [653], p*22.
See Luhn, 1959 [ 3 7 1 ] , p. 52; [ 3 8 4 ] , p. 8.

II
Wyllys, 1963 [ 6 5 3 ] , p. 15.

±1
See Ref. [ 5 7 8 ] , p. 1263. See also, among others, Luhn, 1959 [ 3 7 1 ] , p. 52: "Just as
common words have been eliminated by look-up in a special index, certain essential
words may be looked up in another special index for the purpose of listing them under
any circumstances".

70

This approach to the selection problem can be combined with other devices, as in the"Selective Dissemination 1 ' system described by Kraft in which keyword extraction indexing
is applied to abstract, title, author's name and manually assigned index terms, after
processing of all input material against both "in" and "out11 dictionary l i s t s . 2 /The use of abstracts rather than full text as source material makes the selection
criteria problems somewhat l e s s severe. In addition, there is evidence to suggest thatthe abstract does contain much of the significant information that would normally beindexed and the text of the abstract is therefore a fertile field for title augmentation. In
experiments conducted by Slamecka and Zunde on the comparison of indexing terms
manually assigned with the occurrences of the names of these terms in abstracts used inNASA's STAR system, it was found that 80. 4 percent of the assigned terms were containedin the abstracts. zJ Swanson, on the other hand, suggests that, at least for short articles
having homogeneous subject matter, title and first paragraph ff are nearly as good as full

text. " I!
A combination inclusion-exclusion list system may involve prior "weighting forrelevance "of words that are judged by human analysts to be significant for purposes ofsearch and retrieval, as suggested by Swanson, for example:"The computer first separates those words which are important for purposes of
information retrieval from those which are unimportant. This is accomplished bymeans of looking up each word in an alphabetized word list with which the computeris furnished. Each word in this word list carries a 'weight 1 which reflects anestimate of its importance for retrieval purposes. Words of zero weight arecompletely unimportant and discarded by the computer for indexing entries. " ^jContinuing work at Thompson Ramo-Woold ridge on automatic indexing methods includes
further investigation of assignments of relevance weight estimates to words and phrases,(1959 [ 4 9 0 ] and [ 4 9 1 ] , 1963 [ 6 0 2 ] ) .
3 . 2 . 2 Book Indexing By Computer
For internal indexing, that i s , the subject indexing of the contents of a single book orreport, automatic indexing experiments are usually directed toward the processing offull text, with use of stop lists of various lengths. The work of Artandi for her doctorate

U
Kraft, 1963 [ 3 3 4 ] , pp.69-70.

I)
Slamecka and Zunde, 1963 [ 5 6 l ] . In addition they report (p. 139) that a large numberof the terms not found were "either broad, general terms (i. e. , 'device 1 ) or genericlevel concepts of terms contained in the abstracts. "Swanson, 1963 [ 580] , p. 1.

±1
Ibid, p. 1.

71

at Rutgers in indexing of a book by computer programs (1963 [ 2 0 ] and [ 22]) is an example
of such modified derivative indexing. Specifically, Artandi's method involves:(1)

Establishment of a list of key terms appropriate to a given subject
area to be used as an inclusion list for word extractions from text.

(2)

Application of an appropriate syndetic apparatus to be used in thecompilation and ordering of the index entries.

(3)

Means for the automatic selection of index entries other than thoseon the pre-specified inclusion list, especially for the selection ofproper names.

The text used by Artandi for her study consisted of a 59-page chapter on halogens
from J. W. Mellor's Modern Inorganic Chemistry. This text was keypunched withspecial tags being assigned to indicate the page numbers and the incidence of capitalized
words in the text. Text words greater than three characters in length were first checkedagainst the inclusion dictionary of "detection terms 11 . There was, in addition, an"expression term 1 ' dictionary which constituted the vocabulary of the final index and inwhich a given expression term might or might not be identical with the corresponding
detection term. Cross-references were supplied by a program routine which checks theindex term list against a list of expression terms with their detection terms grouped
under them and which compiles cross-reference entries, one for each detection term
associated with an expression term appearing on the index list.
For her experimental corpus, Artandi's program developed 363 page references,
138 different index entries and 35 c r o s s - r e f e r e n c e s . She compared these results withthose obtainable by conventional human indexing with respect to the factors of heading
density (ratio of number of entries to number of words in the book), entry density (ratioof the number of page references to the number of pages), and distribution (ratios ofentries for chemical compounds, proper names, and subject entries to the total numberof entries. No indexing errors were found in the computer-gene rated index for a 5
percent random sample of the pages of the corpus, but five omissions were found in themachine indexing of these sample pages. Artandi concluded, however, that although thequality of indexing appeared favorable, the costs, which approximated $1. 50 per page
indexed, were impractically high.
Book indexing by computer has also been investigated by Maloney, Dukes, and Green
at the Army Biological Laboratories, Fort Detrick, Maryland.U Input is based on the byproduct paper tape generated when the manuscript is typed on a tape typewriter. The
paper tape is in turn converted to punched cards which are then processed by a UNIVAC
SS-90 II computer in an editing run that deletes unrecognizable codes and then stores page,u
C. J. Maloney, private communication. A report by C. J. Maloney, J. Dukes, andS. Green, "Indexing reports by computer" is in process of preparation for
publication.

72

line, sentence number and other reference identifications. After re-processing against
a stop list of common words, all other words in the edited text are selected as
candidate index entries, these are then sorted into alphabetical order with subsequent
printout giving each word occurrenfcl followed by tfie entire sentence which contained it
and the page and other location identifications. This computer output is then post-edited
manually not only to eliminate trivial entries but also to normalize terms and phrases
used.
3 . 2 . 3 Modified Derivative Indexing - Baxendale's Experiments
As has been previously noted in the introduction to this report, the name of Phyllis
Baxendale together with that of H. P. Luhn is generally accorded credit for pioneering
efforts in the entire area of automatic indexing.Baxendale in particular is generally
credited with the first actual experiments in modified derivative indexing. In investigation beginning in the late 1950's, she has explored not only statistical approaches toautomatic selection of index terms (based for example on word frequencies) but also theuse of word pairs, word groups, contextual associations, and in particular the subjectindicating clues of prepositional phrases (Baxendale, 1958 [ 4 l ] , 1961 [ 4 0 ] , 1962 [ 4 2 ] ;Becker, I960 [ 4 4 ] ; Edmundson and Wyllys, 1961 [ l 8 l ] ) .
Baxendale began by considering the patterns of scanning that humans typically use
to select "topic" sentences, phrases and words, and she then proceeded to simulate bycomputer program the selection of phrases consisting primarily of nouns and modifiers.
In her first experiments, (1958 [ 4 l ] ) she used two methods of automatic selection. In
the first procedure, words serving the grammatical functions of pronoun, article,
auxiliary verb, conjunction and the like, were deleted by stop list lookup. Frequency
count statistics were then derived for the remaining words. In her second procedure,
the computer was programmed to select prepositional phrases from text and to use thefour words succeeding the preposition as index entries unless an additional preposition ora punctuation mark is first encountered.
In later experiments, Baxendale has explored possible grammatical models "which
would select all and only nouns or adjective-noun combinations". U Taking as an initial
corpus a sample of document titles, rules were devised to reject for human analysis titles
with question-marks and the like, to eliminate numeric information and single symbols,
and to segment the title into its component clauses and phrases by the detection ofcommas, periods, and similar clues. By list lookup, certain words are identified ascapable of serving the syntactic functions of being quantifiers, prepositions, or clause
introducers. Special subscripts are then assigned to these words and the subscripts are
examined by machine to provide further segmentation; to delete quantifiers, auxiliary
verbs, or words ending in "ed" or "ing" and preceded by an auxiliary verb, and to determine relationship functions between the remaining, presumably substantive, words.
Still other work by Baxendale has been directed toward the development of frequency
of co-occurrence or textual association of candidate indexing terms. She reports asfollows:y
Baxendale, 1961 [ 40] , p. 209.

