E-Libraries in 21st Century

aRIES

. TUlZY A.K.KAUL

E-libraries in 21 st Century

"This page is Intentionally Left Blank"

E-libraries in 21 st Century

A.K. Kaul

ABD PUBLISHERS Jaipur, India

ISBN: 978-81-8376-146-8

First Published 2008

ABD PUBLISHERS, B-46, Natraj Nagar, Imliwala Phatak, Jaipur - 302 005 (Rajasthan) INDIA Phone: 0141-2594705, Fax: 0141-2597527 e-mail: [email protected] website: www.abdpublisher.com

©Reserved

Typesetby: Shivangi Computers 267, 10-B-Scheme, Opp. Narayan Niwas, Gopalpura By Pass Road, Jaipur-302018

Printed at: Rajdhani Printers, Delhi

All Rights are Reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, scanning or otherwise, without the prior written permission of the copyright owner. Responsibility for the facts stated, opinions expressed, conclusions reached and plagiarism, if any, in this volume is entirely that of the Author, according to whom the matt~r encompassed in this book has been originally created/edited and resemolance with any such publication may be· incidental. The Publisher bears no responsibility for them, whatsoever.

PREFACE Electronic libraries, or digital libraries, are today no longer a 'figment of imagination, rather, they are very much a part of our scientific existence. Libraries today are no longer visualized as clusters of formidable-looking walls and shelves housing innumerable treasures of knowledge. Rather, they are now wall-less, and have transformed and evolved them~elves to be better suited to the demands and needs of the changing times. Library seekers today are no longer mere schol~rs who have devoted their lives to accumulating vast knowledge; rather, people from different walks of life with different purposes look for libraries and their services. In an age where science has brought almost everything on a silver platter for human beings, it is quite safe to assume that people have little time or patience to deal with cumbersome books or scrolls, or even waiting in serpentine queues to receive the library services and products. As technology evolves and betters itself, it is only normal that libraries change themselves to adapt to the standard~ of the times, and consolidate their positions by incorporating the latest technologies. This book has been devoted to the discussion and, study of e-libraries, what they entail, and what they mean for the new millennium. The book embarks on a full-scale discussion of what digital libraries project for the future, how they are currently in place and functioning, and how they mark a new era in the evolution of libraries through civilization. The emphasis has been on the methodologies and functionings of e-libraries, their techniques and the

VI

E-LIBlWtIB8

IK

21ST

CuTURY

equipment they employ, the effect and the changes they have brought about in the field of library science, and how they may be like in the future. The problems and. the issues surrounding it, which include issues such as archiving and preservation of information, intellectual property rights, etc, have also been given space to. Compendious and exhaustive, it is hoped that the book serves well for all professionals in library science. A.K.Kaul

CONTENTS Preface

v

1.

Trends in Electronic Libraries

1

2.

Infonnation Retrieval

47

3.

Infonnation Archiving

62

4.

Dil,!itised Infonnation Presexvation

117

5.

Digitised Opportunities in Libraries

141

6.

Multilingual C1assification in Libraries

181

7.

Infonnation Access in Libraries

215

8.

Digital Cataloguing

231

9.

Electronic Library Services

253

Bibliography

313

Index

315

"This page is Intentionally Left Blank"

CHAPTER 1

TRENDS IN ELECTRONIC LmRARIES Electronic documents have many characteristics that are not shared by paper documents. We may include new types of p'ublishable artifacts in our electrOniC documents including simulations of physical processes, original data, active citations, and entities that have previously been embedded in different media (video, audio, etc.). The structure of electronic documents is available for querying and full-text indexing can be a natural byproduct of storage in an electronic repository. These documents are more fluid, in the sense of being' changed easily, and multiple versions may be stored and referenced. New computer-based tools and global networking are bringing the capability to publish to the individual and small group. Time to publication of an accepted work is apprOximately halved in electronic publication due to the elimination of production time from the existing publishing cycle. Serious problems exist concerning the ease in which plagiarized and derivative works can be made, and workable economic models for electronic publishing have yet to be discovered. Copyright Intellectual property rights are possibly the most difficult problem we face in the information age. Copyright goals of promoting the progress of science, publishing and public access to knowledge must remain our utmost concern, but our copyright laws must be rewritten for the new realities of electronic publishing

2

ELBcntoIfIC LmRAltms IN. 21ft

CM roD

and digital libraries. Phrases such as "fixed in a tangible medium" and "work distinct from embodiment" in copyright laws need clarification when being applied to virtual artifacts. In addition, the doctrine of "fair use" must undergo refinement. World-wide information resources are now available to local schools and, indeed, to many homes. Local and regional perspectives are now mixed with global perspectives and local libraries are struggling to find the right mix of access to physical and electronic artifacts. Librarians and educators are finding that ownership is not as important as it used to be, but that access to the most up-to-date information has become critical. Educators (and students!) are beginning to build personal digital libraries of electronic artifacts and references to Internet information resources. Collaborative inqulrybased learning (learning as one tries to find the answer to an outstanding question of real importance) strategies among teachers and students in the shared information space of the digital library is becoming commonplace. In these changing times, professional societies are scrambling to remain solvent as much of their income has traditionally been derived from publication products. The Association for Computing Machinery (ACM). a professional society dedicated to the computing profession, has developed a publication strategy that it will follow in the near future. ACM's strategy provides a good example of the changes occurring in professional society publishing. ACM's publication strategy includes provisions for: digitizing all back issues of all journals. a single publication repository, a single subSCription fee, networked-based G'ccess, user profiles, multiple versions of articles, and the capability for automatic notification to potentially interested users when an article is placed in the repository. More interestingly, they are encouraging self publication before or at the time of submission to the ACM. If accepted, an archival copy is sent to ACM and a standard statement indicating ACM as the copyright

3

holder is attached to the personal, self-published version. For many reasons, archaic work practices of varying "inappropriateness" to modern scholarship linger on. despite their known flaws. In information-intensive fields, the derivation of possible new work practices can be suggested by differentiating those aspects of current practice that are archetypal to the problem addressed from those artifactual to the technologies currently employed. In particular, orality-literacy studies are here proposed for this purpose in fields where the mutable cognitive artifacts that scholars employ are known to be poorly reflected in the static artifacts produced by preelectroniC work practices for pre-electronic distribution methods. Since the 1960s an interdisciplinary research area within the humanities known as orality-literacy studies has existed, concerned with differences in the modes of thought and expression exhibited by individuals in cultural situations which exhibit primary orality and those exhibiting pelVasive literacy. A seminal work in orality-literacy studies is Preface to Plato by classiCist Eric Havelock, whose starting point Is Plato's attack on poeby in the Republic. Plato's proposal that poeby be banned from his ideal state, because it degraded the intellect, is found odd by many modem students of Plato. Havelock sets out to examine what this apparent oddity in the philosopher's thought implies about the cultural situation of Plato's Greece. Havelock contends the extensive ground of common knowledge and world views required .by claSSical Greek culture were encoded in the great poems of the time. most notably Homer's epics. To the ancient Greeks, these were a "tribal encyclopedia" of cultural ways and norms. Poeby was also well suited to the problems of.iWormation storage in a non-literate culture. namelyrftention in living memory and content-preserving transmission. In essence. recitation of the epics was able to induce in reciters and listeners an almost hypnotic state that assisted correct remembrance. It also encoded cultural

4

ELECTROl'OC

LIBRARIES

IN

21ft CBl'ITURY

knowledge situationally. Both of these were anathema to Plato. who was promoting reflective thought on the nature of abstracts. Plato's literacy allowed him to encode knowledge externally as a thing "in itself' and allowed him to examine concepts and their abstract structures without forgetting them. Thus. Havelock concludes. arises Plato's excoriation of poetry as education method. as inhibitor of abstract speculation on the nature of the true. good. and beautiful. For our purposes. we note that Havelock showed the consideration of ideas as eternal "things in themselves" is an artifact of literacy. not an archetypal aspect of thought. Today. it is common for material to be written down and remain unchanged for extended periods of time. If that material had some veracity when it was recorded. we tend to regard its "truth" as a permanent property that can be redemonstrated at any time. This is not the case with orally transmitted knowledge. which cannot be "recorded" except in living memory. As a result. material for which there is no call is forgotten. and changes to the material that give advantage will occur. Revisionism is reality in primary oral cultures; the beliefs that the written retains its +.ruth for all time and that. by extenSion. publication implies truth are artifacts of literacy. Many believe that we are entering an era where electronic tools for storing and manipulating information will be conSidered indispensable for everyday thinking and remembering. Douglas Engelbart expressed this belief when he described a "certain progression of our intellectual capabilities." from concept manipulation to symbol manipulation to manual external symbol manipulation and finally to automated external symbol manipulation. Engelbart's second stage corresponds with the concept of "primary orality." and his third stage with "pervasive literacy~" We extend the concept of orality and literacy by positing a new property of culture. pervasive hyperliteracy or simply hyperliteracy. corresponding to Engelbart's fourth stage.

If we are indeed entering an era where automated external symbol manipulation tools h"ave become prerequisites of serious thought. then the designers of such tools should be interested in which aspects of thought are intrinsic to language-using human beings and which aspects are products of the use of nonelectronic writing. since some of the latter may decrease in strength or disappear altogether in the residents of this new era. These artifactual properties are not trivial. and they are precisely the concern of orality-literacy studies. A curious aspect of some scholarly work practices is that often, these practices are known to depend on false assumptions or over-simplifications of a problem. In some cases, such as in certain economic models. these false assumptions are taken as reasonable because they produce good results and make the models tractable. In other cases, however. these false assumptions are simply products of tradition. based in part on artifacts of old technology and literate mindsets. We take as one very specific example our experiences with botanical taxonomists. For several years. we have worked together with botanists to build a digital library of herbarium collection data. We have been able to obselVe several common current work practices that have changed as our botanist colleagues both gain access to new technology and re-evaluate those parts of their old technology that dictated how they did their jobs. As a particularly good example of a current work practice dictated by current technology, consider that there are botanical journals that use taxonomies that everyone (including the journal editors!) acknowledges are outdated. The editors of the jour~al, however, are reluctant to correct the errors in this standard taxonomy. partly because some of the fixes are not universally agreed upon. but also because changing the taxonomy now would "invalidate" articles just published. The current common practice. then. is for researchers to carry out their w;ork using a more realistic taxonomy,

8

ELBCTIlOlUC

I.maAlua

IN

21" CEl'f'1'URY

and then literally "uncorrect" their terms to match the journal standard. For reference. the object of taxonomic classification is the taxonomy. which consists of taxa. which themselves consist of other taxa or specimens. Taxa are composed in a hierarchic fashion. Taxa at different levels in the tree have different names. such as family. genus. species. etc. We briefly describe three interesting problems we observed the taxonomists encounter in their current work practices. Different groups of taxonomists produce different taxonomies. even if the specimen set examined is identical. Groups in which particular specialists work on a given taxon may show more detail in the expansion of that taxon. or different groups may use different measures of similarity when composing taxa. weighting various kinds of evidence differently. It seems contradictory to have multiple solutions to a claSSification problem. Separate taxonomiC groups produce separate taxonomies. which are then identified with the groups that produced them. This identification ("ownership") is despite the fact that the taxonomy may always be used in conjunction with other taxonomies. or that it is based on the prevailing attitudes in the community. It seems contradictory that a communally defined. communally used product is identified with a small set of taxonomists. The products of the work are often taxonomies. not simply revisions to existing taxonomies. Whether updates or new full revisions. the products are viewed as closed. well-defmed entities. representing an opinion of a group at some time. However. new evidence. new analysis methods. and new interpretations are constantly being introduced. It seems contradictory to produce a welldefined •. static analysis of an ill-defined. dynamic phenomenon. One artifact of literacy is the notion of single-valued. static truths. The work practice of developing and publishing taxonomies separately from one another is a particular instantiation of this artifact. The product of this work is a taxonomy. a "taxonomic fact" or truth. presented and

7

interpreted as such. However. the notion of truth is changing from the literate view of static and single-valued to the hyperliterate view of dynamic and multi-valued. Literacy promotes the concept of idea ownership by the individual, even when the idea represents a communally held truth. In this case. taxonomies are identified with their producers or publishers. There is no way to recogniZe the contextualization of a taxonomy in itself. However. the notion of authorship is changing from owner of a document and by extension its ideas to recorder of ideas that are the product of several people. past and present. Consider an analogy from the business world - the growing role of the analyst. The analyst provides a filtering or ordering function for data that is oftentimes already available. Many new companies focus' no longer in the production of information. but its compilation. This reflects a situation in which the problem of information is what to do with the overabundance of it. and not how to find and retrieve data.One artifact of literacy is closure of ideas. The product of taxonomic work is a well-defined. discrete entity. Products no longer must be closed. They may exist as changing entities over time. with poorly defined borders. Consider World Wide Web sites with links to many other sites. These sites have no closure per se. Where one chooses to draw boundaries is contextually. and individually defined. This is in opposition to the closure engendered by books and other written entities. As above. one new possibility is a communally maintained set of taxa. with various notes. modifications. and addenda separately maintained over these taxa. The boundaries of the communal knowledge could only be determined by a given consumer at a given moment. Organizational tasks will be to provide and organize access to global information resources for their users. The necessity for ownership will decline and the organization will act more as a filtering agent that provides regional perspectives on the global information space. Professionals. researchers. and educators will have

8

ELECTRONIC

LnmA1uEs

IN

21111' CEl'n'IJRY

to take responsibility for personalizing and maintaining access to global information resources. They must also recognize the fluidity of digital artifacts and will be responsible for synthesizing the multiple points of view for their constituents.

Digital Technology in Libraries Libraries and archives are society's primary information providers and were early users of the new digital technology with respect to cataloguing and processing management. and later for providing information on their collections to the www-community. Besides preserving and providing access to 'born digital material' a great number of archives and libraries nowadays have also turned to creating digital surrogates from their existing resources. It is for those libraries and archives that these gUidelines have been compiled. Many libraries :lnd archives would like to plan digitlzation projects but lack experience There is a need for a practical guide as a working tool for planning digitization projects. The reasons for implementing a digitization project. or more precisely for digital conversion of non-digital source material. are varied and may well overlap. The decision to digitize may be in order to: To increase access: this is the most obvious and primary reason. where there is thought to be a high demand from users and the library or archive has the desire to improve access to a specific collection To improve services to an expanding user's group by providing enhanced access to the institution's resources with respect to education. long life leaming To reduce the handling and use of fragile or heavily used original material and create a "back up" copy for endangered material such as brittle books or documents. To give the institution opportunities for the development of its technical infrastructure and staff

1'RElms

IN Eu:cTRONlC

LmRARIES

9

skill capacity. From a desire to develop collaborative resources, sh·aring partnerships with other institutions to create virtual collections and increase worldwide access To seek partnerships with other institutions to capitalize on the economic advantages of a shared approach To take advantage of financial opportunities, for example the likelihood of securing funding to implement a programme, or of a particular project being able to generate significant income. Since digitisation is both labour intensive and expensive it is important to capture an image in a way that makes it possible to use it to serve several needs. The key components of a digital imaging project are: Selection policy Conversion Quality control programme Collection management Presentation Maintaining long tenn access. All these components are equally important - the chain is not stronger then its weakest link. Digital technologies are undergoing rapid and continuing development and many issues are unresolved, giving rise to a delusive reliance on the "wait-and-see" approach. The basis of a commitment to going digital is an acknowledgement that the technology will change and change often. The crucial management decision is therefore less about the "when", or the "whether" to begin. It is rather a question of whether the institution can afford to ignore the opportunity to reach wider audiences in a global community, in a manner afforded by the technology to improve access to and the preservation of cultural and scholarly resources. Digitization will be a costly exercise, requiring detailed planning and the establishment of an

10

ELEcTRONIC

LmRAJuBs

Il'f

21" CItl'fTURI'

infrastructure to ensure continued access to the digital me. Institutions in countries of the develop,ng world especially should consider whether the costs and time involved will be commensurate with the benefits. Suc~ institutions should for example be prepared to resist encouragement in the implementation of a digitization pr.Q1ect by outside donor agencies, when analysis shows that for example the use of micromm would be adequate, even preferable. Obviously, the user plays an important role in the decision to begin a project, but which role, is very often hard to define. Indeed the specific demands of the user may be difficult to know. In most cases there is a supposed user's group, and it is the aim of the institution to increase its services and expand its approach and influence. The user group may differ, depending on the type of institution and the mission of the organisation. Institutions of higher education fulm faculty staff and students needs. Public and national institutions must satisfy a large and more diverse population. This influences not only selection but also the forms of presentation and accessibility. Digitization is not preservation: digitization is not cheaper, safer or more reliable than micromming. Unlike a frame of high quality micromm, a digital image is not a preservation master. The only way that digital reformatting contributes positively to preservation is when the digital surrogate reduces physical wear and tear on the original, or when the files are written to computer output microfilm that meets preservation standards for quality and longeVity. A digitization project is therefore no replacement for a preservation programme based on reformatting on microfilm. This is in general true. But there may be specific Circumstances, for example in developing countries, that can turn this notion on its head. If an institution with no experience nor facilities for preservation at all, wants to preserve a specific collection,

11

it may decide to invest in digital instead of microfilming eqllipment. thus avoiding the high expenditure on microfilming cameras and processors and realizing that this digital equipment and the developed staff skills will serve other purposes as well. This shifting from the generally recommended method of preservation microfilming into digitization with its risks in the long term is perhaps not the ideal solution for the problem of nineteenth and twentieth century paper decay but can serve as a practical way of providing protection to certain documents. Digital technologies offer a new preservation paradigm. They offer the opportunity of preserving the original by providing access to. the digital surrogate; of separating the informational content from the degradation of the physical medium. In addition. digital technologies liberate preservation management from the constraints of poor storage environments typical of the tropical and sub-tropical climates in which many developing countries are located. Cost saving Digitization does not result in cost savings for collection management. A digital surrogate can never replace the original item or artefact. If an institution wants to save space by deaccessioni:p.g the brittle newspapers. it would do better to create microfilm copies rather than digital image!:>. The whole process. selection. scanning. creating records etc. requires heavy expenditure and the long-term maintenance of the digital assets has its own high costs. An institution may wish to investigate the possibilities of cost recovery by marketing digital copies. Preservation of digital information is undoubtedly expensive and reqUires highly skilled technical staff and eqUipment. Individual libraries embarking on digital projects should seek cooperation within regional. national and international agreements and should look to conclude agreements with trusted repositories. Whether to use a digital process which reproduces the image. or to use OCR (Optical character recognition) or actual keying in of the source text. It is likely that

12

ELBCTROl'ClC LmRAR1E8 Dr

21ft CEl'ITURT

users will want searchable texts, and that means OCR or re-keying. On the other hand, depending on the type of users and the kind of text, many users will want to see the page images as well, and experience a touch of the original. This may lead to the conclusion to use both methods but in most cases this would be cost prohibitive. Then the best way is to choose page images. Whether to produce digital files capable of handling every job traditionally carried out by conventional photographic services. Selection is important to see digitisation as a series of choices where competing requirements and demands have to be balanced. When selecting source material for digitisation it comes down to three basic questions: whether the source material Needs to be converted? Should be converted? Can be converted? The selection therefore has to be conducted in sueb a way that it will assure that not only issues like the value of the selected material and interest in its content are considered but also demands concerning technical feasibility, legal matters and institutional conditions. Issues involved in the selection of material for digitisation will be examined from two perspectives: 1) Principal reasons for digitisation (to enhance access and/ or preservation) 2) Criteria for selection (based on content or based on demand). As noted in the Introduction there can be several reasons for increasing accessibility: Enhancement of access to a defined stock of research material Creation of a single point of access to documentation from different institutions concerning a special subject Implementation of the "virtual re-unification" of collections and holdings from a single original location or creator now widely scattered

TJUtl'mS

JlIf ELEcTaol'OC LIBRARIES

13

Support for democratic considerations by making public records more widely accessible Extending the availability of material in support of educational and outreach projects The key point is to evaluate the contribution that increased access could make to a defined user community. If the institution planning a digitization project is a private one. it is normal for it to focus on specific needs and to target a specific user. group. If however a public institution is involved. it will probably have to satisfy a larger population and more diverse demands. The way that it is intended to use a digital image is of vital importance in shaping the technical requirements. When digital conversion deals with source materials which are endangered or damaged. the purpose is. in the first place. to create accurate reproductions of these originals on a long-lasting medium and not to select materials according to demand. These reprt.lductions need to satisfy both users of today and future potential users. and must therefore both be of high quality and possess a physical stability that can be maintained over time. One method of selecting source materials for preservation is to classify them into three categories: Rare. unique or fragile documents. archives and other objects of artifactual value that need to be retained in their original form: Digital conversion can provide high quality surrogates with quick and broad access which in most cases will protect this kind of material from handling: This can be difficult to achieve using some kinds of microform. Source material with an important intellectual but relatively low artifactual value. highly used and damaged or fragile: Digital images are normally good replacements for serving immediate demands. If the source materials are deteriorating and. therefore. need to be replaced permanently. archives and libraries sometimes prefer to produce micromm for

14

ELECTROl'lIC

I.maAlua

IN

21ft CEN'nJJlT

preservation purposes and digital copies for access (a hybrid solution). Mostly brittle source material of high intellectual but low artifactual value and with a low level of use. This is not material that will be of interest for digitization in ihe first 'place. If it is brittle material that needs to be replaced by surr~gate copies ~o allow use, then microfilm is still the normal choice in many countries being stable, cheap and easy to store. In the future, when researchers discover this source material and perhaps use it more frequently, there will always be the possibility to digitise the microfilm Many institutions have not yet accepted digital technology as being stable enough for long-te,rm preservation. The reasons are often that they feel the threat of technical obsolescence of the digital medium and an uncertainty both about the legal status of electronic documents and about the future costs of preservation pf such documents. While waiting for the problem of digital longevity to be solved, most institutions are creating archival images of what can be called "preservation quality". That means that they: can be used for different purposes are created at a quality level that will minimise the need for rescannmg. The fact that a surrogate has been created is certainly not enough to justify disposal of the originals. Even to be accepted as the text for consultation by the reader rather then the orginal the digital images must: have a guaranteed authenticity be a part of a preservation plan. Disposal of original source documents after digital conversion is sometimes, used in records management programmes but only for documents that have already been appraised and scheduled for disposal, and which have been digitized to facilitate heavy use during their intended life time. It is useful when planning a

TItuD8

Il'f EI.BcnlOl'llC LmRARIES

15

dlgitisation project to look at policies established by other institutions for their own projects. Many of these are now available for consultation on the Web. Regardless of the purpose for Implementing a digitisation project. the selection of source material will always be more or less content driven. In fact •. intellectual value is the basic question in all kind of selection: does the content of this material justify all the efforts. costs and other resources that will be needed? Therefore. every digitisation project or programme ought to have its own definitions of value based on the goals it trying to achieve. During the last ten years scholars have started to build up virtual collections of scanned documents. books. museum artifacts etc. The selection is normally based on the intellectual content of the material. but it could as well be built on the physical appearance or on other factors like age etc. The purposes of building virtual collections may differ. It could for example be to re-unify scattered collections and holdings or to enhance research by integrating different source material that otherwise would have remained separate items located in different parts of the world. The possibilities of providing widespread access over the Internet plays an important role here. To make a digitization project· worthwhile requires a certain minimum volume of information. Otherwise the research value will be too low to attract enough either planned or potential users. Normally the value of archival material. photographic collections etc. is higher as aggregates rather than as single parts taken out of context. but if individual documents or objects have Significant research value. even a few of them can form a critical mass of information The level of demand is of course of great interest when selecting source material for digitization. If the purpose is mainly to enhance access. the likelihood of Significant use of a digitized. material will probably govern the selection process. Involving scholars and other

16

ELECTROl'flC LmRAIUES IN

210T CE1'I'I'URY

researchers in the original decision is therefore a traditional selection methodology. Sometimes an active user group for a specific source material may be spread all over the world and because of that it can be difficult to define or even detect. Materials in special collections often run the risk of being looked upon as little-used. which is not necessarily true since a small specialist group can generate a great deal of important research. To balance the demands of different user groups many institutions have boards of scholars and other researcher to help them sel~ct material that is most· urgent to digitise. When an institutions digitising activities are being developed from general proposals to specific projects covering whole collections or types of documents or objects. these advisory boards can be strategically important. For cultural institutions starting their first digitising project. a good rule of thumb is that selecting the most heavily used parts of their collections will normally give the greatest added value because it will satisfy the majority of the people they try to serve. Selection of material for digitization will be affected both by its physical condition and by the existing quality of the bibliographical descriptions available for it. Material which is fragile. damaged and in poor condition may present too many risks Of further damage being caused by handling to allow it to be sGanned without special care. or some basic conservation treatment. This will involve additional costs. and the institution will need to consfder whether other collections in better condition should have priority. or whether the costs of preparation and conservation should be built in to the costs of the overall digitlzation project. A digital image is an "electroniC photograph" mapped as a set of picture elements (pixels) and arranged according to a predefined ratio of columns and rows. The number of pixds in a given array defines the resolution of the image. Each pixel has a given tonal value depending on the level of light reflecting from the source

17

document to a charge-coupled device (CCD) with lightsensitive diodes. When exposed to light they create a proportional electric charge, which through an analogue/digital conversion generates a series of digital signals represented in binary code. The smallest unit of data stored in a computer is called a bit (binary digit). The number of bits used to represent each pixel in an image determines the number of colours or shades of grey that can be represented in a digital image. This is called bitdepth. Digital images are also known as bit-mapped images or raster images to separate them from other types of electronic files such as vector files in which graphic information is encoded as mathematics formulas representing lines and curves. Source documents are transformed to bit-mapped images by a scanner or a digital camera. During image capture these documents are "read" or scanned at a predefined resolution and bit-depth. The resulting digital files, containing the binary digits (bits) for each pIXel, are ~en formatt~d and tagged in a way that makes it easy for a computer to store and retrieve them. From these files the computer can produce analogue representations for on-screen display or printing. Because files with high-resolution images are very large it may be necessary to reduce the file size (compres~ion) to make them more manageable both for the computer and the user. When a source document has been scanned, all data is converted to a particular file format for storage. There is a number of widely used image formats on the market. Some of them are meant both for storage and compression. Image files also include technical information stored in an area of the file called the image "header". The goal of any digitisation programme should be to capture and present in digital formats the significant informational content contained in a single source document or in a collection of such documents. To capture the significant parts, the quality assessments of

18

ELEcTRONIC

:LmJwm:s

IN

21- CuuGat

the digital images have to be based on a comparison between those digital images and the original source documents that are to be converted, not on some vaguely defined concept of what is good enough to serve immediate needs. Source documents can also be characterised by the way in which they have been produced: by hand (ink), by a typewriter or printer, or by photographic or electronic methods. The physical condition of the source documents can affect the conversion in different ways. Fading text, bleed-through of ink, burned pages and other kinds of damage sometimes destroy the informational content but -more often set physical limitations on the pOSSibilities of catching information during a scan. Therefore, the need for pre-scanning treatment of the source documents has to be identified. Neglecting this can not only be a threat to the documents themselves but can also limit the benefits and results of digitisaUon and increase the cost. Ordinary steps to prevent this are for example to carry out preliminary elementary conservation treatment, and to use book cradles for bound volumes, and rbutines to control lighting and other environmental conditions during the actual scanning. If the source documertts have artlfactual value they will normally need to be examined by a conservator before scanning. When the risks of
19

Increasing the number of pi!els used to capture an image will result in a higher resolution and a greater ability to delineate fine details. but just continuing to increase resolution wtll not result in better qUality. only in a . larger file size. The key issue is to detennine the point at which suffiCient resolution has been used to capture all signtftcant details in the source document. The physical size of a source document is of importance when determining the resolution. When the dimensions of the document increase. the number of pixels needed to capture required details in it will increase too. as well as the fIle size. Large fIles can cause problems for users when viewing the images on a screen or in sending them over networks. because the fIle size has an important impact on the time it takes to display an image. One way to decrease the file size is to decrease the resolution. This is a critical decision. especially if the source docl'ment has both a large physical size and a high level of detail. which can be the case with oversized maps and dr'lwmgs. Bit depth is a measurement of the number of bits used to define each pixel. The greater the bit depth used. the greater the number of grey and colour tones that can be represented. There are three kinds of scanning (digital sampling): bitonal scanning using one bit per pixel to represent black or white sgreyscale scanning using multiple bits per pixel to represent shades of grey; the preferred level of grey scale is 8 bits per pixel, and at this level the image displayed can select from 256 different levels of grey. colour scanning using multiple bits per pixel to represent colour: 24 bits per pixel is called true colour level. and it makes possible a selection from 16.7 million colours. The chOice of bit depth affects the possibility of capturing both the physical appearance and the informational content of a source document. Decisions about bit depth

20

therefore have to take into account whether the physical appearance, or parts of it, have an added informational value and need to be captured. This can be the case when the purpose of the digitisation project is to produce facsimUes of the source documents. Image enhancement processes can be used to modify or improve image capture by changing size, colour, contrast, and brightness, or to compare and analyse images for characteristics that the human eye cannot perceive. This has opened up many new fields of applications for image processing, but the use of such processes raises concerns about fidelity and authenticity to the original. Image processing features include for example the use of filters, tonal reproduction CUIves and colour management tools. Compression is normally used to reduce file size for processing, storage and transmission of digital images. The quality of an image can therefore be affected by the compression techniques that are used and the level of compression applied. Compression techniques can be either "loss less", which means that a decompressed image will be identical to its earlier state because no information is thrown away when the file size is reduced, or "lossy" when the least Significant information is averaged or discarded in this process. In general "loss less" compression is used for master files and "lossy" compression techniques for access files. It is important to be aware that images can respond to compression in different ways. Particular kinds of visual characteristics like subtle tonal variations may produce unintended visual effects. Digital images reproduced from photographic formats have a wide tonal range, commonly resulting in large files. Another technique besides compression that can be used to reduce file size is to limit the spatial dimension of the digital image. This can be done when the image Is intended to be an archival reproduction ratheI than a faCSimile replacement of the original. The equipment used and its performance has an important impact on the

21

quality of the image., Equipment from different manufacturers can perform differently. even if it offers the same technical capability. Operator judgement and care always have a considerable impact on image quality. fn the end it is deCisions taken by humans which decide what quality will be achieved.

Quality Control Programme Quality control is an important component in every stage of a digital imaging project. Without this activity it will not be possible to guarantee the integrity and consistency of the image file's. Steps need to be taken to minimise variations between different operators as well as between different the scanning devices in use. Scanners most also be regularly controlled to verify accuracy and quality. A quality control program is needed both for in-house projects and for projects where all arrangements or parts of them are outsourced. An important difference is that in a partly or totally outsourced project the quality requirements often have to be formulated before a contract is signed. due to its legally binding nature. In-house projects can built up their quality control programmes step by step as a part of their project activities. Although quality control is a crucial factor to ensure the best results. there is no standard way to ensure a certain image quality at capture. Different source documents require different scanning processes. and this has to be considered when developing a quality control programme. An important question for a quality control programme is whether it should include: the whole image collection or a sample of images? all kinds of files (master files. access files. thumbnail files)? other intermediate products like paper facsimiles and microforms?

22

The answer depends on the purpose of the digitisation project, the required out-put. and the quality levels and reference points chosen. If the digitisation programme is very limited or the quality requirements are extraordinary high, it will make sense to examine the whole collection image by image. However. in most programmes it is enough to set up a sampling plan covering for example 10% of all images produced by each scanning device during a certain time period (day, week, month). If a specified percentage of the chosen images is found to be incorrect then the whole batch will have to be subjected to control. A quality control programme always covers the master files that are produced and in most cases will also cover other out-puts such as access files, microforms and paper copies. The automated image evaluation tools that are available today are normally not sufficient for materials that are required for cultural and SCientific purposes. Therefore, visual quality evaluation has to be done: . either from on-screen or print-outs based on a mix of on-screen evaluation and printouts (film or hard copies) Technical limitations that can affect the evaluation must be considered, beginning with the possibilities of getting good quality printed hard copies of grey scale and colour images. Before a scanner is bought, vendors should be required to deliver measurable digital results from relevant digital image quality evaluation tests. When a digital imaging project is running, scanning quality control measures must be set to enable operators to ensure that the scanning device is operating within anticipated tolerances. Issues of main concern in' performance are: spatial resolution, tonal reproduction, colour reproduction, noise, and artifacts detection. In projects which are scanning oversized material, such as maps and plans, geometric accuracy is also an important factor. A common

'fREloms

IN ELEcraONlC

LmRAltJES

23

definition of spatial resolution is the ability to capture and reproduce spatial details. It covers both input and output devices and that is probably one reason why the concept of resolution is one of the most misunderstood and misused technical specifications applied to digitising eqUipment. Resolution is often specified in terms of dpi (dots per inch). However. dpi should normally be used only for printers. as "d" always refers to printed dots (e.g. ink jet printers and laser printers). For input resolution (I.e. scanners and digital cameras) and on-screen resolution (I.e. monitors) pixels per inch (ppi) normally should be used. A pixel is in general a much smaller physical unit than a dot. When it says that a scanner has a maximum resolution of for example 600 dpi. it means in practice that the scanner optically samples a maximum 600 pixels per inch (ppi). But the optical sampling rate of a scanning device only delineates the maximum possible (optical) resolution in the direction of the extension of the CCD unit. It will not guarantee that the scanner in reality can spatially resolve details to the same degree that the optical sampling rate would imply. The reason is that the optical sampling rate of an input device is only one component of the concept of resolution. There are several method~ for evaluating resolution. . Commonly used are the following: Resolution targets. which were originally made for use in micrographic and photographic industries. They are normally used to measure the reproduction of details. uniform capture of different parts of a source document. image sharpness etc. The results can sometimes be not fully trustworthy. but resolution targets are still practical tools to use especially for bitonal conversion. The Modulation Transfer Function (MTF). in which the spread of light in the imaging process (line spread function) is measured. This is a more reliable

24

ELEcrRONlC

LIBRARIEs

IN

21 8T CENTtlRy

and objective way to evaluate how well details are preserved and suits best greyscale and colour systems. Spatial Frequency Response (SFR) , which means measuring the ability of the scanner to transmit high-frequency information by means of a specified transfer function (in practice equivalent to MTF)

Digital Image Collection The possibility of being able to use a collection of digital images in the way it was intended depends not only on conversion standards and quality controls, but also on how the collection is managed. If the purpose is to meet not only short term needs but also to provide accessibility over time, steps have to be taken to satisfy both current use and the expectations 'Jf future users. Plans must be made for example to: make scanned images appropriate to the ultimate intended use up grade distribution of images and user interface functionality transfer images to new technical platforms to meet increasing capacity for processing and handling of digital information migrate digital images to new file formats ·or physical media to ensure long-term accessibility To make scanned images usable, great concern should be taken relating to their storage. All image files that are produced by a digital image project must be organised, named and described in a way that fits the purposes of the project. Before a name and a description of an image file is conSidered is has to be decided how it should be stored. Normally, the source documents being scanned are physically organised according to principles of archival or library arrangement. Holdings of documents are often divided into series, volumes and issues, and collections of manuscripts and

TRENDs

IN ELEcTRoNIC

LmRARIES

25

photographic items have numbers. The easiest way to handle this question is to translate the main principles of how the source documents are physically organised into a logical disc hierarchy in the computer. This should be done as far as possible according to existing standard systems. This is important to ensure the compatibility of file naming structures between different technical platforms. It must also be possible for the collection of image files to grOW. and the way of organising them has therefore to be scalable. Computers are not able by themselves to interpret logical relationships in a collection of source documents as for example sequences of folders and pages. Therefore. this has to be mirrored in the way the scanned image files are named. There are two approaches for this: (1) to use a numbering scheme that reflects numbers already used in an existing cataloguing system. or (2) to use meaningful file names. Both approaches are valid. and what best fits a certain collection or group of source documents should be chosen. Every digital imaging project has also to adopt conventions for names. for tables of signs and for rules relating for example to punctuation and to the use of capital letters. It is important that these conversions are uniform. A standardised vocabulary is one of the corner stones in managing a collection of digital images. File extensions are also important when giving names to image files. Many extenSions have standard meanings and are employed widel}. but care has to be taken when dealing with non-standard extensions. To describe digital images there is a need for metadata. that is structured data about data. Metadata can also be defined as data that faCilitates the management and use of other data. This is nothing new for archivists and librarians. The use of metadata is closely related to rules for the description and cataloguing of printed publications. archival records. and artifacts. The difference is that in the digital world

26

Eu!:cTROl'lIC

LmR.uuEs

IN

210T CEl'8TUllY

additional categories of metadata are required to support computer navigation and the management of data files. Metadata describing digital images can contain information of different kinds. DeSCriptive metadata for description and identification of information resources Structural metadata for navigation and presentation. Every digital imaging project, however, must choose a designated metadata solution based on its own goals. There are two main approaches to metadata solutions: data management techniques and document encoding. The level of descriptive metadata always determines the level or possibilities of retrieval. Therefore, it is of crucial importance at the time that a digital imaging project starts to decide the deepest level at which the digital images will be searched. Moreover, existing metadata like fmding aids, indexes etc. has to be surveyed, and if adequate, linked to the image files. It also has to be considered if and how metadata generated in the digital conversion process should be accommodated. Today, TIFF is the most common file format for storing master versions of digital images. In TIFF, but also in other graphic formats such as GIF, the software used by the scanner automatically creates a number of tags with technical and administrative information which is recorded into the file header, in other words directly into the file itself. The information in the TIFF header is stored in ASCII format and in that sense is platform independent. The practice of recording metadata into the TIFF header is widespread, and the advantages are obvious: it ensures a close connection between the source document, the conversion process and the image file that is the result of the conversion. Building up collections of digital images also means that efforts have to be made to make them accessible to people. Libraries all over the world have for decades used MARC (Machine Readable Cataloguing) as a metadata standard, but it has not been adopted by other cultural

TRENDS

IN

ELEcTRoNIC LIBRARIES

27

sectors. To meet new demands in retrieval, initially for the Web, the Dublin Core Metadata Initiative at the beginning of the 1990s presented a set of 15 descriptive elements of metadata. These elements are intended to be
28

ELECTRONIC LIBRARIES IN

21ft

CEZn'URY

technology into a library or an archive. if it is the first digitising project for the institution in mind. Technical needs focus primarily on hardware and software. both dynamic in development for the foreseeable future. Although any list of minimum requirements is almost immediately obsolete and therefore must be fairly general. the following basic information and communication technology package should be sufficient to conduct a digitisation project on a basic level: An ordinary level PC (Intel Pentium Processor or equal) with the following additional characteristics:

At least twice the random access memory (RAM) recommended for current office requirements. The RAM type should also be at least a Synchronised Dynamic (SDRAM) At least 1 Gigabyte free hard drive memory space additional to what is needed for installed software and the operating system (Windows or equal). Image processing is memory hungry. and long delays will negatively affect productivity. A CD-writer. which is an essential peripheral to provide the means to copy the digital product to CDROMs. especially if storage space is a problem or if CD-ROMs are planned for resale. A modem or an Ethernet network card for Internet access An A3 flatbed scanner optically capable of true resolution of 600 dpi (ppi) or higher. Interpolated results to achieve a higher resolution can result in an unacceptable loss of details. Smaller A4 flatbed scanners are not able to capture the full dimensions of imperial foolscap documents of which many archival collections are comprised. A transparency adapter is another useful optional extra for the capture of film-based materials and glass negatives in large formats.

Tlwms IN ELEcraoNlc LIBRARIES

29

An office level black and white laser printer (600dpi)

is required if prInt-outs will be used for quality control. If images are to be printed for sale this will require a high-resolution colour photo quality printer. A power management unit (UPS) is recommended in areas that experience uneven electrical power supply. The acquisition of eqUipment should also incorporate a maintenance contract for a minimum of three and possibly even five years. It is generally considered that after three years the eqUipment will require upgrading, and after five years it will be obsolete and need to be replaced. Software selections should be based on a serious conSideration of open source (Le. publicly aVailable) solutions. Support of open source software under the terms of the GNU General Public License builds a digital library user community independent of market forces, limiting software obsolescence where it is not feasible to sustain expensive licensing structures attached to commercial products. Proposed software developments of an XML base class in the Greenstone software suite are eagerly anticipated as a promising open source solution to collections management of images and related metadata. The requirements of imaging software focus on the provision of standard file formats offered, notably.TIFF and.JPEG. Sophisticated graphic software tools should be used judiciously to preserve archival integrity, with image enhancement limited to automatic settings of the scanner software. Institutions intending to embark upon a digitization project need to be aware at the outset that they must investigate the copyright situation involved for each item th,at they intend to scan, and also the legal pOSition affecting access by users to the images that will be created by the project. This wtll be particularly true if the institution intends to develop a business plan to market access to and copies of the images as a cost-recovery exercise. They need also to consider the issues involved in em:uring .the

30

ELECTRONIC LIBRARIES IN

21n CEl't'TURY

authenticity of the digital images created if they are to serve as surrogates for the original source materials. Copyright means that an author's right to an original work of literature, music and art is legally protected. The time span for copyright depends on when the work was created and can differ between countries. Copyright gives the owner an exclusive right of disposition over his or her work, in other words to do or to authorize copying and public distribution or performance of any kind. Transfer of copyright must be made in written form and signed by the owner of the copyright. If the work is (1) made by an employee as a part of his or her empluyment or (2) by contract defined as a work made for hire, the person or body employing the creator or giving the contract is considered the copyright owner. Copyright has also a moral element that gives the owner the right to be mentioned, for example when the work is published, and should prevent the work being changed or corrupted. Many archives, libraries and museums have in their custody collections which have been donated and where the copyright has passed to the heirs of the creator. It the copyright owners are unknown to the institution, it can be impossible or at least very time and money consuming to obtain copyright permission. One of the advantages of digitlzation is the possibility of opening up collections and holdings for wider access, which can be in opposition to the protection of intellectual property rights. It is, therefore, recommended that the first issue to address in a digitlzation project or programme is the legal conditions for making digital copies. To protect inStitutions from possible litigation where it has proved impossible to identify the copyright holder, it is recommended that access to the digital collection is reliant upon acknowledgement of a copyright disclaimer. Opinions about what authenticity stands for and how it can be achieved differ between scholars. The core issue is, of course, that a document or an image is what it purports to be, free from manipulation or corruption. In

TRElms IN ELEcTRoNIC LIBRARIES

31

the analogue world a document is trustworthy when its identity is reliable, which means that the following facts have to be established: The creator Time and method of creation Circumstances of origin If this trustworthiness is maintained over time, the document is authentic. When it comes to digital files the Situation is more complicated. There is always a risk that something untoward happens whenever such files are transmitted across time or space, in other words when they ax:e stored off line, when hardware and software used to process, communicate or maintain them is replaced or upgraded, or when they are sent between persons, systems and applications. For this reason, a reliable identity is not enough to guarantee the authenticity of digital files. Their integrity must also be intact. It must be established what actions have been undertaken to maintain the files, who has been involved in these actions and what tools have been used. Furthermore, it must be confirmed that no unauthorized changes (whether deliberate or accidentalJ have been made in the physical representation or in the intellectual content of the files. Today, there are different kinds of methods in use· to prevent or detect unauthOrized changes in digital files. Digital Signatures and digital seals, built on cryptographic technology, and so called "watermarks" placed inside the images as identifiers are some examples. If digital images are accepted as replacements for source documents and are intended to serve that purpose, it must be guaranteed before conversion that: The source documents have no intrinsic value The informational content (and if needed the physical appearance) of the documents has been adequately captured The legal requirements are met

32

ELECTRONIC LmRAlUES IN

210T CENTURY

The means for retrieving and preserving the digital images are in place However, in most digitization projects and programmes source documents or analogue surrogates of them are kept and can be rescanned if the digital images are lost or corrupted.

Intellectual Property The high costs involved in digitization suggest the need for cost recovery by the institution as a small compensation, in a manner similar to the provision of a photocopy service. Digital collections are likely to comprise surrogate copies of photographic prints, negatives, slides, transparencies, works of art, texts and book illustrations. Such collections ~e of high interest to . a range of potential markets. While libraries and archives seldom hold copyright in the original works, the motivation for developing a self-sustaining operation is based rather upon licensing the use of images in the protection of the intellectual property of digital assets held by the institution. The objectives of this policy can be identified as follows: To mark the intellectual property of the institution in an unobtrusive manner, as a trademark, using either image manipulation or "watermarking" as technical protection in order to establish the a\lthenticity and provenance of images. To convey adequately the intellectual content of original documents for scholarship, images are provided at no cost on the Internet, .at a low resolution that encourages single use. To develop a strong business model. including ecommerce, to license multiple use of images according to a market related price. schedule as a source of revenue to fund further digitization and digital preservation.

a

33

To provide such copyright information as may be available, along with a copyright disclaimer and seeking a signed copyright indemnity as the responsibility of the user.

Legislation Most countries in the world have legislation that regulates the area of legal deposit for publications offered ·to the public. There are several motives for this, but the most important one is normally to preserve the cultural heritage. Other motives are to create a base for a national bibliography or a defire to support libraries with published material. Originally, legal deposit legislation only covered printed publications, but during the last decade publishing in electronic form has grown enormously and forced legislators to start to defme such publications also in logical terms. The expansion is not only quantitative but is linked to the fact that new producers establish themselves, and in so doing expand the boundaries of what can be published electronically. Any private individual with a computer and Internet access can take on the role of being simultaneously writer. publisher, printer and distributor of published material. There are two obvious trends in Internet publishing: convergence, which me~s that different media like newspapers, radio, movipg images, telephony etc. grow together and give seamless access to their respective contents individualization, which means that more and more of the information offered to the public has an individual design. So called intelligent agents, "butlers" and "know-bots" are today on the web searching for information according to personal wishes. Before a digitlzation project commences it must be made clear to what extent it will be covered by legal deposit legislation. Building a digital collection is expensive and resource-intensive. Before embarking on

34

ELECTllOlUC

LmRAIuEs

IN

210T CENTURY

digitization projects. some basic planning principles are offered here for projecting the costs underlying the design. implementation. and maintenance of a digital library. Management issues related to the budgeting for a digitlzation project include the cost of training of staff and integration of new work processes. the acquisition of equipment and provision of a suitable workspace. and the establishment of new systems of digital storage to ensure the preservation of digital heritage. Cost recovery can offer small compensation to the high capital expenditure associated with digitization. This is usually conducted in a manner similar to the prOvision of a photocopy service. It is generally recommended that digitization be limited to source material in the public domain. to avoid complicated copyright litigation. On that basiS. a business model can be devised to license the use of digitized material. An equitable model would offer free Intemet access to low-resolution images. and escalating according to intended use. to secure for the library or archive a percentage of ultimate commercial profit. This concept may need to be negotiated in the case of parastatal institutions. where centralized accounting systems do hot readily identify income-generating activities. In a digital environment. the effective pricing of such a cost recovery service will take into consideration staff time in the creation of the digital fIle. the cost of disk storage per megabyte. and an additional 10% archiving fee for the long-term storage. maintenance and migration of the fIle to new media to ensure future access. Service providers in the qualification of library and archive staff have been slow to 1 espond in developing countries to the change in traditionally separate user groups of libraries and archives. that have been redefined in the growing use of the Internet. A significant relationship has emerged between computer literacy and the general information literacy competence of information professionals. Basic computer

35

literacy is a pre-requisite for the provision of an effective information service that includes Web-based resources, yet these skills are still not guaranteed in developing countries. There is a definite need to budget for improved computer literacy, from the level of basic operational skills in a Windows environment, which are readily available in the commercial sector. The implementation of digital projects and subsequent integration of such projects into the institutional structure will necessitate the consideration for budget purposes, of new job descriptions and new posts. The outcome of staff development should be acknowledged and reflected in the transformation in traditional services. A major concern of libraries and archives in developing countries is the ongoing cost of building maintenance. The need to provide adequate storage infrastructure is not diminished by digitization, since the digital surrogate Hoes not replace the original document or artefact. The attainment of reliable and steady environmental control is often problematic, yet a cool, dust-free working environment is more critical to the rate of deterioration of microforms and digital products than for paper-based records. Along with buildings and facilities management, is the need to secure a reliable and clean power supply, with emergency backup generators. The problems of maintaining the technical and physical infrastructure can only be met in careful monitoring and planned intervention long before disaster strikes. Where optimal environmental conditions are not attainable for storage of digital data, serious consideration should be given to the -identification of institutions committed to digital preservation, for the development of trusted digital repositories where duplicate copies may be held in safekeeping. A good starting point for budgeting the operational costs of digital projects is the estimation of cost per image. This should include the current unit price (per Megabyte) for disk storage, and an estimate of staff time in production processes. In the major budget areas of

36

EI.EcrROl'QC

LIBRARIES

IN

21n CENTURY

management, infrastructure and production, the greatest proportion of costs are allocated to staff costs and it is recommended that remuneration of project staff be calculated not on a fixed salary, but rather on the production incentive of a market-related unit price per record. Criteria for the selection of materials for digitization can be broadly defined in the assessment of user needs, the attributes of the source material and the technical infrastructure for successful conversion. The selection process requires considerable investment of staff time in assessing the value to users of the informational content of the source material, either as individual documents, or as a collection of documents. The volume of material for digitization and the conversion cost per page as well as the relevance to other on-line resources needs to be evaluated. The selection process may involve lengthy partnerships developed in multiinstitutional initiatives for digital collection development. The time spent in the evaluation of physical attributes of the source material needs to be calculated, first in terms of the relationship of fine detail to the physical dimensions of the documents, whether bound volumes or loose sheets. and the quality and condition of the documents.