73

fl

[ln the frequency m a t r i x } . . the diagonal elements . . . give the total frequency of anindex term and the off-diagonal gives the frequency of co-occurrence of two terms.
The diagonal of the 'context 1 matrix represents that portion of the total vocabulary
with which an individual term has been coordinated, and the off-diagonal the extent
to which two terms have common context. . . Such matrices give a basis for examining
the extent to which terms are generic or specific within the context of the collectionof documents. One can speculate that terms occurring with high frequency and wide
context, i. e . , with frequencies distributed amongst all or nearly all off-diagonal
elements of the matrix are of such broad connotation as to be indifferent discriminators of content . . . The frequency and context matrices can again be used to determine the modifiers with which they can most meaningfully be coupled for thecollection of documents being considered. n •=-'
Finally, Baxendale notes that on the basis of her studies it should be possible toselect quasi-subject headings based on frequency counting criteria, but then to order theremaining vocabulary of selected terms according to contextual measures of association
which are semantic, syntactic, or statistical in nature. Experimental results for acollection of 1, 500 documents included semantic associations between "searching" and"retrieval 11 , syntactic associations of "machine" or "literature" with "retrieval", andthe apparently misleading association of "metal" with "retrieval" which, however, had
statistical significance within the particular document sample. —Other investigators who have explored noun-adjective clues for selection include
Anger, Chonez, Langleben and Shumilina, and Swanson. Anger looked for relationships
indicated by syntactic dependencies or by noun-adjective and adjective-adverb linkages,
and gave in an appendix a suggested program for phrase inversions.
Chonez has
described a computer program which by recognizing "separating" words, especially
prepositions, and applying "pseudo-grammatical" rules compiles an index to English
language items in the fields of ionized gas physics and thermonuclear fusion. It isclaimed that:"The subject index thus prepared is similar in presentation to Luhn's KWIC indexes,
but is fundamentally different in conception and is in fact intermediate between. . .
(this) . . . and the conventional alphabetic subject indexes. " i 'Langleben and Shumilina are concerned with machine-aided procedures for translation from natural language materials to an intermediary or documentation language.

yIbid, pp.215-216.

UIbid, pp. 216-217.

II
Anger, 1961 [ 1 5 ] , pp. III-6 ff.

±1
Chonez, et al, 1963 [ 119], p. 31.

74

They indicate, for example, that the preposition n from l ! serves as a key for the treatmentof two nouns connected by it. ±J Swanson, describing research project progress at Ramo
Wooldridge as of I960, reported to the National Symposium on Machine Translation withrespect to multiple meaning problems as follows:"We are also investigating the possibility of discovering semantic attributes ofwords based upon certain automatically recognizable statistical features of thecontext. Our initial endeavor in this direction has been to attempt to discovera classification system for nouns based upon their frequency spectrum of categories of modifying adjectives, these categories being automatically recognizable."—3. 3 Derivative Indexing From Automatic Abstracting Techniques
While Baxendale's work has had certain points in common with automatic abstracting
or extracting p r o c e s s e s , particularly in the use of word frequency statistics and theconsideration of possibilities for first selecting topic sentences, her major interests inthis area have been in automatic indexing as such, rather than in machine selection ofsentences from text to serve as an automatic extract or derivative abstract of the
document. Much of the machine processing to date of full text for documentation
purposes, however, has had the latter goal as the principal research objective.
As we have previously noted, the subject of automatic abstracting or autocondensation is not in itself a primary concern of this survey. Nevertheless, the significant words occurring in the abstract of a document, whether generated by man or bymachine, are obviously good candidates for indexing terms. Moreover, it has beenstrongly suggested that the questions of using positional, editorial, and syntactical clues
in order to improve automatic indexing techniques will profit by research that is being
done in both automatic extracting procedures and in other types of linguistic data processing based upon full text. 3/
3 . 3 . 1 Auto-Condensation and Auto-Encoding Techniques of H. P. Luhn
Although Luhn's work in the field of documentation aided by machine has had its best
known and most popular acceptance with respect to the KWIC index proper, even moreprovocative possibilities lie in the development of some of the auto-condensation and autoenc.oding techniques which he also proposed, especially for full text processing. In thisarea, although he himself has also suggested a variety of possible improvements andrefinements, the actual experimental work done by him and by his associates has mostly
been done on the basis of word frequency statistics.

±7
Langleben and Shumilina, 1962 [ 3 4 7 ] , p. 109.

U
Swanson, 1961 [ 5 8 5 ] , pp. 391-392.

1'See, for example, Wyllys, 1963 [ 6 5 3 ] , p. 7.