Objective of Digital Conversion The cost of the technical infrastructure required for the conversion is determined by the media selected. Bound volumes may need to be scanned face-up on a planetary scanner, loose documents on a flatbed scanner. Transparent media. (slides, negatives) may be captured with a transparency adaptor on a flatbed scanner, but optimal image quality might be secured in the inclusion on the budget of a film scanner. Included in the hardware cost estimate is the maintenance contract to support maximum production. The objective of digital conversion for cultural he!itage institutions is authentic representation rather than image enhancement for desktop publishing.

37

Image capture software is normally bundled with the capture device. and subsequent image management can be effected with high end products like Adobe PhotoShop. Corel PhotoPaint) or demonstration packages on the Web (PaintShopPro). Once a digitization process has been chosen for the source material selected. the cost per image can be analysed on the following basis: Source type: Turning pages and repositioning of bound materials will take longer to scan than loose sheets; the large pixel dimensions in scanning oversize maps or newspapers slow production rates. and may need to be outsourced where technical infrastructure is not available. Quantity: total volume of images to be scanned. Process: direct scans or intermediate. OCR conversion to ASCII text. 0 Standard: resolution. bitdepth. tonal range will affect resultant file-size. and ultimately. the cost of disk storage. Cost per item; -Where resolution is constant. cost per item is affects by physical dimension of the source material. resulting in variations in file-size. and cost of disk storage.

The processes to make collections accessible. either in a catalogue or on the Web are determined by the selection of a metadata standard. based on the following factors: Extent of existing collection-level description. Need to modify metadata for various user audiences. Compatibility to make collection visible through a Gateway. The cost of metadata or indexing processes are disproportionately high (60% of total cost). as they are conducted by qualified information specialists. who often need to be re-skilled in the use of new standards. Post capture processing includes quality control against 'the conversion standard selected and re-scanning where necessary. This can either be conducted on each file. or at specific capture intervals. to ensure consistency

38

ELEcrao1uc LmRAams

IIIf

21ft CENTUlD"

of image quality. The creation of smaller derivative files from master tiff files can be automated. to provide lowresolution images for Web presentation. Digital archiving comprises electronic records management functions of providing security. authenticity. and integrity foc long-term preservation and access. While many document management systems will offers these features. it is important that proprietary file formats are avoided at all costs. Files should be stored in a standard file format (.TIFF•. JPEG. 'ASCII text) that can be migrated to a new platform as required. without loss of data and resultant costs incurred to the library or archive. The identification of a local. agent to provide ongoing software support in developing countries is important for cultural heritage institutions. Digital asset management is becoming of increasing importance to the commercial sector. and the strength of the growing market will positively affect pricing. and enhance the availability of local support. The application of digital technologies in providing open access to information demands high levels of .capacity in information technology. Where this capacity is lacking' in developing countries. reliance on consultants mu~t be calculated into the budget at market-related prices. The implementation of a storage system to manage document images should enable the management of file relationships. audit trails. version control. and disposition scheduling. The selection of a suitable system reqUires some investigation of commercial software products for budget purposes. Software evaluation may be effectively conducted by a spt:cialized consultant. working in conjunction with staff to identify the needs of the .institution. Apart from the many useful features that many software packages offer. an additional point of budgetary consideration is the license fee. usually an annual commitment to maintenance and updating of the software.

39

The design of a user interface and management of the delivery system Is integral to access. Budgeting for software is open, with solutions ranging from highly sophisticated HTML editors (Dreamweaver, Front Page), to shareware products available on the Web (Arachnophobia, Front Page Express). The -budget considerations in managing the storage and-~ ctk'lvery system will include the software requirements outlined above, systems administration functions of server acquisition and maintenance, network infrastructure and access control (firewall), backup hardware and media (tapes, CD's etc.). Storage of backup copies and microfilm masters in off-site low temperature and low humidity storage is recommended for disaster recovery purposes. Modest solutions to man:::lging the storage and delivery system can be applied 'in -developing countries. One solution can be found in hiring the services of a commercial Internet Service Provider (ISP) , rather than assuming the technical challenge hlld ongoing costs of server maintenance. Because of resource constraints, many libraries and archives in developing countries tend to be behind the digital technology curve. Service providers in the education and qualification of library and archive staff have been slow inform students of the new skills they will need to respond to the digital environment. These include riot only technical skills, but proposal writing and project management skills applied to the development of technical services. The successful application digital technology is not a matter of hardware or software, but a problem of access to opportunity, which goes far beyond technology. Directors of libraries and archives may fear that because they do not understand the technical details of digitization, they cannot ef~ectively plan for the implementati<;m of digitization projects. It is more important for managers to understand the impact of digitization on the organization and its goals.

40

ELEcrRONIC

LIBRARIES

IN

21 BY CI!lNTllRY

Three main areas of consideration are change management. capacity building. and in developing countries. the social implications of digital technologies. Opportunities for staff development in the implementation and use of digital technologies require managerial support. often less than enthusiastic when faced with the reality of trimming budgets to support new initiatives. Change is basically about people. It nmy be necessary to analyse the problems of interaction within the organisational culture for obstacles related to territoriality. a lack of informed managerial support and fear of change within the line management. including technophobic berriers to technological innovation. These issues are often underestimated. The functional units of organization within the instituti,on may need to be deconstructed to enable change by focusing less on proced .... res and more on common goals of providing an information service. It is inevitable that existing lines of authority and responsibility will be relaxed. The level of seniority that is age-related in the traditional societies of developing countries has no place in the digital arena. where individuals must be fearless of risk and change. and be self-motivated in learning the limits and opportunities of information technology and communication. In the absence of formal training in developing countries. managers can nevertheless provide leadership in seeking aptitude in these areas· to empower the right people in the organization. Financial assistance in the form of institutional loans for personal computers. modems etc. will serve the institution by extending the learning curve beyond office hours. while taking the threat of change out of the workplace. Even when opportunities abound. people and organizatidns have a natural aversion to change. especially where it is perceived as daunting. complicated or costly: At the same time there is a natural human tendency to desire what others have. e

TJUtlIIDS

IN Eu!:cTROl'lIC

LmRAIuEs

41

Capacity building is therefore effectively achieved by forming partnerships with early adapters, either institutions or individuals with experience in the use of the technology, and who in their commitment to making it work, ensure the transfer of skills and increase the chances for a successful outcome of the project. The development of partnerships with similar cultural heritage proposals to collaborate with experienced institutions or individuals on joint initiatives can leverage human development beyond the seniority and gender constraints of the particular institutional culture. Formal training opportunities that might be available include commercial training for the basic office environment, or short courses offered by universities and colleges, some even on-line, aimed -t6 deliver successful technology. Most institutions began operating on the information highway by sending highly motivated delegates to intensive training courses. In the developing world, the training should be appropriate to the particular needs of operating independently with limited IT support. It has become clear that in providing grant-funded specific digitization training courses that the acceptance of such opportunities also bears with it a level of accountability. Capacity building then becomes self-motivated, if the individual is empowered to affect change in developing digital technologies. Intensive instruction in digitization should assume a basic level of IT competency in a Windows environment, and aim instead to provide key skills for digitization: image capture: to capture a digital image from a physical object OCR (Optical Character Recognition): to convert imaged text into machine-readable format markup languages: standard protocols for adding metadata, e.g. HTML, XML metadata: standard schema of administrative, descriptive, stnictural and preservation information, e.g. Dublin Core indexing and database technologies to search and retrieve digital resources intellectual property management: the risks and

42

ELECTltOlUC

LIBRAIuBs

IN

2 ~lIT CElmJRY

responsibilities of disseminating electronic information user interface design: the interpretation of user interactions with the data web technology: encompasses basic delivery mechanisms of digital data via HTML. XML and use of search engines project management: to achieve goals within set penods of time. and within a specific timeframe. In addition new managerial skills are required in the broader areas of project management. systems implementation and increasingly. in fundraising. The relJance in developing countries on inadequate funding from the national government is broken in providing an infurmation service to the global community. The goals and objectives of digital projects have to be clearly identified and the implementation carefuiIy planned in order to attract grant funding. Whether digital projects are to be ultimately outsourced or production conducted in-house. the need to develop both technical and managerial skills is essential for effective quality control. An important component of capacity building in developing countries is the opportunity provided to create new job opportunities for the people of the country. Partnerships that support human development are preferable to those that offer quicker. and often cheaper off-site conversion. but which ignore the social upliftment of job creation. . Human resource development is essentially aimed at breaking the digital divide. The Internet provides global information sharing. changing the way in which users interact with information resources. The boundary to knowledge dissemination is no longer owned and distributed in an unequal hierarchy from the dispenser (the librarian or archivist) to the user. The value of information is no longer vested in its ownership. but in the trusted value-added services of skilled information professionals to guide and direct the user in turning the overwhelming volume of electronic information into knowledge.

43

Web Resources The digitization of our cultural heritage brings together various sectors of the global community in an unprecedented manner. The user groups of traditional library. archive and museum structures have been redefined by the growing use of the Internet. Scholars are creating or using electronic resources to further their research; distance-learning models prompt teachers to gather Web resources in an online learning environment and publishers are integrating print with digital editions to reach wider audiences. The support of computer and information specialists in the application of new technologies to develop and manage online information is increasingly sustained by libraries and archives seeking to improve access to digital information that represents rich resources of culture and scholarship. The unique properties of the digital medium give visual form to cultural heritage information. The interactive techniques of the Internet that appeal to the cognitive senses provide a new opportunity for libraries and .archives to develop a global user community. The organizational issues involved in creating and maintaining online infonnation resources can be grouped into four areas: Developing digital content Building a Web team Website production and management IntrodUCing Web-based services There are few tested principles when producing websites for libraries and archives. The real challenge is to design a website that has reliable and up to date content and a user interface that is easy and intuitive to accommodate the needs of different users. both scholarly and the general public. Some basic technical guidelines exist to ensure a conSistent. high standard is maintained in the production and management of a website·. These guidelines are designed to meet the following needs:

44

ELECTROl'OC LiBRARIES IN

21" CElttVRY

To assist staff with little previous experience to develop responsibility for the website To provide guidance to specialist design consultants To evaluate the products of external consultants. The ultimate challenge for libraries. archives and museums lies in applying digital technologies to the development of Web-based services. Developing digital content requires image capture, the description and indexing of images. and the management of access to digitized collections. Collections have been traditionally documented in various ways by accession registers. card catalogues and more recently in databases. which offer the advantage of automated search functionality. The accessibility of collections in a Web environment relies therefore on the ability to search from a remote access pOint. The creation of digital records demands new methods of knowledge organization and data management in a digital, distributed. multimedia environment. Digitization. and the automation of the associated record describing the digital object. by metadata capture. cataloguing or encoded archival description (EAD), have become tools for interaction with Web-based content. International technical standards are emerging to ensure interoperability across the Internet. in a manner similar to the z39.50 protocol for interoperability between databases. Current Internet standards models are aVailable. such as those offered by W3C (World Wide Web Consortium) and the IETF (Internet Engineering Task Force). These standards include various versions of HTML from HTML 1.0 to HTML 4.0 and CSS 2. and W3C is now encouraging the use of XML. providing for the current development of schema. based on important metadata standards such as RDF (Resource Description Framework) and Dublin Core. Standards allow more freedom. interoperabllity and accessibility for users. They also avoid reliance on a software vendor to maintain digital collections. Schemas

7RENDS

IN ELEcraOlUC

I..mRAJuEs

45

enable knowledge structuring and electronic data management at collection, document or record level in digital libraries. Used as interactive information services on the Internet they have an increased potential to support the description, discovery and retrieval of heterogeneous and distributed information resources. Access may be achieved by means of Websites, or COROM, or both. The advantage of CO-ROMs is that they fulfill the legal requirement in some countries for physical evidence. In developing· countries, where the networking infrastructure and bandwidth are limited, access to information can be greatly assisted by the use and distribution of CDs. The hosting of a Website in developing countries suffers from many limitations. Where an internal server cannot be maintained, the website may be successfully hosted for a fee by a local commercial service provider. Websites may be developed to serve a single institution, or as portal sites linking related information resources. Portal sites carry an additional responsibility for long-term preservation of linking mechanisms. A collaborative digital repository will serve the joint responsibility. of related digital content. Access management issues are essentially those of electronic records management. These functions may be categorised as follows: To ensure that records can be exported from the software application: The ability to move data to new foftware versions across time will ensure long-term preservation. The use of standard file formats (.TIFF, .ASCII text) wm provide software independence. To preserve security, authenticity, integrity: Access poliCies and permissions are intended to limit undue manipulation and possible corruption of archived electronic records. Any changes made to the file are recorded for future reference, and assist in maintaining information integrity. Authenticity requirements form part of provenance, by

46

maintaining records in their original format, and managing groups of records according to their security markings. To associate contextual and structural metadata: The association of contextual and structural metadata with the image as a single digital object ensures that all elements are displayed as a unit on retrieval. To manage appraj.sal audit trails: Appraisal audit trails follow dispbsition schedules set at creation. Schedules are n9rmally set chronologically, or conditionally. Digital content management entails the regular review of dispOSition decisions pending, and the selection to override disposition schedules for permanent preservation. Finally, list of records fur transfer or destruction should be maintained.

CHAPTER 2

INFORMATION RETRIEVAL The archiving and preservation functions within a digttal environmpnt will become increasingly privatised as information continues to be commodified. Companies will be the place where the most valuable information is retained and preserved, and this will be done only insofar as there is a corporate recognition of the information as an asset. But companies have rio binding commitment to making information available over a long term. Those librarians who suggest that legal deposit is the means for addressing this issue are not likely to be successful. The first line of defense against the loss of valuable digital information rests with the creators, providers and owners of digital information. This fact is a critical one for preservation purposes as it strongly suggests that the role that librarians and archivists must play will be an increasingly public one. Preservation is a desktop issue, not merely an institutional one. The role of preservationists must be to interact with users and to address preservation and information management issues on their desktops, not the archivists' desktop. Standards will not emerge to solve fundamental issues with respect to digital information. The challenge in preserving electronic information is not primarily a technological one, it is a sociological one. The dynamism of the market for information technologies and products ensures the fundamental

48

ELEcrRONlC

LmRARIES IN 21- CEN'l'OIft'

Instability of hardware and software primarily because product obsolescence is often key to corporate survival in a competitive capitalist demo-cracy. Product differentiation manifests itself at the very level of the document standard. ProprIetary systems provIde commercial enterprises with profitable products whereas static formats do not create a continuing need for upgrading which software and hardware companies depend upon. This situation conspires against standards that create a stable nexus of hardware. software. and administration. Libraries and archives will be required to continue their existing archival and preservation practices as the current paper publishing boom continues. Clearly. digital collections are not going to be a substitute for existing and future library collections and plans must be made to accommodate both. A significant concern of libraries and archives is that the financial resources necessary to address expensive IT upgrades. embark on data rescue operations. and unde~e digital preservation will have detrimental impacts on other aspects of library and archival operations such as building collections and providing services for the public. DIGITAL PRESERVATION PROBLEMS

Sustainable solutions to digital preservation problems are not available. The research programme for digital preservation is still being established. For example. the Preservation of Electronic Materials: a Programme of Studies funded by the U. K. Joint Information Systems Committee of the Higher Education Funding Councils has recently put forward a research agenda which illustrates the situation. This programme includes: Developing a topology of major data types and formats and identifying issues affecting preservation of each category of material. Investigating the attitudes of 9rIginators and rights owners to the responsibilities of dIgital preservation. Examining costing models for long-term preservation

48

of digital materials. Examining the three main methods of digital preservation: technology preservation; technology emulation; information migration. Investigating the digital preservation needs of universities and research funders. Investigating progress towards permissive guidelines for digital preservation. Reporting on sampling methods and techniques for collecting materials. on the nature and extent of institutional electronic archives. and or the relevance of current archival practice to digital preservation. Investigating post hoc rescue. or data archaeology. of high value digital material which cannot be accessed because the required IT environment is no longer available. PRESERVATION OF DIGITAL MATERIALS

The preservation of digital materials is not complex. As long as the relationship between hardware. software and humanware is maintained. a kind of preservation nexus' exists and a digital object can be preserved forever. The problem is the centrifugal forces such as time and money that pull each of these elements away from each other software and hardware become outdate~. migrating information may require expensive recoding. and organisations lack resources to address the problems. This creates an environment where the object is basically left in a digital limbo-trapped in an obsolete format or captured on an unreadable medium. or lacking the administrative capacity. resources. or willingness to refresh the data. The archiving of digital information is not a conservation problem. To quote a conclusion of the Technology Assessment Advisory Committee to the Commission on Preservation and Access. 'Preservation means copying.' It is the 'contents' that must be preserved not conserved. Unlike

EI.EcrRomc Louwua Dr 21- CJamJIlY

conservation practices where an item can often be treated, stored and essentially forgotten for some period of time, digital objects' will require frequent refreshing and recopying to new storage media. Keeping the 'original' digital artifact is not important. Further, refreshing or 'copying' of digital information will not be confined to merely mOving from one storage medium to another but will also entail translation into new formats or structures. It is also likely that this translation will be an .imperfect copy, as well as a costly and ongoing expense that must be budgeted for accordingly. Some types of digital objects will not be transferable to either new media or to new formats, for example: software executable files; self-extracting archives coded for particular operating systems; and formats unique to a software implementation. Even maintaining materials on a particular storage media like CD-ROM will not be easy. Multimedia materials that require particular hardware and software platforms to access the contents will disappear and will not be easily migrated to any new system. It is quite possible that a Significant portion of multimedia CD-ROM titles presently in-print today will not be accessible to the next generation operating systems. The handling of the physical storage of the digital object is the least of our worries. However, as a profession, librarians and archivists know how to do this wellNhow to have climate controlled environments, how to conserve and store materials of various types, how to ensure that disaster recovery practices are in place, and so on. What is lacking in our knowledge base, and in that of technologists, is how to preserve over time, and on a cost-effective basis, the relationship between the storage, retrieval and display hardware and software. Preserving digital objects over time and in a costeffective manner, reqUires technologies and formats to be stabilised to a greater degree than we have presently. But market forces drive the introduction of newer, faster, bigger, 'better' technologies for the production,

INFolUlA110N REnuEvAL

51

distribution and storage of electronic information. No standards process can keep up with the dynamic changes which have occurred in the past 20 years. Documents are becoming complex. dynamic creations made of multiple objects. embedded programming and hypertext links. This is a significant departure from the solitary book or artifact with which preservationists traditionally work. Organisations are being asked to make fiscal commitments to creating complex technical infrastructures that change every 3-5 years and which require increasingly expensive technical expertise to keep functioning. CONFRONT THE CHALLENGES

There are a number of key areas in which concerned institutions and professionals can contribute: Knowledge creation: There is an urgent need to augment research in the area of digital preservation. Projects which further our knowledge in the challenges of preserving vari'lUS types of materialsNmaps. archival materials. color documents. bound volumes. data-sets. music. and elect!"onic formats like SGML. PDF. ASCII. HTML must be undertaken. The research needs to include a careful accounting of the actual costs of preserving these materials. If projects do not provide costeffective preservation solutions or have only marginal benefits. we need to be informed of this. If some techniques or strategies work better than others. we need this information clearly stated. Digital triage: There should be informed skepticism about the claims of organisations that say they will archive the Internet. The library and archival communities already know that not everything can and should be saved. What is key is selecting which digital resources to preserve and which ones not to preserve. Librarians alld archivists must develop digital collection development and evaluation gUidelines to assist in deciding what can be saved and what should be saved.