75

Considering first the most frequently occurring words in a given text as too common
to be subject-indicative (those usually stopped or purged by a suitable exclusion dictionaryor stop list, for example) and next the least frequent words as being rarely topical in acontent-revealing sense, Luhn settles upon a middle range of frequency of word occurrence as the basis for his auto-condensation p r o c e s s e s . The actual frequency counts arecomputed, together with indications of page, line, and occurrence within the samesentence. When this has been done for the complete text, each individual sentence is thenchecked for the "score" of relatively high frequency words occurring in it, and sentenceswith the highest scores are then automatically selected, in textually-occur ring order, andare printed out as an abstract, more properly an extract, of the document.
The automatic encoding of documents may be achieved either by taking the hightanking words of the selected sentences or by selecting the highest ranking of the words
in the entire document as index entries. Luhn typically justifies these procedures asfollows:"Of various automatic procedures for deriving typical patterns for characterizing
documents, the systems here proposed are based on operations involving
statistical properties of words . . . It is held that the more often a certain word
appears in a document the more it becomes representative of the subject matter
treated by the author. In grading words in accordance with the frequency of usage
within a document, a pattern is derived which is typical of that document and uniqueamongst all similarly derived patterns of a collection of documents. It is proposedthat the more similar two such patterns are the more similar is the intellectual
contents of the documents they represent. . .
" . . . The creation of an encoding pattern may consist of listing an appropriate
portion of the words ranking highest on the word frequency list derived from adocument. Experiments conducted so far on documents ranging in size from 500
to 5000 words have indicated that word patterns consisting of from ten to twentyfour of the highest ranking words furnish adequate discrimination and resolution
for retrieval, sixteen such words being a likely average. " hJ
At Wright-Patterson Air Force Base an automated information selection andretrieval system has been developed jointly by Air Force and IBM personnel(Gallagher and Toomey, 1963 [ 2 0 5 ] ) . It involves both auto-indexing and autoabstracting techniques following the Luhn word-frequency-counting techniques. P r e editing is applied to demarcate fields (e. g. , title, author) and to flag certain text words,
particularly proper names, for special treatment. Special treatment, over and above thefrequency-based selection score, is also given to words in the title field.
On the abstracting side, modifications to the original Luhn formula involve
segmenting sentences in terms of strings of both high and low valued words separated
by either periods or continuous strings of low valued words, on the assumption thatlong consecutive strings of low value words should weight negatively. The automatic
extract c o n s i s t s of the highest ranking 20 percent of the sentences subject to therestriction that no l e s s than 7 and no more than 20 sentences should be selected. On theindexing side, the investigators report:

U
Luhn, 1959 [ 3 7 1 ] , p. 47.

76

"As it is currently run, the auto-indexing program selects about one word in ten
as a keyword in articles of three thousand words or l e s s . In articles longer than
three thousand words it tends to pick about one word in fifteen. This high incidenceof keywords naturally increasen the amount of noise results returned by the query
program, although good search strategy cuts them down considerably. n ]J
As of October 1963, the system was reported to be fully operative although not as
yet extensively tested in actual use. Gallagher and Toomey give illustrative auto-extract
results on two tested papers, one being Luhn ! s own "Automatic Creation of Literature
Abstracts". They give comparative results for manual versus machine selection of keywords as index or search terms with 88. 6 percent agreement, the human indexers having
selected, in 6 tests reported, 132 words and the machine method 117. Modifications
under consideration include pre-edit flagging of terms in author and cited-reference
fields for special weighting, setting the length of the abstract as a function of the total
number of woras in an item, and, in the search program, generating additional searchterms by means of association factor techniques such as those suggested by Stiles.
To the basic approach of straight-forward word frequency counting, Luhn himself
has suggested that improvements might be obtained from considering closely adjacent
words, 2 / word pairs, ~J and reference to vocabularies specific to a given field. ZJ
Other possibilities are capitalized words and lookup against an inclusion list. He alsosuggests:"If certain words could be given in their relationships to other words, more
specific meanings may be identified by such combinations. These relationships
may range from the mere co-occurrence of certain words within a phrase or
sentence to the combinations of specific parts of speech. " .5/
Various investigators have proceeded to explore these and other possible improvements, including incorporation of relative frequency information, use of information
about distances between high-ranked significant words, word pairs and word n-tuples,yGallagher and Toomey, 1963 [ 2 0 5 ] , p. 51.

l!
Luhn, 1959 [ 3 8 4 ] , p. 10.
Luhn, 1962 [ 3 7 3 ] , p. 11.

±JLuhn, 1959 [ 3 8 4 ] , pp. 8 and 10.

1'
Ibid, p. 5.

77

and other devices to improve detection of significant clues to subject content. Representative examples of such work will be discussed below. In addition, investigators
abroad have developed modifications to the basic Luhn word frequency approach whichappear to be necessary when it is applied to languages other than English. U
Thus, for example, Purto reports various investigations conducted by V. A. Argayev
and V. V. Borodin and by himself with respect to Russian language documents. 2/ Purto
notes first that the Luhn method as applied to Russian language materials selectssentences which, while having the largest "significance coefficients", were not those mostessential to the meaning and further that: "an abstract in Russian made by Luhn's method
results in a choice of sentences not conveying basic information and not logically connectedwith each other. " 3/ The reasons for such failure he attributes to the fact that words withdifferent frequencies are considered equally important within a sentence for sentence
selection purposes and to the lack of consideration for semantic and grammaticalconnectivity between significant words and between sentences. He then discusses several
methods for determining connectivity, such as the rule that the sentences most closely
connected with each other will be those in which the greatest number of the same significant words occur. 4/
A somewhat different example of difficulties occurring when the basic Luhn technique
is applied to material in languages other than English is given by Levery. He describes
a study of thirty French texts concerned with the development and manufacture of glass.
He reports as follows:"While we followed the classical idea that a relationship between the frequency ofa word and its significance exists, the fact that we worked with French texts forced
us to discount the value of frequency alone.
"French authors generally do not like to repeat the same words, and they vary their
vocabulary. . . It was necessary to combine the frequencies of words with the same
meanings or related to the same idea."".£. dictionary of synonyms was constructed. . . (and) different versions of the sameword had to be regrouped. " £/yNote, however, that in the automatic abstracting program at Thompson RamoWooldridge, s m a l l - s c a l e experiments suggest that automatic abstracting is
as feasible for other Indo-European languages as for English, (1963 [ 6 0 3 ] , p . i i ) .
Also, at the Centre d'Etudes Nucleaire Saclay, automatic extraction experiments
are being applied to texts both in French and other languages, see National Science
Foundations CR&D report No. 6, [ 4 3 0 ] , p. 20.

I)
Purto, 1962 [ 4 8 4 ] . He refers to a report "The problem of automatic abstracting
and a means of solving it", by Argayev and Borodin, apparently available only asa typescript dated 1959.

D
Ibid, p. 3.

±1
Ibid, pp. 3-4.

1'
Levery, 1963 [ 3 5 9 ] , p.235.
78

3. 3. 2 F r e q u e n c i e s of Word n-tuples - Oswald and Others
The first alternative to the basic Luhn word frequency approach in automatic a b stracting techniques to be actively explored was apparently that of Oswald and his
associates. (Oswald et al, 1959 [ 459]; Edmundson et al, 1959 [180]). Like Baxendale,
Oswald was i n t e r e s t e d in word p a i r s and word groups, p a r t i c u l a r l y compound-noun andadjective-nounr compositions, as m o r e revelatory of meaning than single words. Unlike
Baxendale, however, he was interested in the word group itself as selection c r i t e r i o n ,w h e r e a s she had used word group or p h r a s e clues for the selection of (usually) single
indexing t e r m s . Differences between their two approaches, both r e p r e s e n t i n g very early
efforts in the field, a r e s u m m a r i z e d by Edmondson and Wyllys as follows:"Oswald's experiment in automatic abstracting differs from Luhn's and Baxendale's
techniques in that it combines the notion of significance as a function of word
frequency and the notion of significance as a function of word groupings, by employing
juxtapositions of significant words as the basic unit for measuring the importanceof a sentence. . .
r,

It may further be observed that Baxendale's exhibited indexes a r e made up of single
words r a t h e r than word groups, in spite of the strong case she makes for usinggroups...
"Baxendale's work is concerned solely with the automatic construction of indexes;
she does not extend her treatment of word significance into the area of automatic
abstracting. n U
Oswald's " m u l t i t e r m s " , however, w e r e intended to overcome, in the a r e a s of bothautomatic indexing and automatic abstracting, at least some of the difficulty that concepts
are often e x p r e s s e d in compound nouns, word p a i r s , and longer groups of words c o n s i s t ing of n-tuples of substantive words or of p h r a s e s . The r e s u l t of considering both word
frequency and word-group frequency is that in Oswald's selection-groups it is usually thecase that only one word of the group has an individually high frequency but the coo c c u r r e n c e feature heightens the significance of the relatively lower frequency words
with which it appears. Thus, for automatic indexing, Oswald proposed significant word
groups as indexing t e r m s , and his c r i t e r i a for selection of sentences to be included inm a c h i n e - g e n e r a t e d extracts a r e similarly based on the number of significant groups inthe sentences chosen.
Other investigators who have stressed the importance of word pairs and longer groups
as n e c e s s a r y to reflect concepts include Bar-Hillel (1959 [33]), Black(1963 [ 6 4 ] ) , Clark(I960 [123]), Doyle (1959 [ 1 6 5 ] ) , and Salton (1963 [ 5 1 9 ] ) . Doyle says succinctly that"when a phrase, or some other aggregation of words, stands for a single idea, its
frequency in a document ought to i n t e r e s t us more than the frequencies of its component
words. " 2/ Salton considers it desirable to use word groups rather than individual words

Edmundson and Wyllys, 1961 [ l 8 l ] , pp231-232.

y
Doyle, 1959 [ l 6 5 ] , p. 11.

79

for purposes of identifying document contents and to use data on the joint occurrence of,words in the same sentence or similar contexts as grouping criteria, Clark points out inparticular that the use of ordered pairs and longer sequences of words to express a single
concept may be highly characteristic of the special technical language used in a specificsubject field, and notably those of the social sciences. £ /Others who have explored word n-tuple# as selection criteria for automatic extraction
operations include such investigators as; Szeihere, Levery, and Yakushin. Szemere'reports an investigation of 39| Swedish patent specifications in the field ofswitching circuits looking for significant wotdrpairs, with emphasis on noun-adjective
combinations (1962 [59l3). The objectives of a project headed by Levery at IBM - France
have been reported as follows:"A series of experiments is planned in the fields of automatic indexing oftechnical texts and technical vocabulary analysis.
I!

A statistical method will be tested to determine the degree of closeness inmeaning of words. The method will consist of studying the pairs of words whichappear together in the majority of texts and calculating a coefficient of correlation from the frequencies. Such work will result in a standard list of notions
frequencies for a particular kind of information.
"Starting from this list, new experiments will be made so as to obtain a listof keywords representing each text. The method will use statistical comparison
between the distribution of frequencies of notions contained in a text and thestandard distributions obtained for the entire corpus. n
2/
Yakushin(1963 [ 654]) develops a variation of the word-pair principle in which helooks for those pairs where the words are, or suggest, names of objects, such as"table-leg". He suggests, further, that so-called "basis nouns" can be established fora given scientific field and entered into an inclusion dictionary, which also contains codes
for the lexical c l a s s e s to which the word can belong and codes for determining whether or
not the word can join with another as a "basis term". Machine routines are thensuggested to develop whether or not given terms are jointly part of the same text, whether
one textually precedes another in a given text, whether or not there is a "nomenclator"
pair. Depending upon the frequency of occurrence of identical or semantically related
nomenclator constructions, it is claimed that subject concepts can be detected. That is:"The method is founded on the finding in a text of so-called basis terms,
established by list, and of the words which explain them. These explanatory
words, which in different contexts refer to one basis term, are grouped andordered according to definite rules into a subject concept. " $JyClark, I960 [ 1 2 3 ] , p.460.

I)
National Science Foundation's CR&D report no. 11, [ 4 3 0 ] , p. 118.

II
Yakushin, 1963 [654], p. 16.

80

3. 3. 3 Relative Frequency Techniques - Edmunds on and Wyllys, and Others
The first comprehensive critique of word frequency approaches to automatic extracting and indexing was undoubtedly that of Bar-Hillel {1959 [ 3 3 ] , I960X 34]), followed closely
by Edmundson and Wyllys (1961 [ l 8 l ] ) , who themselves have experimented with various
alternative or improved methods for obtaining measures of word significance by statisticalanalysis. These critics have been in agreement both on many points of specific criticism
and on suggested possibilities for amelioration of observed difficulties, especially interms of considering relative word frequencies within a particular subject field. In
addition, several other investigators independently proposed a relative frequency approachat about the same time. U
Some typical expressions of opinion on the importance of relative frequency criteria
are as follows:"Let me propose here a system of auto-indexing which, to my knowledge, has neverbeen publicly proposed before in this form and which seems to me superior to any
other system I have heard of . . . Assume that . . . we are given a list of the averagerelative frequencies of all English 'words 1 . . . It would then be possible, for any
given document, to rank-order all the 'words' occurring in this document according
to the excess of their relative frequency within the document over their averagerelative frequency. By some mechanically implementable standard or other, an
initial segment of this list is selected as the index-set. " 27
"Very general considerations from information theory suggest that a word's
information should vary inversely with its frequency rather than directly, its
lower probability evidencing greater selectivity or deliberation in its use. It is
the rare, special, or technical word that will indicate most strongly the subjectof an author's discussion. Here, however, it i s clear that by 'rare' we mustmean rare in general usage, not rare within the document itself. In fact it would
seem natural to regard the contrast between the word's relative frequency f
within the document and its relative frequency r in general use . . . as a more revealing indication of the word's value in indicating the subject, matter of adocument. " $J
1/

Compare, for example, Kochen, 1963 [ 3 2 7 ] , p. 7: "The idea of contrasting words
which occur frequently in a document against the frequency of this word in the
background language for purposes of selecting index terms seem to have beensuggested first by Bohnert and the author, then described in more detail by
Edmundson and Wyllys, and tested empirically by Damerau. Something similar
was suggested even earlier by Bar-Hillel." See Bar-Hillel, 1962 [ 3 5 ] , p. 418,
footnote, with respect to himself, Edmundson, and Bohnert. See also, however,Doyle 1962 [ 163], p. 388: "Edmundson and Wyllys were probably the first to
publicly advocate contrasting word frequencies within a document to word frequencies within a given field and using these relative frequencies as criteria forscoring and selecting sentences. "D

Bar-Hillel, 1959 [ 3 3 ] , pp 4 - 8 - 9 .