52

ELEcraomc I.mIwuES IN 21- CENTVRY

and what can't be, ,on a case-by-case basis. The Research Libraries Group's Preservation Working Group on Digital Archiving, as well as that of the JISC in the UK, have identified the development of guidelines for appraisal, selection, and priority setting for preserving digital information as being a key task for future work. Rescue operations: Digitally produced images of documents are not a substitute for microfilm preservation. Digital copying will not necessarily ensure the preservation of a digital document. The fact is that digital information may be outputted to microfilm for preservation purposes and it may even be appropriate to print an electronic document on acid-free paper and handle it according to established archival practices. These hybrid methods may be an effective transition step until stable gUidelines and technologies evolve for longterm digital preservation. Librarians and archivists need to work with industry to develop simple and cost-effective print-to-microfilm systems; this will enable archives to preserve documentary collections that are provided in proprietary formats such as word-processors in a cost-effective fashion to be effectively preserved. By transferring electronic information into nonelectronic form there will be a loss of functionality for some kinds of information. Paper or microfilm documents may no longer have active hypertext links or be searchable by keyword and there will be some cases where it is not reasonable to migrate the information to non-electronic forms as it would render the information useless, e.g. software or large data-sets. Recoding information of this type will be sharply constrained by the resources and in many cases will not be feasible. Document formats: Mixed media and multiple document formats will continue to remain the fly-in-theointment of digital collections. Multiple formats may require maintaining multiple hardware/software platforms and will confound simple migration to new

53

storage media. Whether possible or even preferred. requiring that data be stored in a common format is unlikely for the foreseeable future. Similarly. existing translation software available for the migration and translation of document formats illustrates that the problems are significant and the results are often less than satisfactory. The simple case of conversion between the most popular document formats. MS-Word and WordPerfect. provide ample illustration of the challenges that are faced and argue for skepticism about claims for future systems which will make this task easier. There will probably be no effective solution to this problem. If a library will be receiving electronic objects from cor'ttent providers such as authors or publishers. they may want to specify a limited range of acceptable document formats. Working with creators to bring these problems to their attention and providing guidance on how to organise files and which formats to use for purposes of archiving will help. Once again. more research and effective communications with content and technology providers are required to address the issue of multiple formats. Being legal: The management of rights and access controls for electronic objects is an increasingly complex area of concern for libraries and archives. A library may have the rights to access and use electronic materials. but the right to preserve the materials may not be the same thing. Restrictions on access placed by rightsholders or by licensing arrangements for particular resources need to be addressed when questioning whether the information can be preserved. A simple example is the case of whether a library can retain old versions of a CD-ROM database to which it may subscribe or whether the CD-ROM must be discarded after the subSCription is finished or destroyed when a new version is issued. More complex legal issues arise with the automated collection of Internet information for preservation purposes in efforts such as the Internet Archive. where it

EI.EcTRo1ac Lma.um:s IN 21" CE!I"nJKY

seems that intellectual property rights are being ignored. Similar intellectual property concerns about the legality of unauthorised and automated indexing of Internet WWW sites are also being raised. Licensing will be one of the most important things that a library will be required to do in the electronic realm. The management of diverse licensing arrangements promises to be a significant administrative and technical challenge for preservation purposes. For example. the University of California Digital Library framework is quite explicit about the need to ensure that where digital materials are printable. the licenses and contracts associated with them allow you to print a copy on acidfree paper for preservation purposes. Librarians need to work on contractual issues. There must be a concerted effort on the part of all libraries to work together to get the best contractual arrangements possible and to be more aware of the contractual issues associated with the licensing of electronic resources. Promoting the importance oj preservation: Librarians and archivists must engage in a concerted effort to raise the profile of preservation. The Commission on Preservation and Access and Research Libraries Group (RLG) in the United States. the Joint Information Systems Committee (JISC) in the UK and PADI Working Group and National Library in Australia. among others. have all been active in framing the problems of digital preservation within their constituencies. As a profession. librarians and archivists need to encourage critical thinking and be highly pragmatic about the nature of the new medium and the challenges of digital preservation. Although there are positive benefits to digitisation. particularly in providing remote and enhanced access to information. as Klaus-Dieter Lehmann. Director General of Die Deutsche Bibliothek warns. there is a danger here as well. The problem is that 'digitisation may come to be regarded as a panacea for all of the real and imagined problems libraries now face in connection with the preservation of physical collections: the growing need for

• storage space. the deterioration of books due to acid paper. and the rising costs of library operation: Only by increasing public support and understanding of the issues of preservation. both digital and analog can we hope to address the shortfall in fiscal and human resources that continue to hinder preservation efforts and impact upon library services. Working together. Archiving decisions for materials which are common to many libraries will be made in consultation with other libraries to deter-mine the appropriate forms and sharing-mechanisms. Few libraries will be positioned to effectively archive large quantities of electronic information. Any given library will necessarily be required to select re-sources that they can archive and preserve according to their particular mandates and user requirements. In many cases. it will not make sense to duplicate efforts. Digital pre-servation efforts will need to be coordinated. In other situations. it may make perfect sense to duplicate archival efforts. particularly if the information is too valuable for historic purposes to be entrusted to only one institution. Efforts such as the U. S. National Digital Library Federation and the Canadian Initiative on Digital Libraries are examples of important first steps. Digital preservation as a public good: Librarians and archiVists protect the public interest by making information available to the community and by asserting the importance of maintaining a record of our collective intellectual heritage. This task will be a continuing challenge because libraries and archives are too often considered to be competitors' to publishers. document delivery services. and other private sector content providers. It is unlikely. unless a substantive groundswell of public support is generated. that libraries will win in the battle against commo<;lification of infor-mation resources or be able to generate the public' support necessary to meet the challenges. Despite the present lack of public interest in digital preservation. it Is

58

Eu!:crRomc I..uuwuES Dr 21- CEN'I1JRY

necessaxy to believe. perhaps as an article of faith. that the efforts of librarians and archivists will be appreciated in the future. The traces of information that we are able to save from our digital vellum will be valuable sources of information to the future. Even if the task of digital preservation remains thankless. it is a vital one and must still be undertaken. The objective is a noble and necessary one even as the many problems appear insurmountable. Digital collections facilitate access. but do not facilitate preservation. Being digital means being ephemeral. Digital places greater emphasis on the hereand-now rather than the long term. just-in-time information rather than just-in-case. The research programme for digital preservation has only recently been initiated to. develop strategies. gUidelines. and standards. Although tremendous work has been undertaken in defining the problems and challenges. much more remains to be done. and the tough task of actually doing digital preservation remains ahead. A critical appraisal of where we are vis-a-vis our digital culture. and what we want for the future something which may not be defined in technical terms at allNis required both inside and outside of the libraxy and archival professions. If history and cultural heritage are to be important. then it will likely fall to librarians and archivists. the monastic orders of the future. to ensure that something of the heady days of our 'digital revolution' remains for future generations. The challenges to digital preservation are considerable and will require a concerted effort on the part of librarians and archivists to rise up to these challenges and assert in public forums the importance of protecting a fragile digital heritage. DIGITAL PRESERVATION HISTORY

Technological advances come equipped with both affordances and unintended consequences. Preservation

Il'flI'ORMATION REnm:vAL

has its own well-known examples of technological advances leading to problems for librarians to solve: "Brittle books," the product of nineteenth-century technological innovations that had produced inexpensive paper; Bulk microfilming techniques employing scanning equipment that required the spines of books to be cut off; Reformatting of analog tapes to digital, only to discover that the digital media ¥e more fragile than we realise. Preservation of new media is even more problematic than preservation of earlier ones. By one estimate, as much as half of the global motion picture library may become inaccessible in 10 to 15 years because the storage media have degraded.

-

Consider the following comment dated 1900, from Ainsworth Rand Spofford, then Librarian of Congress, US:

No one who does not know how to use the odd moment is qualified for the duties of a librarian. I have seen, in country libraries, the librarian and his lady assistant absorbed in reading newspapers, with no other readers in the room. This is a use of valuable time never given to be indulged in during library hours. If they had given those moments to proper care of the books under their charge, their shelves would not have been found filled with ne~lected volumes, many of which had been plainly badly treated and injured, but not beyond reclamation by timely and provident care. Anachronistic images in this century-old text notwithstanding, Mr. Spofford's basic insight rings true today: preserving collections is an integral component of managing libraries. Spofford may have been a bit off in calling for keeping the library's temperature at seventy degrees Fahrenheit. But even back in 1900, he

58

recognised the need for regulating the internal environment, for good housekeeping, and for pest controls. He also warned of the damage that collections could suffer from inappropriate use, carelessness, and even malice. He waxed particularly eloquent about vandalism and theft, citing a "custodian" of a public library in Albany who had reported that all the plates were missing from certain books and that poetry and illustrations had been cut out of magastnes left on tables. As Librarian of Congress, Spofford's message reflected the importance that leaders in the library profession had come to attach to preservation. But his remark also demonstrated that many libraries made preservation less than a core activity, something that could be neglected by librarians more interested in reading newspapers than in safeguarding them. Today, preservation suffers more from inadequate funding than from negligent librarians, and today's libraries have much more material than in old time, both in quantity and in kind, that needs preservation. Part of the problem reflects our uncertainty about who is responsible for preservation of library resources. In some developed countries, a national library typically has responsibility for acqUiring and preserving a country's published output. In USA Library of Congress serves as a national library in some respects but has no universal preservation charge for the nation - although it has recently been assigned the responsibility for forging an infrastructure to support long-term preservation of digital content through the National Digital Information Infrastructure and Preservation Program (NDIIPP). Historically, the Library of Congress has been first and foremost the Congress's library. The personal library of Thomas Jefferson - the core from which the Library of Congress grew - was a broad rollection but certainly not an assemblage of all books published in the United States. While the Library of

IIooRIIA110N REnuEvAL

59

Congress attempts to collect widely. and even comprehensively in many subjects. following a collection policy like every other American research library. it does not collect in such fields as medicine and agriculture. What the Library of Congress particularly preserves tends to be its special collections - those unique maps. manuscripts. photographs. films. radio broadcasts. and materials in other formats held only by the Library of Congress. DIGITAL TECHNOLOGY

Digital technology causes us to look at content in new ways. The degradation of books and newsprint. which was an unanticipated adverse consequence of technological innovation. provoked the modern. scientific study of preservation requirements. One solution has been re-formatting. first to microfilm and subsequently to digital media. High-quality film is a relatively stable medium. MicrofIlm readers are simple. if not always pleasant. to use. and conscientiously microfIlmed images of printed artifacts - including the binding. the pages. the illustrations. and even surviving handwritten marginalia - convey information that these artifacts frequently embody beyond their texts. More recently. the rise of electronic publishing. first in creating scholarly e-journals and then in digitising rare texts. decoupled content from the artifact. so that information became separated from its original vehicle and expressed in a new form - as text on a screen that might look different depending on which computer program presented it.For at least some forms of communication. such as scholarly journals. electronic delivery of information in digital form has been a godsend. Researchers quickly recognised the convenience of having electronic information delivered to their desktops and being able to search it. Librarians grew concerned. however. over questions about the stability of electronic

60

Eu:cmomc LmRAlm:s

IN

21- CBNTVRY

materials. Concern that long-term preservation represented an early barrier to the acceptance of electronic journals as a form of publication equivalent to print has led many publishers to treat electronic versions as add-ons they provide in parallel with print formats. JSTOR, Project Muse, and related programs arose to provide electronic journals consisting of digitised page images with so-called "dirty OCR" behind them to support searching. The research literature is fundamental to the research endeavor, which is deeply embedded in higher education and in industry. But journal publication has become increasingly expensive since the 1970s as prices of printed journals have risen. Options for electronic publishing have engaged the attention of both the library and the publishing communities. We are already seeing all kinds of information created in digital form only SCientific databases, visualisation tools, geographic information systems, e-journals, and a wealth of cultural history contained in images, sound, television, radio broadcasts, and cinema. , Librarians are concerned about preserving these resources, too. Electronic storage media degrade, just as paper does, only perhaps more quickly. Signals stored on electronic media also degrade, and not at a consistent rate, and hardware and software become obsolete. Data must therefore be transferred' to new media or migrated to newer platforms, operating systems, and program applications. An alternate strategy is to emulate the original; that is, to provide a way through software to mimic the hardware on which a given system ran. Either way, each item in a digital archive requires active management. Discs, tapes, and other electronic media, like print, must be maintained in controlled environments, but may take more labor than print to preselVe. Finally, metadata is vital for information management but is labor-intensive and hence expensive to create. Assuming, however, that we solve the problems of preseIVing electronic ·data, we

ImroRJIA110N REnm:vAL

61

then must deal with questions about who owns it and what can legally be done with it. Libraries hope to provide future scholars with the production elements and the performance. However. we do not yet know how to do that in the digital world. Today's information technologies have been justly celebrated as democratising information production and access. On the Web. we can find an enormous range of information of potential value. Determining what out of all this will be saved. and by whom. will require innumerable local judgments. Determining how Web resources can be saved will require some large national and international decisions about best practices. standards. and organisational structuring. Archiving digital works and records is a pressing need that engages attention at home and abroad with efforts under way at national libraries and archives. including both the Library of Congress and the National Archives and Records Administration here in the United States; research libraries and universities; and non-profit organisations. There is also evidence that the entertainment. publishing. and other content industries are coming to realise the potential commercial importance of future use of their content, which means attention to preservation now. Librarians inherit a tradition of local and global coordinated practice and procedures - namely. interlibrary loan. shared cataloging, and the development of directories of microform and manuscript collections. practices that are perpetuated through library school. professional training and continuing education. Just as preservation of analog required libraries to expand their organisational functions and librarians to alter the professional curriculum. we can expect that learning to manage digital resources will require similar adj~stments. Indeed. we have already begun to see professional courses. seminars. and workshops on digital librarianship and digital preservation. I

CHAPTER 3

INFORMATIOli ARCHMNG At the level of the national archives about two-thirds of archival buildings in Asia are purpose-built and the majority have some form of humidity and temperature control. However. many of them are more than twenty years old and storage space is limited: some buildings are completely full and unable to receive new accessions; others will be in the same situation in the near future. Most Asian archives have conservation workshops and reprographic laboratories. but the supply of skilled technicians is distributed very unevenly between them. Where reprographic laboratOries exist. microfilming is the technology most commonly used for the preservation of archival material. Records are microfilmed to preserve the information which they contain and to protect the fragile originals from excessive use and consequently from damage. Documents in poor condition are consulted only on microfilm. In many Asian archives the records are open to the public when they reach' twenty-five or thirty years of age. as. for example. in the archives of Australia. China. Macao. Nepal and Pakistan. Documents containing information that can affect individual privacy have a longer period of access restriction. On the other hand. in many countries there are some areas of government which do not transfer records to the national archives. The legislature. foreign miniStry. ministry of defence and supreme court are the bodies most likely to be

exempt from the operation of archival legislation or even to be governed by separate legislation. and their records may not be accessible to the public. Archives of totalitarian regimes are more bureaucratic than archives of democratic regimes and this has consequences for the availability of records. Communication through exhibitions and archival publications is also an important function of archival services in Asia. Notable among exhibition programmes are the 'Memorials' established and administered by the National Archives of Malaysia. These permanent exhibitions. which commemorate persons and events of enduring historical. cultural or aesthetic significance. attract over 1 million visitors each year. Almost all Asian archives have a regular programme of archival exhibitions and publications. the latter including bulletins. facsimile reprints of historic archives and technical publications. as well as finding ~ aids. Some archives also participate in' radio and television programmes. Users can normally visit archives to consult records from Monday to Saturday; archives are usually closed on Sunday and public holidays. But there are exceptions: the National Archives of Nepal and Pakistan. for example. are open on Sunday. Most countries in Asia now have modern archival legislation. New legislation has been enacted since 1980 in Australia. Bangladesh. China. India. Indonesia. Japan. Macao. Nepal, Pakistan. Singapore. Thailand and Viet Nam. Except in Japan and Thailand. this legislation gives the national archives an active role in records management. records appraisal and' records transfer within the public sector. as also does the legislation of Hong Kong. the Republic of Korea and Malaysia. ,However. most national archives in Asian countries are not concerned with records management in the private sector. Human resources and 'professional training Most Asian archives face a major problem in respect of human resources-an insufficiency of professional and technical staff.

64

ELzcnwmc 1.nqtAlUB8 Il'f 21- CarrtJIlT

The need for archival training courses at all levels is increasing in Asia, but it is not matched by the availability of places at archival schools. Staff can attend courses of archival education and training conducted by universities, colleges or institutes in only a few countries for example, Australia, China, India, Indonesia and Malaysia. Other countries ha~e to send staff abroad, mainly to Australia, Europe and North America, to acquire such training. Since in most Asian countries there are no archival professional training courses at the interm~diate or higher levels, major archival institutions conduct local basic training as the principal way of preparing their new employees for archival responsibilities. Some of these basic training courses accept trainees from other archival institutions within the country and staff engaged in managing current records Within government agencies. Australia, China, Japan, New Zealand and the Republic of Korea have national professional archival associations: the Australian Society of Archivists Inc. (ASA), the Chinese Archives Society, the Japan Society of Archive Institutions, the Archives and Records Association of New Zealand and the Korean Archives Conservation Association (KACA); but in general Asian countries do not have such national professional associations. However, most national archives are members of international a:ssociations. In particular, almost all are members of ICA and simultaneously belong to the appropriate ICA regional branch Most of the Asian archives do not have a designated budget allocation within the general budget of the governmental authority under which they are placed. However, the National Archives of Macao, Pakistan, the Republic of Korea and Singapore assume that they receive, respectively, 15%, 16%, 0.01% and 5.6% of the total budget allocated to their parent body_ Generally speaking, archives have been involved in great changes with the use of modern information technology to automate archives management, especially through the

66

application of computers for tne arrangement and descrtption of records. The result is faster and more accurate arrangement and descrtption. as well as more eff~cient information retrteval. The use of computers in Asian archives is not widely developed. but the employment of word-processing or database systems to produce finding aids or to undertake other aspects of the management of archival material is now to be found in Australia. China. IndoneSia. Japan. Macao. Malaysia, the Republic of Korea. Singapore and Viet Nam. An Asian computer network for exchanging archival information does not yet exist. However. archives can be linked to the Internet. where. for example. information about Australian Archives is already available. Archives in Asia play an important role as an indispensable instrument for the history of both the whole continent and the individual nations. Consequently they must offer well-organized and structured services in order to give easier access to citizens and researchers. Until recently most archives in Asia were very isolated and unprtvileged institutions. They have been gradually developed and provided with increased resources. as a result of the growing awareness of the important role they play in society. Yet the present situation is far from ideal. The scarcity of economic resources and the lack of proper archival poliCies are the main problems. The situation of archives in Asia. assume that all countrtes have archives at the national level, together with archival legislation which define~ and establishes general poliCies and standards for the preservation of the national archival herttage. Many archives use microfilming technology to preserve records and a few have now started to implement and develop computertsed systems to help with the arrangement and description of archival materials. Almost all the archives issue archival publications and are members of international associations. However. there are less positive aspects:

Euccnwl'OC

LmIwua Dr 21" CE1'I'l'UIlr

lack of specialised human resources and almost nonexistent professional archival education and training. In the absence of qualified personnel the archives are experiencing difficulties in tackling the problems of records and archives management. Another major problem is the uncertain financial background -often archives institutions have very limited budgets which do not guarantee them adequate resources for the impiementation of a proper archives policy.

Legislation on Archives LegIslation on archives is very important, as it includes the definition of what constitutes an archive and what its scope should be, describes its administrative organisation and the responsibilities of the various bodies and individuals involved, and also lays down the periods during which documents will remain classified. The statutes of most countries in the Arab region have appeared in various publications. This description is based on those sources and the updated results in 1990 by the Arab Regional Branch of the International Council on Archives (lCA). Nevertheless, the following description cannot claim to be exhaustive. It emerges that many Arab states have legislation on archives, but the situation is uneven and varies greatly from one country to another. There are three types of situation can be identified: Countries with satisfactory legislation on archives. Countries with old or outdated legislation. Countries with no legislation on the subject. Only a few states, unfortunately, have acceptable legislation on archives. Algeria, Saudi Arabia, the Sudan, Tunisia.and Yemen belong to this group, but only Algeria, the Sudan and Tunisia have relatively sophisticated archive practices, while the recent appearance of legislation in Saudi Arabia has not yet borne fruit in the form of archive work proper. Algeria and the Sudan have

iJfroJalATlOl'f

AacmvlJfo

fl1

more experience than Tunisia, where the practice of keeping archives was resumed only recently. Algeria and Tunisia have a great deal of legislation, which testifies to a certain level of activity, but also makes it necessary to keep the legislation up to date. Yemen has recently passed modern legislation as part of a pilot scheme for setting up a national archive system, undertaken with the help of the United Nations Development Programme (UNDP) and UNESCO, but archival practice is still in its infancy there. The Arab states where legislation on archives has become old or even outdated are Egypt, Iraq, Lebanon, the Libyan Arab Jamahiriya, Mauritania and the Syrian Arab Republic. In most cases, legislation in these countries is not concerned with the principles of records management but focuses on definitive (or historical) archives. The Arab states which have no archival legislation are Bahrain, Jordan, KUWait, Morocco, Oman, Palestine, Qatar, Somalia and the United Arab Emirates. It should be noted that Bahrain has a text regulating records management and that the United Arab Emirates has a few regulations relating to the conservation of fmancial documents. The number of countries without any real legislation on archives none the less remains high. However, apart from Morocco, they are small countries where the state apparatus is relatively new, and whose institutions until recently amounted to local governments. Furthermore, many of these countries are still monarchies. Morocco is a special case: archives are kept for the King's private administrative offices but little is done in the sphere of public administration. The shortage or absence of legislation on archives is a function of the lack of importance some decision-makers attribute to it. The public conception of archives and their purpose is another factor here. Almost everywhere archives are esteemed only for their heritage value: the role documents play in managing the country's affairs and assisting the decision-making process is forgotten. As

68

Eu!:crR01'lJC

I...maAim:s IN 21 0r C£N11JRT

record-keeping practices are not changing. there is no incentive to draft new legislation. Standardisation is everywhere less developed in the archive sector than in other information sciences. In the Arab States. standardisation Is at best confined to applying known standards. particularly as regards conditions of conservation and building construction. The standard governing the description of documents (ISAD(G)) produced by the leA has just been translated into Arabic and published in 1996 by the National Archives of Tunisia; the Dictionnaire de vocabulaire archivistique was also published in Arabic in 1995. Archival institutions are relatively recent in Arab countries. In 1829. Egypt was the first Arab country to organize its archives. followed by Tunisia in 1874. Many countries took over the archive system established by the colonial power; others set up archive services much later. Some countries. such as Oman and Jordan. still have no real administration for archives. The attachment of an archival institution to a supervisory body can have an enormous influence on the development of the archive sector. The administration of archives obviously depends on the political system of the country (centralized or decentralized). The supervisory body varies from country to country: The President's administrative departments: Algeria. Lebanon and Yemen. The Emir's cabinet: Kuwait and Qatar. The Prime Minister's office: Bahrain. Mauritania. Saudi Arabia. Tunisia and the United Arab Emirates. The ministry of culture and/or heritage: Egypt. Iraq. the Libyan Arab Jamahiriya. Oman and the Syrian Arab Republic. The ministry of education: Morocco. Sudan. Archival institutions under the supervision of a body well placed in the political hierarchy have more facilities at their disposal for the accomplishment of their task.

INFoRMATION

ARcmvmo

69

provided that decision-makers are willing. Many Arab archival institutions are not only attached to ministries of culture with little political authority. but are often dependent on other cultural sectors such as archaeology. The subordination of archive services to other structures often results in the marginalisation of the field. As far as the administrative organisation of archives is concerned. a distinction can be drawn between institutions regarded as departments coming under a ministry (or some other kind of supervision) and those established as autonomous bodies with a legal status and financial autonomy. This latter type of organizational structure usually gives the institution greater freedom of management and makes it better able to plan and carry out its work. There are nine countries in which the national institutions are autonomous bodies: Algeria. Egypt. Iraq. Lebanon. Saudi Arabia. the Sudan. Tunisia. the United Arab Emirates and Yemen. Organization of Arab archives at regional and local levels is embryonic. Except for Algeria and the Sudan. which have set up regional archive services. such organization is non-existent in Arab countries. The same is true of municipal archives, which exist in only a few large Arab towns. Purpose-built premises for archives are important tools for any national policy in this field. This type of building is still rare in Arab countries. Only Algeria. Bahrain. Tunisia and the United Arab Emirates have purpose-built premises for their national archives. There are few such bUildings for regional and local archives. The workshops and technical eqUipment needed for archives (restoration, microfilming. disinfection. deacidification, computerization, etc.) are still inadequate. "Furthermore, in Arab countries there are not even any institutions providing training in restoration. Insufficient information is aVailable on the budgets of Arab archival institutions. It is· accepted. however, that many archives have great difficulty in fulfilling their tasks within their

EucTR.oIuc Lonwm:e IN 21- CD'I'UIlI'

budgets. They often suffer from a lack of equipment and resources for adopting new technologies. particularly where they are under the supervision of ministries of culture or social affairs which themselves receive only a small proportion of the state budget. These institutions are entirely dependent on public funds and rarely have resources of their own derived from the sale of services. publications or other products. Very few founda~ons or private bodies provide assistance to archival institutions which. furthermore. do not enjoy the free services of voluntary organizations or individuals. The holdings and collections of archive material in the Arab States share the following characteristics: The volume is comparatively small. Egypt. a country with a population of some 60 million. has only about ten linear kilometres of documents in its National Archives; next come the holdings of the Sudan. the Syrian Arab Republic and Tunisia. which have approximately five kilometres. The oldest documents. with the exception of manuscripts. normally go back no more than four centuries. although there are a few examples of older documents. Various factors may account for this situation (political instability. social structure based on orality. etc.). Collections of audiovisual documents are still limited.

The material and intellectual treatment of archive holdings is generally carried out in the usual way. The number of research tools (inventories, lists, etc.) published in Arab states is still small. Very few have developed reference databases for definitive (historical) archives. Computer applications for archive work are almost non-existent in Arab archival institutions. It must be pointed out that the purpose of all archive work is to make documents available to users.