3/Edmundson and Wyllys, 1961 [ l 8 l ] , p. 227.

81

"We naturally find that the words of greatest interest are those for which there
exists the greatest contrast between general usage frequency and local (within thearticle) usage frequency. " }J
"Luhn has bypassed syntactical analysis by taking advantage of the information
content of the m o s t frequently used topical words in articles . . . Edmundson et al
take a further step in a desirable direction by bringing in information from outside
the article being analyzed: words and terms are given greater topical value as thecontrast increases between the frequency of use within the article and the rarity ofgeneral usage. n zf
"A further refinement of the process of automatic analysis would be the development of special sets of reference frequencies for special fields of interest. This
would have two benefits: it would become possible to classify documents as tofield, and it would become possible to note the significance of words which arefrequent in the document and frequent in a very large reference class c 0 ofliterature (i. e. , these words would not be significant with respect to c 0 ) but which
are rare in the special field. For example, the word f emotion' might be too
common in general usage to s e e m significant, but frequent occurrence of the word
would stand out in a paper on electronic circuitry (e. g. , of a robot) when comparedwith its frequency in general electrical engineering literature." U"One of the . . . goals is to investigate a relative-frequency approach to the categorization of documents. . . For this investigation it will be necessary to develop
sets of reference frequencies for words used in different subject fields. It wassuggested by Edmundson and Wyllys that these sets of reference frequencies,
when developed, could be used to categorize a document as belonging to a particularsubject-field, by means of measuring the degree of matching (e. g . , with the chisquared test) between the proportional frequencies of words in the documents andthe sets of reference frequencies." 4/
Two points in the comments quoted above appear especially worthy of note. The firstis that of introducing at least some measure of reference to material other than theindividual author's own choice of linguistic expression and specific terms. We shall discuss this factor in more detail in a later section of this report. The second point,derived in part from the first, is the specific suggestion of movement away from purely
derivative indexing by machine in the direction of automatic assignment indexing andautomatic categorization or classification.

Doyle, 1959 [ 1 6 5 ] , p. 9.

I)
Doyle, 1961 C 1693, p. 3.
Edmundson and Wyllys, 1961 [ 1 8 1 ] , p. 228.

±1
Wyllys, 1963 [ 6 5 3 ] , p. 10.

82

Actual experiments in application of relative frequency techniques to automatic extracting p r o c e s s e s have been pursued since 1959 by various investigators. Edmundson
and Wyllys and Damerau (1963 [148])were certainly among the first. Edmundson and
Bohnert were engaged in experimental investigations at Planning Research Corporationin 1959/2/and the following year Edmundson, Oswald, and Wyllys worked on the autoindexing and auto-extracting of the" 40; 600 words of text contained in nine articles in thesubject field of missilery. 2 / Wyllys has continued work on relative frequencies(1963 [653] ). At the System Development Corporation Doyle, in some of his work,hasalso
explored the relative frequency approach (1961 [ l 6 l ] ) v An example in Europe is work
reported by Meyer-Uhlenried and Lustig, where significant keywords from abstracts areused not only as indexing terms directly, but by means of keyword lists and m i c r o thesauri can also be used to assign documents to specific subject fields (1963 [417]).
3 . 3 . 4 Significant Word Distances
Another technique that has been investigated for the improvement of automatic extraction operations based on the statistics of word frequencies is that of distances between
significant words. The desirability of attaching greater weight to n-tuples of immediately
adjacent words and to the co-occurrences of words within the same sentence has been
mentioned previously. Savage, in relatively early work developing some of the initial
proposals of Luhn, considered intra-sentence distances between significant words asfollows:". . . The criterion is the relationship of the high-frequency words to each other,rather than their distribution over the whole sentence. Consequently, it seems
reasonable to consider only those portions of sentences which are bracketed byhigh-frequency words and to set a limit for the distance at which any two suchwords shall be considered as being significantly related . . . An analysis of many
sentences and many documents indicates that a useful limit is four or five nonsignificant words between ai^y two high-frequency words. •' U
Doyle has also hoted the tendency of words that are in fact highly related in a contentrevealing sense to co-occur in the same sentence or as quite direct neighbors. The sameinvestigator has also suggested that word distances can be used to provide "clustering 11
effects that might, for example, sort out the possibly different topics covered.in introductory or background discussions, the main text, and various appendices. —1/
National Science Foundation's CR&D Report No. 5, [ 4 3 0 ] , p33; Bar-Hillel
1962 [ 3 5 ] , p. 418.

U
National Science Foundation^ CR&D Report No. 6 [ 4 3 0 ] , pp 43-44.
Savage 1958 [ 5 2 1 ] , p. 4. Later related work has included a method for generating
auto-extracts which adds to the high-frequency word sentence scores a correction
factor for the number of words in gaps between such words. (See Rath et al, 1961[493].)±1
Doyle 1961 [ l 6 6 ] , p. 7.