11DoJtIIA110l'f ARCIDVIl'fG

71

Arab legislation on the subject places more emphasis on the confidentiality of documents than on citizens' right to access them. Thus periods during which documents remain classified are generally longer than the average observed elsewhere. The distinction between a minimum period of 30 years arid further periods of 60, 100 and 120 years is not always accepted and, even where the distinction exists, documents are likely to remain in the original departments when they are no longer of administrative use and to be deposited only after the end of that period. The practice of departments regularly depositing their public records in Arab archives is rarely observed, so it is difficult to find recent holdings that make it possible to study and research the second half of the twentieth century. Moreover, the citizen's right to information is less developed and no Arab 'country has legislation regulating access to administrative records. The average daily number of users in the reading rooms of Arab archival institutions is low: about forty per day in the Sudan and twenty in Egypt and these are the highest figures. The small volume of records kept and the paucity of sophisticated research tools may, in part, be responsible for the low number of users, but sCientific research is also little developed. Consulting records is also far from being a social phenomenon affecting the history of families, individuals or communities; it is the prerogative of students preparing for university degrees and established researchers. The first observation to be made about the staff appointed to Arab archival institutions is the small number of specialists (archivists and keepers) in relation to the volume of documerits and compared with other countries. Similarly, there are few staff speCialised in restoration, microfilming and computers. It is important to note that in Arab countries archiVists have a poor image, which is sometimes that of the civil servant

'12

appointed to a degrading department as a disciplinary measure or because of professional incompetence. Yet professionals are a vital element in raising awareness of the importance of records 'they have a vital role to play in any national policy on the subject. which they must promote and implement. This poor image also explains why there are so few Arab archivists on the international professional scene. In most Arab states. archivists are trained in the same university courses as librarians-there is no specialized institution for such training. Librarianship and documentation work have taken the lion's share of training programmes. Furthermore. such training is available in only eight countries: Algeria. Egypt. Iraq. the Libyan Arab Jamahiriya. Morocco. Saudi Arabia. the Sudan and Tunisia. Among these countries. Algeria. the Libyan Arab Jamahiriya. the Sudan and Tunisia provide fairly sound training for archivists. In 1993. Algeria aild Tunisia set up a specialized training course for candidates with a Master's degree. The training of senior staff. particularly archive keepers. is still inadequate. despite the fact that the profession requires a high revel of training: in addition to professional and technical skills. the archivist must also have considerable knowledge of law. administrative and political organization. the history of institutions. new technologies. etc. Training for keepers is available only in Morocco. but is not specific to archives. Thus the Arab States continue to rely on keepers trained abroad. Continuing and further training takes place mainly at the national level. There are also a few sessions in computerised information retrieval organised by the Documentation Centre of the League of Arab States (ALDOC). Bilateral co-operation has taken place between Tunisia and Yemen in running continuing training sessions for Yemeni professionals with Tunisian instructors. Some Arab archival institutions also send staff to institutions in Europe and North America to

INFoRMA110N ARcHIVING

73

improve their skills. There are few books on archives in Arabic. Arab professionals have produced little in this field and few international works have been translated into Arabic. In addition, the training of trainers is not rigorously and systematically carried out everywhere, so that universities in Arab countries do not have academic staff specialized in the science of keeping archives as is generally understood. The conception of records that prevails in Arab countries is of a standard type: documents are regarded as records from the time they cease to be useful for the departments of origin. This means that there is no link between the management of records while they are useful to the bodies that have produced them and after this stage. This separation between the two phases of the life-cycle of documents accounts for the marginalization of archival institutions. They are seen as depositories responsible for gathering documents which are valued only as heritage items or as curiosities. The comprehensive view of archives which sees documents as records from the moment they come into being is not widespread in Arab countries. Only Bahrain has a system of records management at the central government level, but there is as yet no organic relationship between' the centre for files and documents that comes under the authority of the Prime Minister's office and the Historical Documents Centre that comes under the Ministry of Justice. There is some know-how about management of public records in a few countries where formerly there was a British colonial presence, notably Egypt and Yemen, but these practices are far from ainounting to a system of records management. Egypt has made an effort in the management of its public records through an administrative reform agency responsible to the Cabinet, and has set up a large computerized system to make legal and other documents available to decisionmakers. But, here again, no link has been established with the National Archives, which come

74

ELBcntoIuc r.-A1UB8 IN 21- CarnJRy

under the Minisby of Culture and remain separate from the process. An interesting experiment in records management conducted in Tunisia deserves mention. A comprehensive approach to records was decided upon in 1988 when one statute and three decrees were adopted concerning records management. The system is applied within the framework .of a national plan for administrative reform and improvement. It involves listing current documents and file::;. determining how long they are to be conserved and the ultimate fate of each type of document and file. and giving them classification numbers to facilitate current use. The aim of the records management programme is obviously to improve the efficiency of government agencies. For some public establishments and businesses the tools have already been prepared and applied. As regards government departments. the plan has just begun and should be completed by the year 2000. Records management in the private sector in Arab states is no better than in the public. The strategic sectors of the economy are still controlled by the state. so the private sector consists essentially of small and medium-sized companies. many of which have become aware of the importance of records management as an aid to the decision-making process and a factor in more rational management. . Records management is not a common practice in the administration of Arab countries; it is not inherent to Arab civilization. Although the Arab world had a highly developed' administrative and documentary tradition in the Middle Ages. the region went through a long period of decadence marked by political instability that lasted until the colonial period. The Ottoman occupation did leave its mark in this field: the Arab countries which have a tradition of keeping records are those where the Ottoman presence was Significant. British influence in the Arab region also had its effect on the management of government records. even if relatively weak (Egypt. Iraq and Yemen). French influence

75

did not lead to the establishment of records management, as there is no such practice in the French civil seIVice. Arab countries archivists share the same professional associations with librarians, and that these associations were established by librarians. No Arab countxy has an archivists' association. probably because archivists are so few in number. The fact that these information speCialists are trained in the same institutions has facilitated their being grouped together. Almost all Arab countries have professional associations. with the exception of some Arab Gulf states. where associations are not always authorised. Professional associations still have little impact. They have some influence on raising public awareness about the value of records, and participate in training. but generally they have no power over national policy concerning records. or even on issues such as standardization. There is an organic link between records and historical studies. The collection and organization of records determines the development of historical studies. It should be noted in thJs respect that records concerning tht. twentieth century are relatively little developed in Arab countries, and the same is true of historical studies of the modern period. Some research on genealogy or local matters is carried out by individuals. especially the elderly, but not much in comparison with that in developed countries. Similarly. histOrical societies have few members compared with developed countries. While there is a fair amount of historical study. most is done by individuals working for university degrees. There are few research groups, particularly of a multidisciplinary kind. Production of historical studies is buoyant in countries with sufficiently large and well-kept archives. notably Algeria. Egypt. Iraq. the Syrian Arab Republic and Tunisia. The use of records in the cultural field can take different forms: exhibitions. publications based on documents for teaching or popularization purposes. source material for producing audiOvisual materials. etc.

78

E1.BcTRomc LmRAluBs I1'f 21ft CmrnJRY

In this respect, it should be noted that in Arab states such documents are more frequently used for political and patriotic than for cultural or SCientific events. In general, only a few social and professional categories, notably the intelligentsia, visit exhibitions. Few catalogues of inventories or archive documents, or books based on archive documents for a general audience or for educational purposes, are published. In contrast, the publication of annotated manuscripts, particularly religious and even scientific manuscripts, is flourishing.

Archives and Multimedia Techniques Multimedia techniques are making slow progress in the Arab States. Their use calls for financial resources and a propitious administrative and human environment. Information retrieval applications are being developed in some countries and a few CD-ROMs relating to heritage have been produced including the CD-ROM on the fragments of the Sanaa Koran produced within the framework of UNESCO's Memory of the World Programme, and the CD-ROM on archaeological sites produced by the Regional Information Technology and Software Engineering Centre (RITSEC) in Egypt. The spread of multimedia in the archives sector, however, encounters the question of the medium's durability; conservation of original documents, because of their probative value, is indispensable. Multimedia at the moment, therefore, is more useful for distribution than for conservation. Many Arab states are in dispute with their former colonial powers-France, the United Kingdom and Italy-on the subject of-archive!)... The archives transferred to these latter countries concern mainly the nineteenth and twentieth centuries and are of a diplomatic nature, but some deal with the managemenJ: of the country. As there is no international convention on the subject, each country has tried to resolve the issue in its own way. Algeria seems to be determined to obtain the originals, while other countries, countries, such as

IRFoRIIA'I10K ARCBIVIKG

71

Lebanon and Tunisia, have used microfilm. It should be noted that the former colonial powers have given insufficient aid for the funding of microfilming operations. As far as records predating the colonial period are concerned, Turkey inherited the records of the Ottoman Empire, which included most of the Arab States for a considerable period (from the sixteenth to the nineteenth centuries). Some Arab countries have been able to microfilm the documents that interest them, but this operation is still subject to two constraints: the Turkish National Archives processes Ottoman documents slowly, so many are as yet unavailable; and the Arab countries need to train specialists in Osmanli (which .differs from modern Turkish) so as to be able to use the documents. Many Arab governments take no interest in contemporaxy records, which are therefore in danger of accumulating in poor conservation conditions and deteriorating. Tunisia, followed by Algeria, however, has undertaken a broad programme to improve this situation. It should also be mentioned that the concept of the citizen's right to information is not shared by all Arab states. In practice, the confidentiality of government documents is often excessive, so it is rare to find in the Arab States studies dealing with recent history-issues, in other words, that are still fresh and may arouse public interest or even passion. The archi",al situation in Africa is as varied as the multiplicity of nations that make up the huge continent. In as much as the more than fifty countries that comprise Africa vary in size from a geographical coverage of less than 1,000 square· kilometres to 2.5 million square kilometres, populations of less than 100,000 to over 96 million, Gross Domestic Products (GOP) ranging from US$27S million to over US$110 billion and per capita incomes of US$60 to US$6,OOO, so too does the archival situation vary enormously.

78

ELzcrRomc IDRAJUES Il'f 21- C..maY

At one end of the spectrum are nations that have only the most rudimentary of archival infrastructures and where even the most basic of archival services are absent: at the other end are countries which have established advanced archival services and whose facilities and infrastructures compare favourably with other nations in the developed world. While some countries in North Africa have archival institutions that date back several centuries. most subSaharan countries established national archives only after the Second World War. Benin. Burkina Faso. Namibia. Senegal. South Africa and Zimbabwe are among the few exceptions in sub-Saharan Africa that established national archives before 1950. Most countries have promulgated national archives or public archives acts which provide the legal framework under which national archives institutions operate and which control and preserve the archival heritage. The very few that as yet have no archives legislation. such as Uganda and Ethiopia. have draft legislation which is in the process of being formalized. The legislative instruments in general give the natienal archives the authority to deal with the records and archives of public entities such as central government. local government and parastatals. The degree of authority and control differs from country to country. ranging from giving advice to the right to inspect records and issue instructions for their proper management and handling. In most of the legislation. the destruction of public records is forbidden Without the consent of the national archives. Some of the legislation also defines the role of the national archives in relation to private records and historical manuscripts. and in certain cases controls have been introduced through the national archives to guard against the export of private archival collections deemed to be of national importance. Some of the legislation makes the distinction between public records and public archives. the latter comprising

JIonroIUlA.TlON ARCHIVING

79

those public records that have been appraised and found to have a historical and enduring value and which must be preserved in perpetuity. In a number of countries the national archives also administer the legal deposit or printed publications acts which require the deposit of copies of all publications produced in the country. This in effect creates within the national archives the national reference library. The ministerial placement of national archives is varied. but the vast majority of the national archives are in the ministries of home affairs. education/ sports/art and culture. and the president's office. In a few countries advisory boards or_committees have been created to assist the national archives. The standards applied in the acquisition. processing. preservation. conservation and usage of records and archiVes in general are those that have been developed by the International Council on Archives (lCA). In West Africa. standards from the Association Francaise de Normalisation (AFNOR) and the International Standard Organisation (ISO) have been adopted. There are also standards which have been developed by other organisations such as the Internaticnal Records Management Council (IRMC). the Association of Records Managers and Administrators (ARMA) based in the United States. the Records Management Society of Great Britain. and other specialist organizations. Standards also tend to be influenced by the practices of the former colonial powers. because most of the national archival institutions are based on the records of the former metropolitan entities and are reflective of the latter's administrative structures and systems. The type of training received by the records managers and archivists. and the institutions giving the training. also have a bearing on the standards used. Almost all countries in Mrica have national archives or public records offices. The national archival institutions play the key "role in the organisation. management and preservation of records and archives at the national level. Their mandate tends to be

80

EI.EcrRoluc LuawuI:s IIf 21- CamJR'I'

allembracing because of the absence of similar facUities at the local government and parastatal levels and in the private sector, as is the case in other regions of the world such as Europe and North America. In a few countries there are municipal and local government archives, but these are the exception. In quite a number of countries the national archives have established regional offices but the functionality of these in the majority of cases is rather weak. Privatesector archives exist in some countries but these tend to be limited to large multinational corporations. In a number of countries private commercial records centres have' been established. Architecture plays an essential role in the preservation and conservation of the archival heritage. The national archives in most countries occupy either purpose-built or converted buildings. But many archival institutions are housed in buildings which are inadequate. In some cases, such as Cape Verde, Ethiopia, Guinea, Lesotho and Uganda, the archives are temporarily housed in such places as the university library, the basement of a former colonial secretariat building or the national library. Few countries, however, have adequate space for the storage of the archives and most, even those in purposebuilt repositories, are facing severe space shortages in buildings that were filled long ago. Many of the institutions are unable to receive new accessions because there is no storage space. There are also problems concerning airconditioning. Although most of the purpose built repositories originally included airconditioning systems, these systems in several cases have broken down or become non-functional for one reason or another. This has oreated serious difficulties, as often such buildings do not allow for adequate natural ventilation and the archival holdings are therefore at risk. The size of holdings of conventional archives varies enormously from country to country. At the lower end there are countries such as Rwanda, whose archive holdings are less than 500 metres, while at the other end

81

of the spectrum countries such as Mozambique have as much as 25,000 metres. The archival holdings in most countries in subSaharan Africa are based on the former colonial administrations and there are many cases where the archives are only as old as the beginnings of the colonial occupation. National archives also often have historical manuscript collections or private archives comprising the records of non-governmental organizations and institutions as well as individuals. These archives can be varied and diverse: diaries and collections of eminent and scholarly individuals. archives of churches. educational institutions and sporting organizations. and business archives recording offiCial transactions such as policies, procedures and meetings. Archival collections are also held by various other institutions and individuals: religious organizations, universities, libraries and some large corporations can contain sizeable archival holdings. In Ethiopia, for instance, the National Library and the Institute of Ethiopian Studies at the University of Addis Ababa have rich collections of historical manuscripts dating back some five centuries. The staffing levels vary considerably from country to country. In some of the large countries the levels are sizeable, with Kenya and South Africa at the beginning of 1996 having staff complements of 226 and 229 respectively, while Nigeria in 1989 staff of nearly 600. The majority of institutions have between 10 and 100 staff. The ratio between paraprofessional and professional staff for nineteen countries between 1991 and 1996 was 91 paraprofessionals for every nine professional staff. The national archives face various problems in retaining trained and qualified staff, and the attrition rate is high. In 1987, for example, the National Archives of Mali and Guinea were to be handicapped by insuffiCient human resources. The high staff turnover is attributed to a number of factors including low salaries, low grading, lack of attractive career structures and the lure of the

Eu:cr.RoNlC

LmR.uuES IN 21" CENTllRY

private sector. Government registry staff constitute the bulk of the records management staff in all countries. The registry staff. however. are not well trained and of low calibre. The morale of registry staff is quite low in most countries and they operate without recognition and some of the basic necessities. The low status of registries and registry staff also leaves them exposed to senior officers who openly flout and violate established procedures for handling records. There is an urgent need to upgrade the status of registries and to train and motivate the staff.

Technical Facilities Most national archives in Africa have reprographic and conservation units or laboratorie,s. These reprographic facilities consist mainly of microfilming equipment but there is also other- document-reproduction equipment such as photocopiers and duplicators. Microfilming is used primarily for acquiring copies of documents whose originals cannot be obtained. for preservation purposes when documents ate in a fragile condition or are constituted of materials which deteriorate rapidly. such as newspapers. and for the production of multiple copies of documents. as in the case of the records of the former Federation of Rhodesia and Nyasaland. which were microfilmed to provide copies to each of the three successor countries: Malawi. Zambia and Zimbabwe. Document conservation unit have been created to repair and rehabilitate archival materials from depOSitors that are received in a deteriorated condition. The main method of repair and restoration utilised is lamination. although ;l limited amount of encapsulation is done in some countries. Most of the countries with conservation units have lamination machines and only in a few countries is the hand method used. Countries such as Ethiopia and the United Republic of Tanzania do not have conservation units. The need for conservation in a continent with such a harsh climatic environment is self-

1DoarA110l'f ARCHIVJ1'fG

evident. Unfortunately. in the government ministries and departments of a number of countries in Africa. the condition in which records are being maintained is a cause for great concern. There are numerous detailing situations in which records were exposed to excessive heat. humidity. mould. light. air pollution. insects and rodents. Records have often been dumped in storerooms and sheds where the roofs leaked. the windows were broken and doors were only partially effective. This grave situation has given rise in the last ten years to international rescue missions which have been used to· salvage the situation and avoid total disaster. Such missions have been launched in the Gambia. Uganda and the United Republic of Tanzania. For those countries that do have reprographic and conservation facilities. there are often insurmountable difficulties in maintaining equipment and acquiring adequate and appropriate supplies of chemicals and other materials. There are many equipment that has broken down ... nd remained unrepaired because of shortage of spare parts. as well as probJems related to the antiquated nature ~i some of the equipment which was purchased in the 1960s and 1970s. The _budget allocations for national archives do not compare favourably with other government ministries and departments. Of the national archives in twelve countries on their 1995/96 budgets. five felt that their budget allocations were fair while the other seven felt that they were unsatisfactoxy. The budgets ranged from a mere US$4.000 per annum in the case of Malawi to over US$3 million for South Africa. For half of these countries. their budgets in the last five years had increased marginally by up to 10%; the other half felt that while staff salaries had been increased to cope with rises in the cost of living. in real terms budget allocations had declined by up to 5%. In general. national archives and archival activities do not receive priority in the allocation of scarce national resources. In many countries the larger part of the budget is consumed by staff salaries. leaving vexy little

84

Eu!:cntmnc LmRARu:s IN 21111' CEl'mJRY

for recurrent expenditure. There are national archives which fail to purchase records storage boxes and are therefore not able to collect records from ministries. There are also cases where the funds are insufficient even to allow for transportation to collect the records. In some countries virtually all equipment in the national archives has been received as donations. There is a severe crisis facing some Mrican countries in terms of the management of public-sector records. The crisis is almost continent-wide, although a few countries are the exception and have records management systems that are operating very well. The reason. why the registries are not operating well is that the national archives in most countries are hardly involved in the management of current public records. With a few exceptions such as Botswana, Kenya, Namibia, South Mrica and Zimbabwe, the national archival institutions only concern themselves With semicurrent and non-current records due for transfer to the national archives. And yet by that time, irreparable damage will have been caused to the records. Many countries have established records centres for semicurrent records, but in a good number of the cases the records centres have been completely full for maJ'Y years, making it difficult for new accessions to be received. As a result the records remain in the ministries and departments. The crisis that faces many countries in terms of records management was aptly captured in one consultant's described file index systems that were rudimentary or nonexistent. In several registries records were strewn allover the floors and under shelves; file covers were often tern and crumpled, frequently with large numbers of pages missing; heaps of dirty, tattered and misfiled records could be found in corners and on tops of cupboards; there was a lack of discipline among staff who seemed to be driven more by tradition than by need; and office equipment was in short supply, the few filing cabinets available being rusty and damaged. This is

INFoRMATION ARCBlVIl'fG

85

by no means the scenario in all African countries, and indeed many have well-organized registries, but all the same such situations are a cause for concern. Only in a few countries do national archives carry out regular Visits to ministries and departments. While standing instructions for the disposal of time-expired records exist in many countries, these are often outdated and cover only a small proportion of the records produced by the ministries and departments. There are cases where time-expired records are not disposed of because of lack of capacity in the national archives. In most countries public records become archives and accessible to the public after thirty years. Some countries of huge backlogs in the appraisal of records and the processing of archives, thereby delaying the availability of the archives to the public. There are often finding aids to the collections, and in some cases guides have been published. Unfortunately, in many countries these have not been updated for many years and some predate the attainment of national independence. Many of the archival institutions have search room facilities for researchers and the public. Some of these rooms have facilities for viewing stored cine films and microfilms, but in certain cases these collections are inaccessible because microfilm readers and projection equipment have broken down or become unserviceable. Both static and mobile exhibitions are occasionally mounted by some institutions while a few have educational programmes. Increasingly African governments realise that there is a close linkage between records, archives and effiCient governance. This realization comes in the wake of the economic and political reform programmes that have taken place and the experiences that have been undergone. In a number of countries, such as the Gambia and Uganda, regiStry reform has been tied to the economic reform programme and supported actively. Attention is also being paid to voter registries in the

88 .

Eutc1RoIoc I ..... A1UB8 Df 21- CI:ImJRy

realization that unless these are refonned there can be no true democracy. Mrica is undergoing fundamental changes in the private sector. These changes are a result of the economic transformation taking p'ace and the liberalization of the economies. The demise of rigid import and foreign exchange controls and ·the privatization of many public institutions have Immensely strengthened private sector activity. The most profound effect of the liberalization of the economies has been the influx of infonnation technology into Mrica. Whereas in the pre.. 1990 period there was only a· handful of computers and other telecommunication equipment, today African markets are awash with such equipment and the private sector has been at the forefront of acquiring this technology, much - more so than the public sector. An increasing number are acquiring fax and e-mail facilities and a few have become linked to the Internet. Traditional records management, however, has not been a strong point in the private sector. Businesses remain characterized by decentralized and unorganized records management systems based on the operational units and individual offices. Very few in the private sector have received records management training other than the cursory treatment that it receives in secretarial and office management training courses. The standards of records management in the majority of businesses is therefore very low and no real attempt has been made to mobilize resources and effect improvement. The notable exceptions are the large multinational corporations, which often have elaborate records management procedures developed at their head offices. They also often have established in-house records centres and archives facilities. The availability of unemployed archiVists has contributed to the development of archives in banks and large firms in countries like Senegal. In a few countries, such as Zimbabwe and South Mrica, commercial records

f!I1

centres have also been established. In some countries consulting firms are providing services in records and information management. Although increasing numbers of private firms are manufacturing and distributing records management materials, supplies and equipment, a large technology gap remains in comparison with the developed world. South Mrica is probably the main exception in this regard. The privatization of public enterprises has also endangered the welfare of large quantities of records. Even when the national archives could cater for the archival collections of former public enterprises such as parastatals, very few of these enterprises made use of this facility or had any relations with the national archives. When privatizing, little attention has been paid to the fate of the records which in the first instance were public records and archives but now belong to a private entity. The national archives have in any case, by and large, lacked the capacity to inteIVene in order to ensure that the records are adequately catered for. ICA is by far the most prominent professional archival association in Mrica. It has established a network of regional 'branches: the West Mrican Regional Branch of the International Council on Archives (WARBICA); the Central Mrican Regional Branch of the International Council on Archives (CENARBICA); and the East and Southern Mrican Regional Branch of the International Council on Archives (ESARBICA). The ICA branches, some of which are very active, allow archivists from Mrican countries to meet and exchange ideas as well as to foster archival development. Some of the branches hold biennial conferences which are well attended and are often preceded by intensive workshops on topical themes. The chairpersons of the regional branches are ex offiCiO members of the ICA Executive Board, thereby facilitating an important linkage on 'the international front. Through the branches ICA is able to fund certain activities within the context of its medium-term plans, and the member countries of the

88

branches obtain access to funding through the Commission on Archival Development (CAD). ICA provides subventions for publication of the journals of the regional branches. Affiliation to ICA also enables Mrican countries to access funding through various international agencies. Many national archives are also affiliated to such international organiZations as the International Association of Sound Archives (IASA) and the International Federation of Library AsSOCiations and Institutions (IFLA). There are other international professional associations in Mrica. Archivists from countries in the Commonwealth, for instance, have generally affiliated with the Association of Commonwealth Archivists and Records Managers (ACARM). Some countries such as Benin, Ghana, Mali and Senegal have establi .• hed national associations of records managers and archivists, but many others find that the number of archivists and records managers is too small for the establishment of viable associations. Africa lacks· adequate training facilities for professional and technical staff. Attempts made i~ the early 1970s to establish regional training schools were only partially successful. While the school at Dakar, Senegal, for French-speaking Mrica seems to have fared better with its two degrees (technical and professional), the school for English-speaking Africa in Ghana has now become no more than a national centre. A number of countries have as a result established their own educational facilities at the national level. Countries such as Botswana and Kenya have graduate schools in archives and information science. Training facilities have been established also at the paraprofessional level, but technical training facilities in conservation and reprography are virtually unavailable. In the absence of such faCilities, it is not surprising that most archives staff have to be educated or trained overseas. For English-speaking Mrica, this has mostly been done by University College London (United Kingdom) which runs a Master's programme. France has provided

INFoRIIAT.lOl'l' ARCBIVIl'I'G

89

much of the training for French-speaking Africa, and Germany and Portugal have provided training for their former colonies. india has also done a lot of training, especially in conservation. A number of countries, such as South Africa, run their own national programmes within the national archives or through longdistance training, as in the case of the South African Higher Diploma in Archives Studies run by Technikon SA. Other countries with their own training programmes include Senegal and Mauritius. Continuing training in Africa is provided at the national, regional and international levels through workshops and seminars that are organized from time to time. ICA congresses usually include precongress seminars which are attended by young archivists, including those from the regional branches. Workshops and seminars are also organized through a variety of initiatives and organizations and through the ICA Medium-Term Plans. The ICA regional branches also often precede their own conferences with workshops and seminars. Increasingly, African countries are tumiIig to each other for training support and arranging for staff attachments in institutions which have achieved excellence in some of their operations. The emphasis is shifting in archival training for African professional and technical staff. The curriculum being developed within Africa is beginning to put more and more emphasis on the management of current and semi-current records and on automation. While traditional archives principles and practices are still being faught, some elements which are less relevant to the African continent, such as palaeography and sigillography, are now being. dropped. The historical bias and orientation is also becoming less pronounced in accordance wIth a changing professional perception of the role of archivists and the demands of information technology that are requiring a different breed of archivist.

90

Eu!:cTRomc lmRARms IN 21- CENTURY

Importance of Archives Archives are recognized as the primary instrument through which a nation's historical heritage is preserved. African nations by and large recognize the importance of archives in the preservation of the nation's history, and African scholars make extensive use of archival sources. A large part of the written archival sources, however, relate to the period after colonization of the continent, and this has forced African nations to mount programmes for the collection and preservation of oral historical sources which narrate and chronicle the lives of the indigenous people. Many countries have developed active programmes for oral history and oral tradition. Some are based at universities and special institutions while others are run by national archives. The latter has resulted in soulsearching by some African archivists, who feel that national archives should not dissipate scarce resources by indulging in activities for which they are neither well equipped nor trained. The Kenya National Archives, which had an active programme for recording oral history and oral traditions before 1982, has discontinued this activity. Other institutions, however, such as the National Archives of Zimbabwe, continue to run active recording programmes. The placement of many African national archives under ministries with responsibility for culture has of necessity created close ties between archives and culture. Archives in Africa have long been viewed as a cultural heritage. The national archival institutions have also perpetuated this linkage and many of them continue to carry within their collections items depicting the cultural heritage. There are many instances where there has been conflict with museums who do not view favourably the retention by national archives of museum artefacts. Archivists hold the view that these constitute an ·integral component of archives collections bestowed on them. There is an increasing pe~ception, though, that while archives cannot be divorced from the national

91

cultural heritage, nevertheless national archives must pay more attention to information management operations, especially the management of current and non-current records. This view is strongly supported and promulgated by the United Kingdom based International Records Management Trust (IRMT), which has conducted several rescue missions in Africa and has concentrated on overhauling registry systems in those countries. IRMT currently in several countries including the Gambia, Ghana, Uganda and the United Republic of Tanzania. The 'increasing emphaSis on records management has also refocused archival activities on thE! administrative structures of government. Whereas in the past archivists viewed administrative history in relation to those records and archives received and registered, they are now being encouraged to be proactive and to be involved in the current operations of the recordgenerating agencies. The end of the apartheid regime in South Africa in 1994 saw the demise of the last bastion of minority rule in Africa. This event had been preceded by the attainment of independence by Zimbabwe and Namibia. In all cases, the repressive regimes are destroyed large numbers of records prior to the granting of independence, although it is difficult and perhaps impossible to ascertain and quantify the destruction that took place. The records that were already in the national archives remained largely untouched, although some withdrawals took place, especially from records centres. By and large the records in ministries and departments also remained intact, except for the security and defence ministries where, for instance, files of informers were incinerated. Africa has also had its share of single-party regimes in countries which had attained independence from colonial rule several decades ago. The movement for multi-party democracy in the late 1980s and early 1990s swept away some of these regimes. It is not possible at present to ascertain the fate of records after these transitions towards' democracy

92

ELEcTRoNIC

LIBRARms IN 21- CBNTtJRY

because of the limited involvement of the national archives in the management of current records of ministries and governments. Perhaps when records series are eventually transferred to the national archives. the extent of the damage will be ascertained. Impact of information technologies. on archives Archival in~titutions in Mrica continj..le to operate largely in a manual format in spite of the rapid changes taking place in the institutions that they service. Only a handful have automated their processes and many still lack such basic facilities as word processors and fax machines. Government ministries and departments. while still largely uncomputerized. are gradually acquiring new technologies. In particular. many are introducing personalcomputer-based systems. Very few. however. have yet embraced the newer technologies such as optical disks. Estimates early in 1996 of usage of personal computers by government ministries varied from as little as 5% in Kenya to 100% in such countries as South Mrica. while fax facility estimates ranged from zero to 100%. The highest percentage for e-mail was 30% in South Mrica and 10% for the Internet in Mauritius. In many countries government reqUirements for automated data processing are fulfilled by central computing departments which usually have mainframe computers. Little has been done by national archives in Mrica to deal with electronic media and the electronic records being generated by various agencies. In a few cases. such as Namibia. South Mrica and Zimbabwe. special facilities have been put in place. but still the services provided are limited and do not embrace control back to the point of electronic record creation in the agencies. South Mrica began automation in 1974 and today has a database of almost 6 million records. The information technology revolution has provided both an opportunity and a challenge for archives. On the one hand. the availability of such mass storage d~vices as

IlDoRIIA110l'f ARCBIVIl'fG

99

optical disks creates an opportunity for archives, and computerization can enhance the national archives' capacity to process, manipulate and make information accessible. On the other hand, this opportunity has not been grasped, and this failure of archival institutions has been accompanied by a failure generally to cope with the challenges that the multimedia society poses as recordcreating agencies adopt new technologies. Most Mrican archivists feel that it is inevitable that the disciplines of archives, records management and library science, hitherto seen as separate and distinct, will merge. In the first instance, the usage and manipulation of information technology makes it mandatory to acquire a common core of skills. In the second instance, the ability of the new media to store, process and manipulate information in hitherto unimaginable ways means that the distinction that used to exist among the disciplines will eventually become irrelevant. In the Mrican context, information technology is only beiftg used to a limited extent and therefore it will be a while before this convergence becoIlles widespread. In those countries where more progress has been made, however, the reality of convergence will be sooner rather than later. Mrican archivists nevertheless caution against failure to recognize the unique nature of archives or to discard the time-immemorial principles of 'provenance' and 'sanctity of the record group'. The major problems facing archives in Mrica are as much archives-specific as they are reflections of the general malaise aftlicting the continent. Many parts of the continent have been ravaged by wars, droughts and other man-made as well as natural disasters whi~h have inflicted unwld misery and suffering. Against a background of ever-increasing populations and diminishing resources the competing priorities have been many, and archives development has been Sidelined as nations have striven to provide the basic necessities of food and shelter. There is clear evidence that the archival

ELEcTRoNIC

LmJwm:s IN 21- CENl1lRY

development achieved by many countries in the 1960s and 1970s has been negated and reversed in many cases. In some countries the only guides that exist far archives collections are those that were published in the pre-independence period. Infrastructures and ~echnical facilities established in the 1960s and early 1970s have disintegrated in some countries. Government ministries and departments operate without functional registry systems. with untrained and sometimes uncaring staff and without manuals to give gUidance. The overall archival situation is one of severe crisis requiring urgent remedial measures. This must not detract. however. from the achievements of those Mrican nations that have established viable and vibrant archival systems. and which in some respects have pioneered significant breakthrou.ghs in archives development and are at par with similar institutions worldwide. This sharp contrast gives hope to Mrican archives; the need is for ir.iernational support to those nations and institutions which already have achieved excellence and international help to foster development in those less fortunate and facing catastrophe. The capacity for classification-for seeing patterns in practices-is an essential characteristic of archivists. Characterizing the state of archives in the countries of Europe. together with Canada and the United States. requires identifying the faultlines that divide the region as well as the considerable bonds that bind it together. Archives have three universal purposes: to select the records of institutions. the papers of individuals and families and the artifiCial collections of documentary materials that have enduring value; to preserve them; and to make them aVailable for use. Individual nations and archival institutions accomplish these purposes through programmes which vary in emphasis and administration. Identifying the varieties of archival practice in Europe and North America requires assembling ~nd analysing a sizeable quantity of data. Fortunately. in 1993-94 the

IJU'ORllA110N AaCHIVlNG

95

International Council on Archives (lCA) undertook a worldwide archival development. providing the basic data with which to make comparisons. All European archives owe a debt to the Greco-Roman archival tradition. There are. however. several obvious groupings of archives. either by virtue of the legislative structure of the nation or by tradition. . An important division pOinted out in a recent paper by Sarah Tyacke. Chair of the ICA European Board. is the degree of control the national archives asserts over the documentary heritage of the nation. Tyacke pOints ~o three traditions. In one. the national archives asserts its role as protector of all documents of national significance in whatever hands; this is the position of the archives service of France and Italy. for example. A second tradition has the national archives as the custodian of all archives in a system where all archives belonged to the state in the administrative sense as well as the cultural sense. as the state was by and large the only possible originator of archival materials; the (now former) communist states are the obvious examples.

Finally. there are nations in which the national archives is the custodian of only the records of the central government and co-operates with but does not control the records of local government or the independent archives; Sweden. Switzerland. the Untted Kingdom and the United States use this model. These traditional arrangements are shifting. however. as the political arrangements of states change. For states in the European Union. the general agreements on trade in cultural property pledge the member governments to control imports and exports of (among other items) documents belonging to a member nation's cultural heritage. This may tend to move governments toward the first model. because the national archives is the governmental body most likely to have the expertise to determine export controls. The effectiveness of the control programme will depend on the national archives being knowledgeable

98

ELEcraomc I.mJwm!:s Il'f 21ft CBlmJRY

about the totality of archival documents in the custody of public and private institutions and in the hands of private individuals. A second shift is occurring as the highly centralized models of the former governments of the states of Central and Eastern Europe break down. with regional and local governments taking independent control of the archives and a few independent archival institutions emerging. In 1993 the archival census found that in Europe 83% of archival legislation applied to records and archives below the central government level. but only 63% of the national archives as institutions had any authority over public institutions below the central level. A second way to group European archives is by determining whether the national archival system integrates or segregates film. televiSion. oral records and electronic records. The evidence here is primarily from archives at the national level. In 1993. 40% of European national archives were responsible for film; 31 % for television tapes; and 37% for oral recordings. Interestingly. a higher percentage of arehlves holding these media having responsibility for them. The national archives has responsibility for electrOniC records. but 43 per cent of national archives holdings. This is an area where Significant changes should be expected. as governments divest themselves of monopolies in the radio and television industries and as microprocessors render the old central computer facilities vestigial. resulting in electronic records created and (for active records) stored in the creating agenCies. Whether governments will move to establish general archives for commercial and public radiO and television companies Is an active issue in a number of countries. All archives. however. whether in governments. businesses or private organizations. must soon manage electronic records. Turning to national archives per se. an obvious grouping is by parent organization. The 1993. found three main clusters are given below:

IIuoRIIA'l10N ARCHIVING

26% of national archives to the central organ of the state (e.g. president, prime minister. council of ministers); 200Al to home. interior or justice ministries (or their equivalents); and 51 % fall under education and culture ministries.

At the European Summit on Archives in 1996, delegates agreed that the three principal issues for European archivists are the management of electronic records, training for personnel and preservation of the European archival heritage. The management of current and semicurrent records is an issue that generally unites the countries of Europe and North America, particularly in the face of growing challenges posed by electronic records. The 1993, found that 89% of European national archives have an active role in the management of current or semi-current records in ministries. making the pIes sure to provide electronic records gUidance p~cularly intense. . Conversely, most European archives do not operate facilities for storing temporary records" an important is~ue in managing large paper records series. Co~sequently, the critical issue for most European arcllfves is providing guidance to the records creators, in particular in the area of electronic records, not in finding ever larger storage facilities for semi-current records. The elecironic records issue binds EuroPe together. Although the development of the computerized office generally occ¥rred earlier in Western Europe, the computerizatiop of Central and Eastern Europe has occurred at lightning speed, as external donors put computers in parliaments and courts and as businesses .snapped them up for commercial ventures. This means that th~ Intensity of the computer question, particularly \ for the veJY latest systems, is at least as pervasive in Eastern ~Fope as in the West. Essentlal to the management of modern records is trained and constantly retrained staff. In 1993, the

98

ELEcraOl'l1C

LIBRAlm:s IN 21ft CEl'ITORY

average number of professional staff in all European. national archives was 505, but if the huge Russian national archival system is excluded, the average drops to 137. Between 1982 and 1992, the national archives, their professional staffing increased by 24%; again, if Russia is excluded, the staffs actually doubled. Hidden within these figures, however, is the ambiguity of who the national archives as professional staff. Further, there is the question of balance between professional and paraprofessional staffs. Archival education increasingly is challenged to provide the new skills needed to manage archives in the current information age. Two shifts are occurring simultaneously: first, records are created and maintained electronically in the entities that are the sources of archival holdings, requiring archives to move aggressively to protect the archival information in the complex environment of modern management systems; second, archives are themselves introducing and adapting automation to facilitate work in the archive~. Recent graduates from academic archival programmes emphasizing digital, processrelated information are entering European archival institutions and challenging with their enthusiasm the staff already employed there. Effective in-service training programmes ate urgently needed throughout the European archival world in order to ensure that serious divisions of competency do not occur within the professional community. The third major concern identified at the archival summit in spIing 1996 was preservation. There are many aspects to this problem: bUildings, storage equipment and housing, laboratory treatment and reformatting for use. Again, the 1993 some data on the status of preservation programmes in European national archives. Facilities are a central concern of archivists everywhere. The nature of archives is that the holdings are continuously expanding, and space utilization is a constant preoccupation. In 1993, 22% of European archives, occupying central nationaI archival repositories

INFoRMATION

.ARcmvJNo

99

within the last ten years, but several major construction projects are under way or have been completed sjnce then, including facilities in the Czech Republic, Hungary and the Umted States. Only 47% of the national archives in Europe, purpose-built repositories; it seems reasonable to assume that regional and non-governmental archives occupy an even smaller number of purpose-built spaces. European archives also 66% of central repositories with temperature and hUmidity controls, and 49% with microform storage accommodation to international standards. By contrast, state archives in the United States, 92% with purpose-built repositories and 92% with climate controls. All this suggests that European archives have major problems of adaptive re-use of older buildings, and consequently must struggle to maintain adequate preselVation conditions for the materials stored within them. A related issue is how full the repositories are. In Europe, 86% of repositories are more than threequarters full, and 18% are completely filled. This is even more significant because the capacity for national archives in Europe increased by 58% in the period 1982-92. The average European national archives had 93,000 square metres of holdings in 1993. The statistics on transfers into archives are difficult to analyse, but the average national archival system took in nearly 6,000 linear metres in 1Y92. This figure probably includes some transfers into regional and other archives in centralized archival systems, not just into the national repository in the nation's capital. None the less, the national archives are disturbingly full. And if national governments find it difficult to provide adequate space for everexpanding archival holdings, it seems unlikely that the nongovernmental archives are faring any better. Only 13% of European national archives, reprographic laboratories, and the number of staff employed in them decreased by 7% overall. It is unclear whether the decline in reprographic staff in West European archives reflects a trend towards contracting out for reprographic services,

100

EulcTBmnc 1.mPUUB8 IN 21" CDmJKY

using a different refonnatting technique, or not currently duplicating holdings, awaiting further developments in electronic scanning or hoping that mass de-acidification will be cost-effective. making reprography unnecessruy. In any event. the apparent lack of reformatting capacities in most European archives suggests that original records are made available to users, even those records that are extremely popular, setting up a future need for expensive conservation treatments. Preserving electronic records requires both physical facilities and the management of the physical and lOgical structures of the item. The technical facilities available in archives to handle electronic records are not as yet widespread. 'The techniques for preserving electronic records have evolved with the changes in the information industry; the preservation of flat files is well understood, the preservation of relational databases is fast becoming a standard practice and the preservation of electronic mail is rapidly emerging as a basic technique. The fast advances in imaging technology are currently causing very serious problems for European archives, both because their popularity means that more and more images are created, and because the hardware and software dependency of imaging systems is extremely high and the rate of innovation extremely fast, leaving orphaned systems littering the way. Add to this the developments in the television industry, linking sound, image and text, and the problems mount. At present the only means of preservation is duplication to a current system, assuming that the system on which the image was generated is still operating. And yet it is essential that archives grapple with these issues. for in the long tenn this is the way records will be created, maintained, and used. The purpose of an archives is both preservation and use. One of the most significant developments for archives aIound the world has been the adoption of international standards for archival deSCription, based on

INFoRMATION ARCHIVING

101

traditional archival practices but adapted for using computers to describe' the holdings. This is· particularly important. because European archivists estimated in 1993 that only about 50% of their holdings were adequately described but 83% were using computers to descnbe holdings. There is considerable variation between Eastern and Central Europe on the one hand. and the rest of Europe on the other; in the former 55%. of the institutions use computers for description while in the latter the figure is 91 %. As computers are rapidly introduced. adopting a standard format that can be shared electronically through the Internet will revolutionize archival use. No longer will users be tied to opening hours or transcontinental mail delivenes for service; neither will they have to consider wide variations in national descriptive practice. The day is approaching when the information about holdings can be searched in compatible versions worldwide. The use of archives is increasing everywhere in Europe. but with particular ferocity in Central and Eastern Europe. As holdings long unaVailable are now released for use. scholars and genealogists (to name only two user groups) are streaming into research rooms. The 1993 figures. based as they are on 1992 data. capture only the beginning of this wave. In 1992. the number of visits to reading rooms in national archives in Europe was 139% of the number in 1982. The average was just over 13.000 'official' researchers and 22.000 'other' researchers per year. The average number of seats in reading rooms in Central and Eastern European national archives was ninety-one. and the rest of Europe averaged 173. It is difficult to compare this workload with the staffing. but in conversations with Central and East European archivists. they unanimously say that the combmation of handling a wave of genealogists and of absorbing the documents of the Communist party and the wave of academic and other researchers interested in them has

102

EtEcramnc LmiwuEs JK 21ft CENTtJRY

strained staffs nearly to breaking-pOint. Add to this the problems of low salaries in Central and Eastern European archives and sometimes the outright failure to pay staff, the lack of supplies and equipment, and the rapidly changing legal situation in these countries with implications for access to records, and it is nearly incredible that reference service managed to continue. One of the phenomena uncovered by the 1993 census was the huge increase in the number of visitors to exhibitions at national archives. The. average number of visits to a national archives exhibition in Europe was nearly 165,000, ·more than twice that in 1982. This reflects a growing awareness among archivists that the general public has both an interest in archival documents and a claim upon the attention of archivists outside the traditional research context. The adequacy of archival legislation is a matter of concern to archivists everywhere, but it has a special resonance in Eastern and Central Europe. As governments sought to transform themselves, they wrote constitutions or re-established former constitutions, often in great haste. These instruments of government were barely adopted when they began to be interpreted by specially established constitutional courts, often in a flood of decisions without precedent. Archives from Estonia to the Republic of Moldova faced new archival legislation; in addition, legislatures proposed other laws that had a vital impact on archival practices. In 1993, 63% of archives in Europe were operating under legislation passed or revised in the preceding ten years. While avoidance of obsolescence is all to the good, this means that the archivists must learn to interpret these laws, develop a body of practice that accords with them, and consider what further revisions are necessary. This is not easy at any time, and in the turbulent politics of the 1990s this creates a substantial problem for all European archives. Any European archives in the 1990s must include a discussion of the unfortunate effects of war upon the

INFORllA1l0N ARCHIVING

lOS

archives of the region. Outright destruction, damage, removal to another nation, division as national boundaries change: the archives of Europe are indelibly marked by the violent wars of the twentieth century. Archivists unite in mourning the actual destruction of documents, but the problems of restitution and division have separated as much as they have united archivists. The break-up of the . Ottoman and Habsburg Empires, and the fragmentation of the Soviet Union and the Yugoslavia of TIto, to name only a few examples in this century, caused documents of signal importance to one people to be lodged in the archives of another. Two separate but related problems exist. A central power may have taken documents from a subordinate political entity to the central archives for safekeeping; the manuscripts of an important poet, for example, might have been taken to an archives at the capital, which means the poet's legacy is now in a separate country from the one in which he wrote and in which he is revered as a national literary figure. Documents about the administration of the subordinate unit are always found in the central government archives; some of these are routine, but others-such as mineral resources-may Ibe vital for the economic future of the formerly subordinate, now independent, nation. While duplication and shared standard description can alleviate the matter of exclusive control over the information, the frequent national devotion to the physical possession of the documents makes some of these cases particularly difficult to resolve. The massive removals of documents during and in the immediate aftermath of the Second World War continue to vex governments and archivists. While North America and Western Europe have largely-but not entirely-restituted archives among themselves, for Europe as a whole many bodies of archival material remain in the hands of countries other than the country of origin. The resolution

104

ELECTRONIC

LmRAlm:s IN 21" CENTVRY

of the question depends on the political relations between governments; here cultural property laws and interpretations of the breadth of the national documentary heritage play crucial roles. ICA has addressed this issue directly. through a statement in 1995 on the return of cultural property. Fifty years after the Second World War and nearly a decade after the political revolutions in Central and Eastern Europe. the time has come to unite the European archival community through the restitution of inherently inalienable records. Similar issues are raised by the records of the former colonial powers regarding the administration of their colonies. Again. the use of duplication and standard description can alleviate but not resolve the questions of access to the information and the rights of both parties to con1!ol the documents. The single most positive sign for continued professional growth in Europe is the establishment of a European Board for Archives in 1992 and the adoption of a specifically European programme. Surmounting the old divisions and the potential new ones. European archivists agreed upon a very aggressive. six-point programme: 1.

2.

3. 4.

To co-ordinate a programme of material, legal and technical co-operation with the archival communities of the Russian Federation . and Central and Eastern . Europe. To act as an information point for bilateral and multilateral agreements so as to facilitate the best use of resources. To act as a forum for discussing difficulties which might arise. To encourage access to the cultural heritage of Europe in the archival field by working for the provision of common databases and networks for archives and users through the relevant European organizations.

INFoRMATION ARCBIVING

105

5.

To promote the professional education, training and mobility of European archivists in association with the relevant ICA bodies. 6. To promote the dissemination of archival programmes being considered within the framework of the Council of Europe, the European Union and other European organizations to ensure a wider debate of the issues across the whole of geographical Europe. Within this setting an extensive programme of bilateral aid was developed, and a series of training sessions and colloquia on critical issues such as access were held. The European Summit on Archives, held in March 1996 in Munich, reaffirmed the desire for this continued, cooperative archival enterprise in Europe. The Council of Europe, UNESCO. and the European Commission are major partners for the European Board. At the same meeting, UNESCO gave support to archives through the Memory of the World Programme and the Records and Archives Management Programme (RAMP), and an emphasis on access to archives as a basis for democratic societies. The European Commission has four active programmes: 1. A multidiSCiplinary forum on electronic records, with the objective of developing a set of 'best practices and enhancing co-operation. 2. A publication to exchange archival news in Europe. 3. The development of guides for member 'states on access to archives. 4. The admission of archivists to exchange and training programmes. In addition tC' these three multinational organizations, the Government of Switzerland has developed a generous programme of archival support for former communist countries in Europe. The programme includes sponsoring training dpportunities and distributing archival equipment and publications, with special emphasis on preserving the Historical State Archives in St Petersburg

106

ELBcmol'llC IAlPlUUBS DI

21- CamJay

(Russian Federation). computerizing the Comintern finding aids, and assisting the development of archives in Albania. Four factors have created m~ssive changes in the archives of Europe within the last decade: the end of the Cold War, the rapid technological changes in records creation, the rapid social changes and the emergence of the possibility for unmediated communication in multiples~ The end of the Cold War has made serious professional discussion of issues possible throughout the European archival community. It brought long suppressed replevin i~sues to the forefront, and has made it imperative for archivists to find strategies to deal with records of joint heritages. For the most part, political barriers to professional discussion are gone. Rapid technological changes brought both crises and opportunities to archives. The computer revolution is one example, but the emergence of independent radio and television entities also raises serious questions of how to ensure preservation of that dominant form of communication. Preserving and making accessible these formats are too expensive for most archives to achieve alone, and . international co-operation is required to find satisfactory practices. The rapid social changes that accompany the political and technological shifts also affect archives. The nature of the workforce is changing, with more women assuming managerial roles and the influence of technologically sophisticated archivists growing. The development of archival centres outside direct state control and state funding also brings a new set of social relationships among archives and archivists. And the new social conditions prevailing in Central and Eastern Europe give archivists a felt need to document social change and appear to be bringing a renewed interest in programmes such as oral history and directed photography, creating and not merely selecting records of changing circumstances.