83

Related research efforts in more general areas of linguistic data processing suggest
inter-sentence distances as criteria for the selection of words and word groups in automatic indexing and abstracting p r o c e s s e s . In natural language text searching, for example,
the work of both Swanson (I960 [ 587], 1961 [ 586], 1963 [ 583]), and of Mar on and Ray I 'suggests that limitation of searching to a four-sentence span would eliminate a number ofirrelevant responses to search requests specifying the joint occurrence of two or more
words.
•\

Swanson's findings indicated that if two words or phrases contained in the searchrequest were found in textual proximity within these limits, they were highly likely to beara semantic relationship that is what was intended by the requester. Applying the foursentence proximity criterion, it was found that the amount of irrelevant material retrievedby the text searching system could be reduced by 60 percent without serious l o s s ofrelevant information. £/ Black cites the four-sentence proximity-criterion and notes
further that it might be used also to retrieve only a paragraph or sitnilar small portion of
the full text, reducing the amount of material to be read by the user, perhaps by as muchas 90 percent. zJ
Artandi, in her book-indexing studies, suggested as a topic for further investigation
the possibility that proximity of index term candidates as derived from the same sectionof the text could serve to improve the quality of the indexing. Sine el her computer program
checks for duplicate potential entries occurring on the same page, this feature could be
used for further analysis, on the assumption that the number of occurrences of the sameentry for the same page is an indication of the importance of the discussion of the subject
on that page. ^J
3. 3. 5 Uses of Special Clues for Selection
Intra- and inter-sentence distances between words are relatively crude examples ofclues to selection of words and word-pairs which, because of their implied relationships,
may be especially significant for indexing, sentence extraction, or document categorization. They can be quite readily detected by machine, but the implication that physicalproximity is a good measure of significant co-occurrence is often false. Other clues
which can be detected equally well, mechanically, are those which have to do with position
and format.

uRay, 1961 [ 4 9 4 ] , p. 92.

I!
Swanson, 1963 [ 5 8 3 j , p. 9, 1961 [ 5 8 6 ] , pp.298-299.

II
See Black, 1963 [ 6 4 ] , p. 20 and footnote: "The figure 90 percent is derived fromexperience in previous experiments, wherein the amount of relevant material
was scanned and a subjective judgment was formed that the relevant material was
actually about 10 percent of the total verbiage retrieved. That i s , about 10 percent
of each document contained the relevant material; 90 percent of the document wasof no relevance but the document as a whole was relevant. "±1
Artandi, 1963 [ 2 0 ] , p. 47.

84

Such obvious positional clues as occurrences of words in titles, chapter or section
headings, figure captions, have already been mentioned. To these can be added first andlast sentences of paragraphs, i / or of first and last p a r a g r a p h s as such. 2 / Wyllys
observes that other criteria which a r e detectable in the text by straightforward machineprocedures can be based on such features as italicization, capitalization, or punctuation.
He notes, however, that such "editorial" c r i t e r i a vary from journal to journal so that
their usefulness would need to be related to the particular practices of individualjournals. ~J
Somewhat more difficult for machine implementation, but certainly feasible in thepresent state of the p r o g r a m m i n g art, is the u s e of specific semantic or syntactic clues.
Here again, Luhn, Baxendale, and Edmundson and Wyllys all anticipate their c r i t i c s andlater investigators. Luhn recognized the fact that in at least some applications thecharacterization of documents by isolated words alone would fail to provide an effective
degree of discrimination. He, therefore, suggested operations to establish word
relationships, whether based on co-occurrences or combinations of specific parts ofspeech. £' Baxendale clearly u s e s both syntactic and semantic clues, detectable bybuilt-in table lookups.
Representative suggestions by Edmundson or Wyllys or both as co-authors include
the following:" . . . We have in mind a glossary or dictionary of perhaps one to two thousandwords that act either as cue words which signal the importance of a sentenceor as stigma words that signal the insignificance of a sentence for purposes ofabstracting. " £/ySee, for example, Wyllys, 1963 [ 6 5 3 ] , p. 27: "One of the first published studies
in automatic document-content analysis, that of Miss Phyllis Baxendale, brought
out the importance of the first and last sentences in a p a r a g r a p h as bearers ofa good deal of the content of the p a r a g r a p h . " See also Marthaler, 1863 [ 399],
p. 25.

yCompare Swanson, 1963 [ 5 8 0 ] , p. 1: ". . .Some evidence exists to show that for
short homogeneous articles title and first paragraph are nearly as good as full
text. "y
Wyllys, 1963 [ 6 5 3 ] , p. 28.

yLuhn, 1959 [ 3 8 4 ] , p. 5.

yEdmundson,1962 [ 1 7 8 ] , p. 11,

85

"The criteria for attributing significance to words . . . may be positional (in virtue of
their occurrence in titles or section headings), or semantic (in virtue of theirrelation to words like 'summary 1 ), or perhaps even pragmatic (in the case of namesof specialists mentioned in text footnotes, or bibliography . . .
flA cataloguer or abstract-writer would naturally give m o r e weight to a technicalword that appears in a title, in a first paragraph, or in a summary. A machine
can be programmed to do the same. It can be instructed to recognize the title byposition and capitalization . . . It can place first-paragraph indications. . . It cantest every heading or subtitle for the words Nummary 1 or 'conclusions 1 and placea summary indication after each word in the summary paragraphs." 1/.
"The statistical criteria . . . by no means exhaust the potential clues to therepresentativeness of sentences. Among other plausible clues are certain words
and phrases . . . authors use words such as 'conclusion 1 , 'demonstrate 1 , 'disclose','prove', 'show', and 'summary' (and related forms of these)with high frequency insentences that contain concise statements about the topic or topics of the article.
The occurrence in a sentence of such a phrase as 'it was found that. . . ', 'theexperiment proves. . . ', or 'the central problem is . . . ' would indicate probably
even more sharply than any single word could that the sentence was likely to behighly representative of the topics. . . "}J
3. 3. 6 Recent Examples of Mixed Systems Experimentation
It is quite obvious from the above samples of suggestions for the use of various
special clues for automatic extraction, that improved systems will largely depend upona mixture of means for determining subject-representativeness of words, phrases, andsentences. Many of the clues suggested by Edmund son and Wyllys are continuing to be
explored, as mixed s y s t e m s , at RAND _' and the System Development Corporation, (1962[ 5 9 0 ] ) , for example. Two specific recent examples of mixed systems experimentation
are the automatic abstracting experiment programs at Thompson Ramo-Wooldridge andthe work involving detection of first incidences of nouns at the Harvard Computation
Laboratory.
The TRW programs to investigate possibilities of computer generation of document
auto-abstracts, involving both English and Russian language texts are based upon a
combination of four different methods to measure significance and determine representativeness. These four methods are briefly described as follows:"•. • The Key method has its source of machine recognizable clues the specificcharacteristics of the body of the document and is based on a Key Glossary ofcontent words taken from the body pf the document.

u
Edmundson and Wyllys, 1961 C 181], pp. 227 and 229.

D
Wyllys, 1963L653J, p. 25.
See National Science Foundation's CR&D report No. 11, [ 430] , pp. 314-315.