IIDoRIIA'I10N ARCB1V1NG

1m

Finally. the development of the Internet and the World Wide Web is bringing unprecedented changes to the archival enterprise. In describing and making available holdings. archivists have long developed finding aids. printed them and distributed them in person or by mail. Records have most often been used in research rooms; sometimes records are used through photocopies ordered after consultation with an archivist; sometimes records are used on microform o:;:-dered by an archivist and accompanied by some form of description. The general pattern. however. has been of direct communication. one-to-one. between archivist and user. with the archivist able to answer questions. clarify the structure of the holdings and in general mediate the research use. The World Wide Web and the Internet have changed that. The new patt~rI;t is unmediated communi~ation in multiples. Archivists place descriptions on a Web site. and users from allover the world have simultaneous access without intervention of the archivist. Copies of documents placed on the Web site may be used in the order the archivist envisions. or may be used in random sequences over the c(}urse of the research. These four great engines of change are reflected in the work of the European archival profession at large. Ethical and legal issues are now more visible than at any time since the start of the Cold War. resulting in the development of an international Code of Ethics for Archivists. the above-mentioned statement of principles on replevin. the development of a model for archival legislation and a statement on the management of records of former repressive regimes. Bilateral efforts. particularly within the framework of a multilateral body such as ICA or the Council of Europe. have a renewed vigour. But perhaps the most striking feature is the growing importance of professional associations. In North America. professional archival associations have a long. strong history. In both Canada and the United State~ the majority of archives are outside the administrative control of the national archives. and

108

ELBcmolUC

LonwuI!:s IN 21- CBN'nJRY

therefore the professional associations have played a critical role in fostering uniquely important bonds among individual archivists employed in widely divergent institutional settings. Many of these archivists are employed within a library, particularly a university library, and library practice has often influenced the archival tradition in the United States. Standards for archival education, codes of ethics, statements of best practices, publication of the major Journals and newsletters, and a host of other initiatives have come from these societies of professionals organized in their own self-interest, rather than from the central archival institution. In Western Europe, the tradition of professional associations is also strong. The German archival association, the Netherlands association (now well over 100 years old) and the Society of Archivists in the United Kingdom, among others, are influential in shaping archival practice in their countries. In Central and Eastern Europe the pattern is different. A few strong national associations, such as in Poland, do exist, but in most countries the association is weak and in some countries does not yet exist. What are emerging are regional groups, led by national archivists. A first conference for Balkan archivists was held in 1996, with another conference promised in 1997; two conferences of Central and Eastern European archivists have been held in 1995 and 1996, with another planned for 1997. These conferences are opportunities for national archivists to come together and discuss issues; whether they will broaden into organizations of indiVidual professionals will depend not only on politics but on the financial issues of support for organizing meetings, support for attendance and support to maintain an infrastructure between annual events. A further development is the interest in creating opportunities for archivists who share the same practical problems to hold professional discussions. Through ICA, groups have been formed to permit professional

lCl9

interchange among municipal archivists, church archivists, archivists responsible for the recor.ds of parliaments and political parties, and so on. While these are international groups, they are heavily influenced by the participants from UNESCO Europe. As these groups develop professional programmes, they will tend to strengthen the contacts between professionals outside the framework of the national archival systems. European archivists are beginning to have new means of professional development at hand. Co-operative networks, not all dependent upon the intervention of national archives and national governments, are developing. A healthy, vital profession, with no fundamental barriers to professional conversations or to shared competencies, has emerged over the last decade. The archival profession as we know it is largely an invention of the twentieth century. It is now ready for the challenges of the twenty-first. The task of assessing the current situation affectlng archives in Latin America and making valid generalizations about it is certainly not an easy one. Although it is true that many shortcomings in the region's archives still exist and that in some countries there has been scant improvement, in others a sustained process of change has been taking place since the 1980s that allows us to claim a qualitative leap forward in the history of archives. All ki&lds of limitations have traditionally affected Latin American archives: administrative neglect, a lack of definition of their legal and administrative status, organizational weaknesses, inadequate and insufficient buildings and facilities, budget constraints, obsolete technical wO!"king methods, non-professionalized staff, and poor theoretical and methodological development of record-keeping. All of these flaws have been shared by the archives in the region to a greater or lesser extent until quite recently. 'fhese negative features reflect. in turn, the nonexistence of any archive policy.

110

ELEcraomc LIBaAJuEs IN 21- CI!:I'mJRY

This gap stems essentially from the scanty interest shown by public administrations in the archives they themselves produced and from the lack of vision of the public authorities in failing to understand the direct link that exists between proper record-keeping and the efficiency of the public administration itself, so essential for the transition to a modem society. Around that time, countries such as Brazil, Costa Rica, Ecuador, Mexico and Peru, together with Colombia later on, started to lay the foundations of their national archive systems. This trend has since then taken a firm hold and has been backed up by the legislative provisions recently enacted in some of these countries. In Cuba too, in spite of limited resources, a national archive system has been successfully set up and excellent work on preserving the country's documentary heritage has been carried out over recent years. Other countries, such as Argentina, Chile, Paraguay and Venezuela, are currently making efforts on different fronts to improve their archive structures and to link up their archival repositories in a functional nationwide network. In the remaining countries in the region, however, the still predominant and the situation of neglect affecting the national archives may indeed be indicative of the general position of all the other archives in the country. It is true that the governments in some of these countries have brought out various legal provisions over recent years in an attempt to right the situation. Nevertheless, the lack of sufficient backing from the state in putting such provisions into practice has largely distorted their aims. Turning more specifically to archives in Central America, a ray of hope may be glimpsed in a rec.ent event that took place in Costa Rica. The International Seminar on Archive Policies in Central America was held in April 1995 under the auspices of the Costa Rica National Archives, the Association of Latin American Archives (ALA) and the Spanish Ministry of Culture.

INFoRIIA'l10K AaCIIIVIKG

III

One of the factors contributing to the modernization of archives is the existence of modern, updated legislation covering all the different aspects involved in the archive function. The situation of archives in Latin America, prepared in 1987 as part of the work carried out by the Pan-American Institute of Geography and History (PAIGH) and the Association of Latin American Archives (ALA) Joint Group, mentioned the following as some of the shortcomings that existed in many of the countries:

Audiovisual Heritage The audiOvisual heritage is an important element within the cultural heritage and has achieved prominence in the twentieth century, the first to have been recorded on audiovisual fonnats. Audiovisuals are not new but have becor.1e of inCreasing importance as art, entertainment and infonnation carriers. In some ca~es the transmission of sound and visual data has greater value and impact than the prtrtted document - where, for example, there is a literacy or language barrier. AudiovishaIs may also be the only suitable records for the oral or sonic transmission of culture and the arts, news and other current items. The spread and development of modern technologies mean an increase in the role of audiovisual data carriers for comIr'unication, Infonnation and culture. Today's radio and televiSion rely heavily on archive material and it is estimated that more than 60% of radio and televiSion programmes use archival or stock material for programming. The definitions are still being formulated, but audiovisual materials are to be understood as visual recordings (with or without soundtrack) and sound recordings irrespective of their physical base or recording process. The carrier usually requires a playback device. This definition is meant to cover the maximum number of fdnns and fonnats. Audiovisual materials should not be confused with multimedia; the former provide source materictl for the latter, and multimedia as such are not archival material.

112

ELEcraoNlC

LmRARms IN 21" CEN"I1lRY

Two features of audiovisual materials add an extra dimension to the principles of collection and preservation: a proliferation both of formats and of systems of production and playback. These cause incompatibility problems between formats and systems. Archives have to maintain original playback devices and employ technical staff who know how to use and maintain the machinery. The Recommendation for the Safeguarding and Preservation of Moving Images. adopted by the General Conference of UNESCO in 1980. provides a basic orientation for integrating and protecting audiovisual recordings as part of the cultural heritage of each nation. Audiovisual archives are storehouses for a large proportion of the social and cultural heritage of the twentieth century. An audiovisual archive is defined as an organization or department of art organization which is focused on collecting. managing. preserving and providing access to a collection of audiovisual media and the audiovisual heritage. applying archival principles. Such archives contain huge treasures of unique material. Archives of audiovisual materials are relatively new. but they have proliferated in the past few decades. The first sound recordings appeared in 1877 and the first sound archive-the Phonogrammarchiv in Vienna-was established as a research archive in 1899. although it was not followed by others until the 1930s. Film appeared in the 1890s and archives began to be established in the 1930s. Photography had appeared earlier in the nineteenth century. Television was originally recorded on film. but video has been the principal material since the later 1960s. Although audiovisual materials have appeared so recently. time is not on their side and the longctr we delay in gathering. conserving and preserving the materials. the less we shall be able to retain. It is vital that steps are taken now to collect and manage audiovisual materials properly before their fragile nature takes a further toll. Already much has been lost owing to ignorance. lack of awareness of the dangers and careless handling.

INroRIIA'l10N

ARClllVlNo

113

Audiovisual archives vary in type. purpose and function. and until recently most of them were singlematerial archives: moving image (film or television). sound and still-image archives. the latter frequently housed in more conventional archives of print materials. As the technologies converge so do the archives. to unite effort and conserve resources. Some archives take responsibility for all recorded materials. others take smaller bites and combine one or two of the materials. The larger archives cannot always combine materials in one department; the physical techniques required to deal with each material from the point of view of storage. handling and restoration need different expertise and materials are therefore separated by this parameter alone. Other functions of collection management can be applied to all the materials: documentation and information retrieval. and selection. Storage vaults may have to accommodate more than one material and the resulting environmental considerations will be different from those more stringently applied to individual materials. Alternatlvely. an archive may decide that it must apply the optimum storage and environmental values which apply to each material: single-material archives are more fortunate in these cases. Academic archives also house audiovisual materials. many in universities for research. and latterly educational materials for distance learning. These may be small and specialized. or hav.e substantial collections and preservation programmes. Specialized or thematic archives concentrate on a particular format. subjectmatter or locality. or relate to specific cultural groups. Many examples could be cited. including the following: special events or periods in history; regional interests; specific cultural groups; academic and research disciplines; folklife collections; oral history; world music; and specific organizations. Many of these archives have developed within larger organizations. Production archives. Film companies.

114

ELEC'l'Rol'llC bBllQUJ!:81N

21" CENI14tY

broadcasting companies and record companies maintain archives primarily for use and exploitation by the parent company. Many of these preserve and restore their materials for re-use, but the archives' main obligation is to the parent organization rather than to preserving the cultural heritage. This may be left to a national archive, which obtains a selection of the production company's material by deposit. Other institutions with archival responsibility include museums, cinematheques, videotheques and national libraries. Most of these are more concerned with maintaining stock for exhibition purposes, and originals may be deposited for long-term preservation in a national archive. There are also collections of last resort which attempt to conserve copies of material in usable condition, but seldom retain archival originals or masters. Audiovisual materials result from a huge level of investment. Consider the costs of a television channel, or a film production or sound recording company. That the material is allowed to deteriorate through lack of funding for conservation is an unforgivable waste of finanCial resources and human talent. Considering the huge investment in production, the financial resources available for preservation of the material are ludicrously small. Although some archives were established by private means, the ultimate responsibility for the protection and maintenance of a national heritage must lie with the nation itself, and this means government and granting bodies. It is incumbent upon government to ensure that the national heritage is protected for posterity. Archives in organizations such as broadcast associations or film production companies have commercial backing and motivation, and meet costs from their revenue. Once that commercial motive is fulfilled, however, it is generally acknowledged that, as with other records of the national cultural creativity, the cost of maintaining the collection reverts to government and

IxFoRJIATlOl'f

ARcmvmo

115

granting bodies. Many valuable collections have disappeared for ever as a result of production company closures or changes in franchise when materials are not taken over by already overstretched archives. The basic tasks of an audiovisual archive are collection. preservation. documentation and access provision. Methods of collection and acquisition vary. and include the legal or voluntary deposit of collections or individual items. the deposit of in-house productions. donations. special agreements for copying nationally produced materials. and purchase. Other archives collect their own materials in the fonn of oral or video history programmes. with the purpose of recording cultures. languages and music before they disappear. Closely allied to acquisition are evaluation. selection and appraisal. The audiovisual archive acquires materials according to a particular remit. balancing new acquisitions against existing stock and the purpose and function of the archive. Storage space and resources being what they are. archives have to select material for preselVation on the basiS of relevance. uniqueness and quality. \\'lterever possible an archive should be dealing with original materials. but originals are hard to come by. There is strictly only one original fIlm. video or master sound recording. Such originals seldom survive and there are various fonns of tampering with the products - cut/ uncut versions. director's/producer's cut. censoted and unexpurgated versions. Owners of original material may be reluctant to deposit their master material in an archive until they have no further use for it. by which time the technical quality has deteriorated. Three elements in audiovisual documents have to be considered in the selection process: the artefact or carrier. the information content and the aesthetic content. particularly with fIlm and sound recotdings. The artefact or carrier will deSignate the form of the audiOvisual and influence selection for technieal reasons. Audiovisual archives. therefore. do not have a huge selection of material. but most of it has unique value.

116

ELEcrRoluc LonwuBs IN 21" CEN-rvu

and such archives retain more material than many other archives. Some audiovisual collections will include several interpretations of the same work-for example. music recordings--Qr several records of the same event carried in different documents: a film. video or so~nd version. Guidelines for archival selection exist. but they are usually those of organizations with their own parameters. Selection of material is dependent upon the function of the archive. the quality of the material and the uniqueness or rarity of the content. Audiovisual archives should concentrate on recordings of national ongin. To avoid duplication of effort. material should be offered back to the country of original production or to archives with a more relevant collection remit.

CHAPTER 4

DIGITISED INFORMATION PRESERVATION Digital imaging technology offers distinctive advantages to institutions with impressive collections of scholarly resources. Information content can be ,delivered directly to the reader without human intervention. Information content in digital form can be retrieved by readers remotely. although such delivery may tax the capabilities of even the most sophisticated projection equipment and networks. Digital image quality is extraordinaxy and is improving constantly. It is now possible to represent almost any type of traditional research material with such visual quality that reference to the original materials is unnecessaxy for most. if not all. purposes. The power of full-text searching and sophisticated. cross-collection indexing affords readers the opportunity to make new uses of traditional research resources. Newly developed system interfaces combined.with new ways to deliver manageable portions of large image data files promise to revolutionize the ways in which research materials are used for teaching and learning. It is no wonder that there is a nearly overwhelming rush to jump on the digital bandwagon. Pressures from all fronts to digitize traditional research materials carry distinctive risks. The required investment for digital image conversion is tremendous- possibly dollars for each and every page or frame converted.

118

ELECTROl'fIC

I.mRAams

IN

21" CENTURY

Digital imaging technologies require tremendous capital investment for underlying support systems in an environment of flat or marginally increasing budgets. Digital image conversion, in an operational environment, requires a deep and longstanding institutional commitment to traditional preservation, the full integration of the technology into information management procedures and processes, and significant leadership in developing appropriate definitions and standards for digital preservation. The risk of loss is high-far higher than in most other programs and activities carried out in a cultural institution. The nearly constant swirl of product development that fuels our perceptions of change raises the stakes higher still. When a library. archives, historical society, museum. or any other cultural organization with a preservation mandate stops experimenting with digital technology and decides to use it to improve services or transform operations. that institution has embarked down the preservation path. "Digital preservation refers to the various methods of keeping digital materials alive into the future," according to a recent statement from the Council on Library and Information Resources. Digital preservation typically centers on the choice of interim storage media. the life expectancy of a digital imaging system. and the expectation to migrate the digital files to future systems while maintaining both the full functionality and the integrity of the original digital system. Digital imaging technologies create an entirely new form of information from traditional. documents. Digital imaging technology is not simply another reformatting option in the preservation tool kit. Digital imaging involves transforming the vexy concept of format. not simply creating a faithful reproduction of a book. document. photograph, or map on a different medium. The power of digital enhancement, the possibilities for structured indexes. and the mathematics of compression and communication together fundamentally alter the

ll9

concept of preservation in the digital world. These transformations, along with the new possibilities they place on information professionals, force us to transform library and archival services and programs in tum. The essence of traditional preservation management is resource allocation. People, money, and materials must be acquired, organized, and put to work to prevent deterioration or renew the usability of selected groups of materials. Preservation largely is concerned with the evidence embedded in a nearly endless variety of forms and formats. Things are preserved so that they can be used for all kinds of purposes, scholarly and otheIWise. People with the responsibility to do so have determined that some small portion of the vast sea of information, structured as collections of documents, books, collections, and other things, has research value as evidence well beyond the time and way intended by those who created or published it. This distinction between the value of the information content and the value of the evidence embedded in the artifact is at the heart of a decision-making process that is itself central to the effective management of both traditional and digital library materials. In the digital world, preservation is the creation of digital products worth maintaining over time. Preservation is a reality and not merely a metaphor for or symbol of access. The time to be concerned about the long-term perSistence of digital products is when a system is designed and before digital conversion has begun. A digital product has its own identity and exists within a market economy. It is not necessary to sell or license a digital product for the product to have an identity within a community of end-usel·S. The work to design and create a digital product adds value to the information contained in the documents that serve as sources. The value added to a digital product must ultimately result in a product that is an essential and vital capital resource to the institution that has chosen to . create it in the first place.

120

ELECTRONIC

LmRAIm:s

IN

21 ST CENTtJRY

The persistence of digital products requires careful attention to the maintenance of content (the bits and bytes) functionality (how the bits work in a system). Preservation in the digital world is not absolute. but depends instead on the continuing transformative impact of the digital product on the information work of endusers. It is impossible to come to terms with the responsibilities inherent in creating digital products without distinguishing between acquiring digital imaging technologies to solve a particular problem and adopting them as an information management strategy. Acquiring an imaging system to enhance access to library and archives materials is as simple as choosing the combination of off-the-shelf scanners. computers. and monitors that meets immediate functional specifications. Hundreds of cultural organizations already have invested in or are planning to purchase digital image conversion systems and experiment with their capabilities. Innumerable pilot projects have shown how much more challenging it is to digitiZe sc~olarly resources than the modem office correspondence and case files that drove the technology two decades ago. In time. most of these small-scale. pilot projects will fade away qUietly-and the initial investment will be lostas the costs of maintaining these systems become apparent. as vendors go out of business. and as patrons become more accustomed to remote-access image databases and the latest bells and whistles. Administrators who have responsibility for selecting systems for converting materials with long-term value also bear responsibility for preserving their investment in the product. This commitment is a continuing one-decisions about preservation cannot be deferred in the hope that technological solutions will emerge like a medieval knight in shining armor. An appraisal of the present value of a book. a manuscript collection. or a series of photographs in itl!! original format is the necessary point of departure for making a judgment about preservation of the digital

DIomsED INFoRMATION PREsERVATION

121

image version. The mere potential of increased access to a digitized collection does not add value to an underutilized collection. Similarly. the powerful capabilities of a relational index cannot compensate for a collection of documents whose structure. relationships. and intellectual content are poorly understood. Random access is not a magiC potion for effective collection management. The key to a successful conversion project or ongoing program lies in a thorough understanding of the relationships among three concepts. These concepts are (1) the characteristics of the source material being converted. (2) the capabilities of the technology used to accomplish the digital conversion. and (3) the purposes or uses to which the digital end product will be put. It is possible to distinguish among. three distinctive but not mutually exclusive preservation applications of digital technologies. defined in part by the possible purposes that the products may serve for end-users. The most common application of digital technologies in an archive or library is digital copies that can be used for ready reference in lieu of casual browsing through the original sources. Preservation goals are met because physical access to the original documents is limited. Examples include image reference files of photograph. clipping. or vertical files thC!.t permit the identificati~n of individual items requiring closer s.tudy. The original order of the collection. or a book. may be frozen muc!! like microfilm sets images in a linear array. This preservation use of the technology has become a compelling force motivating archives and libraries to experiment with hardware and software capabilities. A digital system could be built that represents the information content of the original sources in such detail that the system can be used to fulfill most, if not all. of the research and learning potential of the original documents.

122

ELECTRONIC LIBRARIES IN

21'" CENTURY

High-resolution systems that strive for comprehensive and complete content and seek to obtain full information capture, based on emerging standards and best practices, fit this definition. Systems of this intermediate level of quality open new avenues of research and use and could have a transformative effect on the service missions of' those who create the products. In a very small but increasing number of applications, digital imaging holds the promise of generating a product that can be used for purposes that are impossible to achieve with the original sources. This category includes imaging that uses special lighting to draw out details obscured by age, use, and environmental damage; imaging that makes use of specialized photographic intermediates; or imaging of such high resolution that the study of artlfactual characteristics is possible. This category also includes digital imaging products that incorporate searchable full text. Additionally, digital products that draw together, organize, and enhance access to widely dispersed research materials may have transcendental impact on the people who use them. Each of these preservation applications places separate but increaSingly rigorous demands on digital technologies. In each case, the use of an intermediate film or paper copy to facilitate the scanning process mayor may not be necessary or advisable. Finally, the disposition of original sourc;:es (including undertaking preservation treatments before or after conversion) is a matt~r quite separate from the deCision to undertake digital conversion. Ultimately, the purpose of digital image products is determined by the uses to which they will be put, while preservation of original source documents must be determined by their specific preservation needs. A major challenge in choosing paths from analog to digital is obtaining an in-depth understanding of the particular characteristics of the collections or the individual items being converted. The most important characteristics are:

DIGlTISZD INFoRMATION PREsERVATION

123

Format of the source (including size of object, its structure, and its physical condition) Physical condition and its impact on the ability of the item to be handled during the conversion process Visual characteristics (including the centrality of text versus illustration) - . Color as an essential carrier of information content Level of detail (including the size and style of typefaces, the type of illustrative content, and the overall range of tonal values). Beyond these specIfic characteristics, the degree of visual and physical similarity among the individual items in a given collection can have a significant impact 0!1 the cost: quality, and complexity of the conversion project. A viable digital product is the measurement of the capabilities of the digital imaging hardware/software system in relation to the source documents and the purposes of the product. Digital conversion systems vary widely ~n capability and cost. Rigorous mechanical and electrical engineering plays a big role in the design and manufacture of specialized conversion teols. Many products are optimized for the conversion of a single type of document. All conversion tools have linitations in terms of the size of source documents they can handle with a given level of digital resolution. The expected uses of the product may drive the chOice of technological applications, but the opposite is not necessarily true. It is important to recognize that standards and best practices that support digital product development should not be driven by the. present limitations of digital image capture, display, and output. Matters such as the limited resolution of today's display screens and projection devices, the limited bandwidth of wide and local area networks, and the limitations of resolution and tone reproduction in printers should not determine the quality thresholds of image system design. The relationships among source

124

ELECTRONIC LmRARIES IN

21aT

CENTURY

characteristics, technology capabilities, and the purposes of the end product bear upon the definitions of quality, cost, and access. In the area of quality, for exampJe, an input source with particular characteristics, the limitations or costs of scanning technology at a given point, and the expected uses of the product interact to set the threshold requirements for image quality. Similarly, the expected purposes of the digital product and the characteristics of the source interact with imaging technology capabilities to determine the cost of creating the product with the intended purpose. The same is true for access, where the intellectual complexity of the source documents and the specification for the ways in which the image product will be used interact with the sophistication of the hardware and software tools for building metadata files and other associated indexes.

Digital Preservation Principles In the past two decades, a consensus has emerged within a community of practitioners about a set of fundamental principles that should govern the management of available resources in a mature preservation program. The principles of preservation in the digital world are the ~ame as those of the analog world, and, in essence, define the priorities for extending the useful life of information resources. These concepts are longevity, choice, quality, integrity, and accessibility. Preservation in the digital world is one of the central leadership issues of our day. It is the shared responsibility of many people in many institutions fulfilling many roles. An understanding of the impact of this role differentiation on digital preservation action is crucial. Role differentiation helps archivists and librarians- acting as digital product developers-know when to control their use of digital technologies, when they need to influence trends, and when they need to relinquish any expectation for either control or influence.