86

" . . . The Cue method has as its source of machine recognizable clues, the generalcharacteristics of the corpus that are provided by the bodies of the documents andis based on a Cue Dictionary of function words apt to appear in the body of adocument.
". . . The Title method has as its source of machine recognizable clues, the specificcharacteristics of the skeleton of the document, i . e . , title, headings, and format,
and is based on a Title Glossary compromising those content words found in thetitle, subtitles, and headings, but excluding certain words of the Cue Dictionary.
" . . . The Location method has as its source of machine recognizable clues, thegeneral characteristics of the corpus that are provided by the skeletons of the
documents and u s e s a Heading Dictionary of certain function words that appear
in the skeletons of documents. " 2 /The Harvard work involving detection of the first incidences of nouns as sentence
selection and indexing clues is part of a l a r g e r - s c a l e program for mechanized information selection and retrieval under the general direction of Salton (1961 [ 512], 1962 [ 5 1 3 ] ,1963 [ 5 1 4 ] and [515]). The specific mixed system involving frequency data, syntactic
identification clues, and positional criteria is primarily the result of investigations by
Lesk and Storm (1961 [ 5 7 7 ] , 1962 [ 358]). Related work takes advantage of computer
techniques for predictive syntactic analysis and automatic dictionary lookup also underdevelopment at the Harvard Computation Laboratory (Kuno and Oettinger, 1963 [ 339],[340], [341]).
The Lesk-Storm experiments have involved investigations where the hypothesis
assumed is that the points in a text where the author has first introduced a specific noun
or nominal phrase, or where he has used, with higher frequencies, a combination of
first-referred-to-nouns, are most likely to be especially indicative sections of text withrespect to subject-content representativeness. The assumption is further.that areas inwhich specific "new" ideas, not mentioned previously in the text, are first introduced i s
particularly rich in topical-content concentration. %-'The mixed-system emphasis followed by Lesk and Storm, however, is revealed in
the following comments:"It is not, of course, apparent that a count of initial occurrences of nouns . . . is byitself sufficient to reveal areas of significant information content for purposes ofabstracting or indexing. Accordingly, the method suggested here must be used
together with other available means, and is not expected to provide by itself an
acceptable abstracting algorithm. I f 3 /In their actual investigations, Lesk and Storm first made manual counts of initial
noun occurrences in various sample texts, noting paragraph, sentence, and firstincidence-of-word identifications. The computer was then used to carry out three
distinctive tasks: (1) calculation of the number of new nouns for each sentence in the text;
1/
Thompson Ramo Wooldridge, 1963 [ 6 0 3 ] , p. 1.
Lesk and Storm, 1962 [ 3 5 8 ] , p. 1-6.

1'
Storm, 1961 [577], pp. 1-1 and 1-2.
87

(2) computation of functibntf proportional to the number of initially occurring nouns foreach sentence, and (3) thevpreparation of a normalized graph for initial noun occurrencesby plotting the functional values against each sentence in the text.-!/ Sentence selection
can then proceed by processes to detect "peaks" on the graph, using a relative criterion
or weighting function to minimize the effect of high first-noun counts in the beginningsentences of a paper.
Trials were made with a number of different weighting formulas, and the best of these
involved the obtaining of mbving averages of first-noun counts over several adjacentsentences. A particular formula covering a span of seven sentences gave results thatappear to emphasize contextual effects and to reduce the effects of a particular single
sentence with a large number of new nouns, such as a listing of proper names. The
resulting abstracts are quite lengthy (e. g. , comprising 20 percent or more of the originaltext), and contain some relatively uninformative sentences. The investigators think thatthe results with respect to satisfactory abstracting are inconclusive but provocative. They
also conclude that the possibilities for indexing are more immediately promising: "Mostkey definitions are retained in the successful summaries, and the vocabulary reflects the
topics covered in the texts."
Other examples of mixed-system experimentation, especially involving the use ofsyntactic and semantic considerations, include the work at the General Electric Computer
Department under Spangler, and work by Jacobs on and Plath. In the Phoenix laboratories
of General Electric, a KWIC type indexing program can be applied both to titles and torunning text and a contemplated extension is intended to "generate indexes by means ofword analysis, taking into consideration syntactic and semantic aspects of text lines". 3/
Jacobson describes rules for machine determinations of same-meaning occurrences ofwords which may be homographic and for selection of descriptors for indexing simple
paragraphs by choosing words occurring at least twice with a high probability of having thesame meaning. 2J Plath reports:"Although sentences occur in which the key term or phrase lies buried
deep down in the structure, preliminary observations indicate that there
are many others in which the semantic hierarchy closely parallels thatof the syntactic structure. This suggests that more sensitive vocabulary
statistics for purposes of automatic abstracting may be obtainable byconsidering only words occurring in position* above a predermined cutoff level in the sentence structure. Alternatively, one might countoccurrences of words on each level, and then multiply by a fixedweighting factor in each instance before taking the overall totals. "5/yLesk and Storm, 1962 [ 3 5 8 ] , pp. 1-2, 1-4 ff.

I! Ibid, p. 1-31.
National Science Foundation's CR&D Report No. 11, [ 430] , p. 21.
Jacobson, 1963 [ 2 9 2 ] , p. 191-192.
5/
Plath, 1962 [ 4 7 4 ] , p. 190.
88

3. 4 Quality of Modified Derivative Indexing by Machine
Most of the modified derivative indexing techniques that have been proposed to datehave few or no indexing results to provide comparative data for purposes of evaluation.
Moreover, those techniques which are primarily directed to the generation of document
abstracts rather than indexing terms have been reported to date with a paucity of actual
examples. U One of the main reasons for this lack of product-effectiveness data is unquestionably the high cost and difficulty of obtaining substantial corpora of representative
document text in machine-readable form. For the most part, the few examples ofautomatic abstracts produced by machine are sadly lacking in pertinency, relevancy, 2/
and in continuity for scanning or reading by comparison with conventional human abstracts,
whether prepared by author, editor, volunteer specialist in the subject field, or professional documentalist.
A few studies have been made for a somewhat larger numbers of examples of "autoabstracts" with respect to differences between several different machine-extraction
formulas, random sentence selections, and sentences extracted manually. A project
conducted by IBM's Advanced Systems Development Division for the ACSI-matic program,(I960 [ 2 8 9 ] , 1961 [290]), involved 70 to 90 articles on military intelligence items. The
comparisons were of "auto-abstracts" as against titles, full texts, "pseudo-autoabstracts" comprised of the first and last 5 percent of the sentences of each text, andsets of sentences selected randomly, without reference to conventional types of manually
prepared abstracts and without respect to the quality as such. Similarly, Thompson
Ramo Wooldridge data (1963 [ 6 0 l ] ) on machine-extracted and randomly-extracted,
sentence sets compare these "abstracts" against manual selection of 25 percent of thesentences of each item, rather than against a conventional type of abstract.
There are however, almost no data available on the possible results of using sentence
and word-group extracting techniques, applied to machine-usable texts, to the development of indexing entries rather than to the generation of substitutes for document
abstracts. For this reason, as well as because discussion of the difficulties of evaluationin general will be deferred to a later section of this report, the question of the quality ofmodified derivate indexing will be briefly considered below, largely in terms of nonquantitative judgments.
First and foremost, as has been noted previously, i s the objection that word-indexing
typically produces redundancy, scatter of references among synonyms and near-synonyms,
inclusion of many irrelevant entries at high page and user-scanning costs, omission ofU
Purto expresses regret that the studies of Agrayev and Borodin, intercomparing
results of human abstracting, use of Luhn's method, and their own modification,used only a single paper (1962 [ 4 8 4 ] ) . Storm, (1961 [ 5 7 7 ] ) , evaluating the initial
noun occurrence technique as a measure of sentence and index-term extraction
significance, reports results for only two papers, both by Quine. Only nine
articles, with no more than 40,000 words of text in toto, were used by Edmundson,
Oswald and Wyllys in their I960 experiments ([ISO]),
Compare, for example Lesk and Storm*;'1961 [ 3 5 8 ] , pp. 1-29 and 1-30 as follows:"A final problem is the ambiguity that may arise by removing two sentences fromcontext; two sentences alone do Ijiot always permit comprehension. Worse yet, themeaning may actually be inverted upon removal from context. For example. . . aquote is selected which an unsuspecting reader might think the author supports,
when he is really attacking the position. "89many properly indexable topics or points of interest because the authors did not emphasize
them or used new and unusual terminology to describe them, failures to achieve consistency both of reference and index-vocabulary control for the papers of more than one
author, and the like.
Additional difficulties are engendered, for word indexing by machine from text asagainst word indexing by people, because of complexities required in programming toachieve recognition of even Such simple indicia as endings of sentences, i / inconsistencies of capitalization, 2 / and misspellings. zJ Context distinctions between multiple
meanings of homographic words are even more difficult. Difficulties in achieving goodindexing quality are increased if only titles are used; those of keystroking and machinecost requirements increase as the amount of input material grows.
For these reasons, early criticisms such as those of Bar-Hillel are largely as
pertinent today as they were when statistical techniques for computer generation of
document extracts and index terms were first proposed. For example:
11

There can be no doubt but that computers are in a position to select out of thewords or word-strings occurring in the encoded form of the original document
those words or strings which fulfill certain formal, statistical conditions! suchas occurring more than five times, occurring with a relative frequency at least
double the relative frequency in general. . .However, it is . . . unlikely that theset obtained thereby will be of a quality commensurate with that obtained by acompetent indexer. First, there will be serious difficulties as to what is to be
regarded as instances of the same word . . . Second, there arises . . . the problem
of synonyms. Third, and most important, this procedure will yield at its best aset of words and word strings exclusively taken from the document itself. f l i /On the other hand, there are many situations where, because of time factors or lackof conventional indexing resources, even unmodified derivative indexing by machine isitself of value and therefore modifications to improve the quality of results, whether
made by man or by machine, may be well worthwhile. As Anzlowar claims: "The increasingly widespread KW1C indexes . . . can save so much in time and effort that theysurely deserve better than the somewhat haphazard 'slash-dash -ing 1 now done in mostin most instances as the only cerebral operations thereon. " zJ

U
See Luhn, 1959 [ 384], p. 22: "Amongst the difficulties encountered in the processingof machine readable texts, inconsistencies in the use of punctuation marks, compounds, capitals, spacing and indentations have been a problem way out of proportion with respect to the simple functions these devices stand for. For instance,even with the aid of a dozen different tests performed by the machine, the true endof a sentence cannot be determined with certainty. "See Artandi, 1963 [ 2 0 ] , pp* 52ff, on problems of capitalization of proper names.

II
See Wyllys, 1963 [ 6 5 3 ] , p. 15.

±1
Bar-Hillel, 1962 [ 3 5 ] , pp.417-418.

yAnzlowar, 1963 [ l 6 ] , p. 104.
90Modifications to derivative indexing techniques that tend toward normalizations ofterminology and word usage, and increasingly sophisticated proposals for machine useof syntactic, semantic, and contextual clues hold out the promise of transition to moretruly fl subject fl indexing and to automatic assignment indexing systems.
4.

AUTOMATIC A6SlGN\tENT INDEXING TECHNIQUES

Answers to the question of whether indexing by machine is possible are actuallydependent in part on how the question of whether what can be achieved by machine is or
is not properly termed "indexing1' is answered. If "indexing11 is defined as being morethan the mere extraction of words from titles, abstracts, or text, then automatic
derivative indexing, even when augmented by various modifications, normalizations, andeditings, does not provide affirmative evidence. In the case of concept-oriented
definitions of indexing, the question becomes one of whether or not automatic assignment
indexing is possible. Experimental evidence suggesting that it is will be presented in thissection.
We should note first, however, that just as there are differences of opinion as towhat "indexing" means so there are similar differences, with respect to whether or not
it represents concepts rather than extracted words. There are also a number of conflicting definitions of what is meant by "indexing" in contradistinction to "classifying". For
some, the latter difference is related to questions of the number of labels or surrogatesassigned to a single item to represent its subject contents, ranging from the assignmentof a single subject category in a classification scheme involving mutually exclusiveclasses to the assignment of a number of terms or descriptor each standing for one of anumber of aspects of the subject. For our purposes, however, we shall regard both thec a s e of indexing with a number of descriptors and that of classifying to a single categoryor subject heading as being within the province of automatic assignment indexing, r e serving the term "automatic classification" for the case where the machine is used toestablish the classification or categorization scheme itself.
Actual experiments in automatic assignment indexing by Borko, Borko and Bernick,Maron, Sal ton, Stevens and Urban, Swanson, and Williams will be discussed briefly
below. These discussions are generally in chronological order with respect to firstreporting of results, except that the Salton-Lesk-Storm work reflects a somewhat different principle of assignment from the methods using clue word approaches and it istherefore described after these others have been discussed. Some of the similarities anddifferences between the various methods are then indicated. A brief final subsection
covers related assignment indexing proposals for which experimental data is not available
or has not as yet been reported in the literature.
4 . | Swanson and Later Work at Thompson Ramo-Wooldridge
Research on fully automatic indexing as well as on full text searching and retrieval
at the Ramo-Wooldridge Corporation has been reported as being under way at least as
early as the spring of 1958. }J As described elsewhere in this report, experiments insearch and retrieval based upon full natural language text had used as test items shortarticles in the field of nuclear physics. In additional experiments representing apreliminary "clue word" approach to possibilities for automatic indexing procedures,some of this same material was used.

yNational Science Foundation's CR&D rept. no. 2, [ 4 3 0 ] , p. 32.
91