DIGITISJ:D IrnroRIIATION PREsERVATION

125

The central concern in traditional preservation practice is the media upon which information is stoTed. The top priority is extending the life of paper, film, and magnetic tape by stabilizing their structures and limiting the ability of internal and external factors to cause deterioration. The focus on external factors has led to specifications for proper environmental controls, care and handling guidelines, and disaster recovery procedures. Progress on efforts to control or mitigate the internal factors of deterioration has resulted in alkaline paper standards, archival quality microfilm, mass deaCidification, and more rugged magnetic media. And yet, now that archivists and librarians have defined the issues surrounding the life expectancy of storage media, the very concept of permanence that has driven the search for "archival" media is fading as a meaningful intellectual construct for preservation. Preservation in the digital context has little concern for the longevity of optical disks and newc.r, more fragile storage media. The viability of digital image files depends far more on the life expectancy of the access system-a chain only as strong as its weakest component. Today's optical media most likely will far outlast the capability of systems to retrieve and interpret the data stored on them. Since it can never be known for certain when a system cannot be maintained or supported by a vendor, product developers must anticipate that valuable image . data, indexes, and software will be migrated in their professional lifetimes to future generations of the technology. DigiW project managers can exercise a large measure of control over the longevity of digital image data through the careful selection, handling, and storage of rugged, well-tested storage media. They can influence the life expectancy of the information by making sure that local budgetary commitments aTe made conSistently at an appropriate level. Ultimately, they have no control over the evolution of the imaging marketplace, especially

126

ELEcrRONIC

LmRAIuEs

IN

2181' CEl'fnJRY

corporate research and development activities that have a tremendous impact on the life expectancy of the digital systems created today. Preservation adds value through the process of selection. Choice involves defining value. recognizing it in something. and then deciding to address its preservation needs in the way most appropriate to that value. Over decades the act of preservation has evolved from saving material fro:n oblivion and assembling it in secure buildings to more sophisticated assessing of condition and value on already-collected materials. Preservation selection has largely been driven by the need to stretch limited resources in as wise a fashion as possible. resulting in the dictum that "no item shall be preserved twice." The net result is a growing virtual special collection of items preserved with a variety of techniques. most notably by reformatting on microfilm. Selection is perhaps the most difficult of undertakings precisely because it is static and conceived by practitioners as either completely divorced from present use or completely driven by demand. Selection in the digital world is not a choice made once and for all near the end of a.'l item's life cycle. but rather is an ongoing process intimately connected to the active use of the digital files. The value judgments applied when. making a decision to convert documents from paper or film to digital images are valid only within the context of the original system. It is a rare collection of digital files. indeed. that can justify the cost of a comprehensive migration strategy without factoring in the larger intellectual context of related digital files stored elsewhere and their combined uses for teaching and learning. Even while recognizing that selection decisions cannot be made autonomously or in a vacuum. librarians and archivists can choose which books. articles. photographs. film. and other materials are converted from paper or film into digital image form. Influence over the continuing value of digital image files is largely vested in the right to decide when it is time to migrate image data to a future

DIGmsm INFoRIIA110N PREsERVA110N

127

storage and access system and when a digital file has outlived its usefulness to the institution charged with preserving it. What digital product developers cannot control is the impact of their ongoing value judgments on the abilities of readers to find and use information in digital form. Unused digital products might as well not exist; they certainly will not survive for long as mere artifacts of the conversion process. Maximizing the quality of all work performed is such an important maxim in the preservation field that few people state this fundamental principle directly. Instead, the preservation literature dictates high quality outcomes by specifying standards for treatm'!nt options, reformatting processes, and preventive measures. The commitment to quality standards-do it once, do it right-permeates all preservation activity, including library binding standards, archival microfilm creation gUidelines. conservation treatment procedures, the chOice of supplies and materials, and a low tolerance for error. The evolution of preservation microfilming as a central strategy for the bulk of brittle library materials has placed the quality of the medium and the Q1lality of the visual image on an equal plane. In the pursuit of quality microfilm, compromise on visual truth and archival stability is dictated largely by the characteristics of the item chosen for preservation. Quality in the digital world, on the other hand, is conditioned significantly by the limitations of capture and display technology. Digital conversion places less emphasis on obtaining a faithful reproduction of the original in favor of finding the best representation of the original with a given technology. Mechanisms and techniques for judging the quality of digital reproductions are different and more sophisticated than those for assessing microfilm or photocopy reproductions. Additionally, the primary goal of preservation quality is to capture as much intellectual and visual content as is technically possible and then present that content to

128

ELECTRONIC LmRARIES IN 21 0T CENTtlRT

end-users in ways most appropriate to their needs. The image market has subsumed the principle of maximum quality to the "solution" that finds the minimum level of quality acceptable to today's system users. Digital product developers must reclaim image quality as the heart and soul of preservation. This means maximizing the amount of data captured in the digital scanning process, documenting image enhancement techniques, and specifying file compression routines that do not result in the loss of data during telecommunication. The control of digital quality standards is possible now. just as it is for microfilm. However. librarians and archivists can only influence the development of standards for data compression. communication. display. and output. Improvements in the technical capabilities of image conversion hardware and software are in the hands of the imaging industry.

Integrity Concept The concept of integrity has two dimensions in the traditional preservation context -- physical and intellectual-both of which concern the nature of the evidence contained in the document. Physical integrity largely concerns the item as artifact. It plays out most directly in the conservation studio. where skilled bench staff use water-soluble glues. age-old hand-binding techniques. and high quality materials to protect historical evidence of use. past conservation treatments. and intended or unintended changes to the structure of the item. The preservation of intellectual integrity is based upon concern for evidence of a different sort. The authenticity. or truthfulness. of the information content of an item. maintained through documentation of both provenance-the chain of ownership-and treatment. where appropriate. is at the heart of intellectual integrity. Beyond the history of an item is concern for protecting and documenting the relationships among items in a collection. In traditional preservation practice. the concepts of quality and integrity reinforce each other.

DIGITIDED INFoRMA110N PREsERVA110N

129

In the digital world. maintaining the physical integrity of a digital image file has far less to do with the media than with the loss of information when a file is created originally. then compressed mathematically. stored in various formats, and sent across a network. In the domain of intellectual integrity, structural indexes and data descriptions traditionally published with an item as tables of contents or prepared' as discrete finding aids or bibliographic records must be inextricably linked and preserved along with the digital image files themselves. Preserving intellectual integrity also involves authentication procedures. like audit trails. that make sure files are not altered intenti'lnally or accidentally. Ultimately. the digital world fundamentally transforms traditional preservation principles from guaranteeing the physical integrity of the object to specifying the creation of the object whose intellectual integrity is its primary characteristic. . Librarians and archivists can exercise control over the integrity of digital image files by authenticating access procedures and documenting successive modifications' to a given digital record. They can also create and maintain structural indexes and bibliographic linkages within welldeveloped and well-understood database standards. Digital product developers also have a role to play in influencing the development of metadata interchange standards including the tools and techniques that will allow structured. documented. and standardized information about data files and databases to be shared across platforms. systems. and international boundaries. It is vain to think, however. that librarians and archivists are anything but bystanders observing the rapid development of network protocols. bandwidth. or the data security techniques that are essential to the persistence of digital objects over time.

Peservation and Access Responsibilities In the fifty years that preservation has been emerging as a professional specialty in libraries and archives. the

130

ELECTROl'flC

LlBRAIuEs

Jl'f

21" CBNTORY

preservation and access responsibilities of an archive or library have often been in tension. "While preservation is a primary goal or responsibility. an equally compelling mandate-access and use-sets up a classic conflict that must be arbitrated by the custodians and caretakers of archival records." states a fundamental textbook in the field. The intimate relationship between preservation and access has changed in ways that mirror the technological environment of cultural institutions. In the early years of modern archival agencies-prior to World War 11preservation simply meant collecting. The sheer act of pulling a collection of manuscripts from a bam. a basement. or a parking garage and placing it intact in a dry building with locks on the door fulfilled the fundamental preservation mandate of the institution. In this regard preservation and access are mutually exclusive activities. Use exposes a collection to risk of theft. damage. or misuse of either content or object. The safest way to ensure that a book lasts for a long time is to lock it up or make a copy for use. Modem preservation management strategies posit that preservation and access are mutually reinforcing ideas. Preservation action is taken on an item so that it may be used. In this view. creating a preservation copy on microfilm of a deteriorated book without making it possible to find the film is a waste of money. In the world of preservation and access. however. it is theoretically possible to fulfill a preservation need without solving access problems. Conversely. access to scholarly materials can be guaranteed for a very long period. indeed. without taking any.concrete preservation action on them. Librarians and archivists concerned about the preservation of electronic records sometimes view the two concepts as cause and effect. The act of preserving makes access possible. Equating preservation with access, however. implies that preservation is defined by availability. wh~n indeed this construct may be getting it backwards. Preservation is no more access than access is

DIomsED

INFoRMATION PREsERVATION

131

preservation. Simply refocusing the preservation issue on access oversimplifies the preservation issues by suggesting that access is the engine of preservation without addressing the nature of the thing being preserved. In the digital world, preservation is the action and access is the thing-the act of preserving access. A more accurate construct simply states "preserve accessibility." When transformed in this way, a whole new series of complexities arises. The content, structure, and integrity of the digital product assume center stage-and the ability of a machine to transport and display this product becomes an assumed end result of the preservation action rather than its primary goal.Control over accessibility, especially the capacity of the system to export digital image files to future generations of the technology, can be exercised in part through prudent purchases of only nonproprietary hardware and software components. In the present environment. true plug-andplay components are more widely available. The finanCial commitment by librarians and archivists is one of the only incentives that vendors have to adopt open system architectures or at least provide better documentation on the inner workings of their systems. Additionally. librarians and archivists can influence vendors and manufacturers to provide new equipment that is backward compatible with existing systems. This capability assists image ftle system migration in the same way that today's word processing software allows access to documents created with earlier verSions. Much as they might wish otherwise. digital product developers have little or no control over the life expectancy of a given digital image system and the decision to abandon that system.

Project Management Librarians and archivists are experts at project management. They routinely process groups of materials in selection. processing. cataloging, and preservation

132

ELECTRONIC LmRARIES IN

21BT CEl'I'nJRY

workflows. Digital projects, however, create new challenges. Perhaps the most difficult challenge is establishing clear boundaries, particularly stopping points. Managers of several noteworthy projects have written about their experiences in creating collections that require constant modification to keep pace with improvements in technology. This is not to say that digital conversion projects cannot be well planned in advance and successfully managed to conclusion. The best-managed conversion projects have clear goals. Brainstorming, the first phase of project management, is the time to talk about outcomes. Setting goals is a process of thinking about things from several angles before writing project plans. Digital conversion projects are undertaken on behalf of original collections. A popular rationale for investing in digital collections is that the surrogates will reduce, if not eliminate, the physical handling that threatens fragile or unique materials. This sounds sensible, but beware of the responsibility of advancing this logiC. That digital collections do not make themselves, and consider that a collection is likely to be handled more during conversion than at any other time during its life in an institution. Digitizing for preservation, then, applies not only to outcomes, but also to the handling guidelines that will be mandated for the conversion process. Remember, too, that increased care and handling generally translate to increased cost. Once materials have been selected for conversion, one should articulate the specific physical outcomes desired for the source materials. Stating the goals for the original collections fIrst will make it easier to narrow the wide range of choices of scanning technologies and methodologies. With rapidly deteriorating source materials-such as newspapers, britt!e books and journals, notebooks, and scrapbooks-a hybrid approach to conversion might be desirable. These undertakings demand planning for two, or even three, workflows, creating digital surrogates for access, creating microfilm for preservation, and, if necessary,

DIGmSED INFoRMATION PREsERVATION

133

rehousing or otherwise treating the originals. There is not a one-size-fits-all approach to scanning because there are many types of source materials. diverse audiences with a wide range of interests. and an ever-expanding choice of digital formats. The most diligent student of technology- even as it relates to the field of digital libraries-will not be able to keep up with new or emerging products. Even when people are knowledgeable about digital formats. it is wise to prepare for a discussion about various strategies. Librarians and archivists. rather than engineers. have the skills to describe in practical terms what. the digital reproductions are supposed to do. Technology can then be assessed according to project objectives rather than vice versa. There are two schools of thought about developing specifications for digital reformatting. One advocates closely assessing the source materials. then relating the attributes of the digital reproductions to those of the originals. This practice is sometimes referred to as benchmarking. Benchmarking. by contrast. considers the interests of the collections' creators (original artists and publishers) and custodians to be as important as today's users. In this approach. the attributes of the source materials that need to be conveyed in the digital reproductions (either pictorially. in textual metadata. or both) are: Organization and presentation Size and dimension Detail. tone. and color Age and condition. Successful working relationships can be established when representatives from cultural institutions can describe the functional requirements for the digital reproductions; representatives from industry can then respond with offerings of what technology can do-they may even be motivated to create new systems. With digital formats. interventions ·will be comparatively frequent. and maintenance can be defined

134

ELEcTRomc LIBRARIEs Df 21ft CEl'mJIlY

anywhere on the scale of simple copying to budgeting for wholesale digital-to-digital conversion in order to maintain a standard level of service. It is one thing to preserve content, another to preserve a level of service. All this is to say that longevity is not a physical attribute of digital reproductions, but an assigned lifespan that is backed up by the recognition that today's decisions regarding digital quality and functionality will need to be supported by tomorrow's managers and portions of their operational budgets. In recent years, many organizations have invested in digital projects with an eye toward realizing institutional benefits, as well as enhancing access to their collections. Research libraries in particular have been interested in feasibility and infrastructure projects for several years. These are important parts of a collective effort to test and disseminate tools, procedures, and methodologies. Managers in organizations of all sizes are often interested in monitOring processes of first-time digitization projects in order to conduct cost-benefit analyses. The experience gained by doing projects in-house helps organizations understand the overhead not only in creating digital collections, but also in maintaining and delivering them. In this context, systems refer to software, hardware, and the good old-fashioned brick-and-mortar facilities needed to store media. Although highly flexible, digital products are physical objects that must be located somewhere. It is important to specify before work begins where the digital objects will be stored, how long they must reside there in readable and accessible form, and who will be responsible for them. Software and hardware reqUirements will vary, but the number of systems will be proportionate to the number of processes and tasks specified to be under local control. In other words, the capabilities of the local infrastructure define the limits of the work that can be done in-house. Digital images and associated metadata (in a number of categories) comprise the raw stuff of image databases. If consistencies in searching and

135

presentation are desired. then it is essential to mandate technical specifications for data elements. image formats. and access protocols. These speCifications become even more important when interoperability with other collections is desired.

Range of Issues The basic copyright concepts and few legal issues serves as a brief introd~ction to the range of issues that should be considered in any scanning or online project. including concerns that have surfaced as the National Digital Library Program has digitized and mounted selected Library of Congress collections for presentation on the Internet through American Memory. It is necessarily not comprehensive. The issues are complex. In identifying these legal issues. this r.hapter pays special attention to the reasons for and concepts behind laws to help you recognize possible legal concerns and act responsibly in an arena that is still developing and often grey. Cultural and educational organizations are both creators and users of protected creative products. These organizations often are dependent upon or interwoven with artists. writers. and others who rely on their creative products for their sustenance. Thus. it is critical to take stewardship of intellectual property embodied in collections as seriously as the care of the physical collections. By understanding the legal concepts. you may be better able to apply them to digitizing projects. It is important to understand the reason and poliCies behind copyright laws in order to make reasonable assumptions about how to deal with making collections available on the Internet where the law is still rapidly evolving. Many of these concepts alS(\ will apply to other kinds of projects cultural organizations nov: routinely undertake to make their collections and activities more widely accessible. These include traditional print publications. • licenSing. television. radio. and video projects. The focus

136

ELECTRONIC LmRARIES IN

21ST CENTURY

here is on United States law and creative works protected under U.S. law. However. certain aspects of international legal concerns will be introduced. The presentation of material on the Internet is inherently intern~tional. so it is necessary to at least be aware of the larger context of global access and use of the materials you may make aVailable online. Copyright in the U.S. is the exclusive right of authors in their original works. It exists from the moment of fIxation in a tangible medium of expression. It includes the right of the author to control the reproduction. cop~ring. display. performance. and other uses of a work. In the United States of America. several bodies of law govern copyright. The Congress of the United States interprets the Constitution and produces law that is embodied in the United States Code. This is where you will find the current U.S. Copyright Act. The current act is only the latest of several earlier evolutions. each reflecting an attempt to address new technologies and new business models. For example. photography was not a protected medium until the 1870's, and movies were not protected until after the tum of the twentieth century. Since many projects address historical collections. you will need some basic familiarity with the current Copyright Act of 1976 as amended. as well as the earlier Copyright Act of 1909. Rules for calculating the duration of copyright differ. so you may have different results depending upon the nature of the material. Although still important under certain circumstances in the 1976 Act. the event of publication no longer determines the duration of copyright as it rigidly did under the -earlier law. Publication and calculation of the duration of copyright are addressed below. Another example of a law made by Congress is the Digital Millennium Copyright Act (DMCA) of 1998. This is a new law. which was made part of the existing Copyright Act in 1998. This extensive • legislation continues to be widely discussed. and its farreaching impact is still being assessed. The DMCA

DIGI'ITAD INFoRMATION PREsERVATION

137

implemented certain international copyright treaty obligations of the United States in conjunction with treaties promulgated under the auspices of the World Intellectual Property Organization (WIPO). Other important areas addressed in the DMCA include: Limitations of certain liabilities of online service providers Exemption from copyright infringement for making a copy of a computer program if the copy is made for the purpose of maintenance or repair, and miscellaneous provisions regarding distance education Exceptions in the Copyright Act for nonprofit libraries and archives to make preservation copies of certain materials in digital form "Webcasting" of sound recordings on the Internet. Many aspects of the DMCA may relate to projects undertaken by the educational and cultural communities. The U.S. Copyright Office was also charged with preparing a study on the impact of distance learning on copyright and the possible need for any new or special exemptions. International agreements and treaties such as the International Union for the Protection of Literary and Artistic Works (or the "Berne Convention") may need to be considered. ' . The Berne Convention provides mutuality in copyright protection among member nations. The U.S. signed on in 1989, but Berne began much earlier in the 1890's. Generally speaking, nations tend not to join until they have a commerc~al interest in doing so. At a very basic level, the Berne Convention provides mutual protection to member nations, also referred to as national treatment. In other words, member states must treat foreigners on at least the same terms as they treat their own nationals. When it comes to Internet distribution and access, it is in many respects unclear as to how to deal with questions of applicable law and jurisdiction.

138

ELECTROl'lIC LIBRARIES IN

21"' CENTURY

There is a slowly growing body of law in the U. S. as different states address analogous jurisdictional questions about which state's laws apply to a particular situation. The question of "whose law applies?" also is being explored in articles by law professors and experts. You also may hear about this issue in the area of taxation of transactions that occur over the Internet. One item to mention in the context of the Berne Convention is the concept of moral rights, described in Article 2b of the treaty. Moral rights (or droit moral) protect certain ostenSibly noncommercial interests of creators, primarily attribution and integrity. The right of attribution protects the creator by requiring tha.: the creator be known or identified as the creator of the work. preventing others from being falsely named as the creator. and preventing the work of other people as being attributed to him or her. It has to do with the right to be associated with one's own creative product. The right of integrity prevents others from distorting. mutilating. or misrepresenting the creator's work in a manner that would affect his or her honour or reputation negatively. Generally. moral rights cannot be transferred-they are separate from economic rights and remain with the creator even after a work is sold. This kind of right is not entirely consistent with traditional notions of property under U.S. law. Thus. in order to conform to the terms of Berne and permit the U. S. to sign the treaty. the U. S. pointed to other areas of U.S. law that provide· analogous protections to creators. such as trademark. contract. and unfair competition laws. In most European countries. moral rights cannot be transferred or assigned. In the U. S. this is true as well. However. in the U.S. an artist may waive his or her moral rights. This must be done in writing. stating the work and the uses to which the waiver applies.

Copyright Act Copyright in the U.S. is the exclusive right of authors in their original works. It exists from the moment of fixation

DIOlT1SED INFoRMATION P1ucsERVATlON

139

in a tangible medium of expression. It includes the right of the author to control the reproduction. display. performance. and oth'er uses of a work. Note that "author" is the word used in the law to refer to any creator of a copyrightable work. regardless of whether the creator is an sculptor. painter. photographer. writer. or some other kind of creator. The Copyright Act protects these rights in a wide range of creative products including literary works; musical wOl'ks including any accompanying works; dramatic works including any accompanying music; pantomimes and choreographic works; pictOrial. graphic. and sculptural works; motion pictures and other audiovisual works; sound recordings; and architectural works. The Act also protects the right of the author to create and control the creation of derivative works. A derivative work is a work based upon one or more preexisting works. such as a translation. musical arrangement. dramatization. fictionalization. motion picture version. sound recording. art reproduction. abridghlent. condensation. or any other form in which a work may be recast. transformed. or adapted. A work conSisting of editorial reviSions. annotations. elaborations. or other modifications which. as a whole. represents an original work of authorship. is a derivative work. This is a particularly important area to understand for digitization projects because many people believe that a digital copy of an existing work is a derivative work based on the existing item. This is also important in relation to the concept of originality. Copyright does not apply to all works. and it does not last forever. It is intended as a limited monopoly permitting authors to profit from their creative efforts and. eventually. for the public to be able to freely use creative works with the idea that such fluid use will inspire new creation benefiting society at large. When a creative work is not subject to copyright protection. it is referred to as "being in the public domain." Works created by employees of the U. S. government in the scope of their employment are in the public domain

140

ELECTRONIC LmRARIES IN

21ft CEl'ITURY

under the u.s. Copyright Act. This is a matter of public policy. on the theory that citizens already have paid for this work with their tax dollars. This assumption applies neither to the works of state employees in the U.S. nor to the works of employees of other nations. Under the Copyright Act of 1976 as amended by the Sonny Bono Term Extension Act effective October 1998. works are protected for a term of the life of the author plus 70 years. Copyright in works by independent contractors is assumed to lie with the creator-that is. the independent contractor. The works are specifically assumed not to be works for hire unless there is an agrecment in writing to the contrary signed by the independent contractor prior to the start of work. If you are hiring someone to write a report or produce a creative product for your organization. and if you ~ant the organization to retain the copyrights in the work produced by the contractor. it is critical to enter into a written agreement signed by the contractor before the commencement of work. stating the status of the work for copyright ownership purposes.

CHAPTER 5

DIGITISED OPPORTUNITIES IN LIBRARIES Threat of digital divide is important to stress that some of the trends in ICT provision around the world have been toward convergence. lTV figures. for example. suggest that. since 1960. the poorest one-fifth of countries have expanded telephone lines per capita about fifteenfold. compared to a threefold increase in the richest one-fifth of countries. This trend has continued in basic service provis~on over the last two years. In 1997-99 the number of telephones per capita in Sub-Saharan Africa increased 17 percent. compared to a four percent increase in the OECD countries. The picture is different for advanced services. however. The number of Internet hosts per capita increased 29 percent in Sub Saharan Africa in 1997-99. compared to 87 percent in OECD countries. And this divergence continues from an already huge gap in the provision of services. as we have seen. A recent study by Rodriguez and Wilson finds that an "Index of Technological Progress" - a comprehensive proxy of the status of a country's information infrastructure-indicates significant divergence in this measure across countries. The mere existence of a gap in levels of ICT services between rich and poor across and within countries is not an automatic reason to argue that ICTs should be placed near the top of the development agenda. After all, poor countries have fewer factOries. fewer cars. fewer doctors

142

ELECTRONIC

LIBRARIES

IN

21ft CEl'fl'URT

and nurses. and a lower calorie intake per capita than wealthy countries. The gap in provision is large-much larger than income disparities for some regions. In particular. the gap is growing in provision of advanced services. All of this is occurring at a time when the trends in other determinants of development (e.g .• levels of education. health. and access to transport) are converging. There is a significant threat of less developed regions being forced into an ICT-related poverty trap. Countries that do not have sufficient access will be increasingly excluded from the international trading system. Similar bottleneck eflects apply within countries. too: if the rural poor have no access. they might fall further behind. Within-country gaps in service provision raise the issue of equity. This will become even more important as government service provision moves on to the Internet. Without low-income access. those who need such services the most will be excluded. The opportunity .costs of development impact and the risks of economic exclusion presented by a lack of ICTs suggest that it is important that policymakersgovernments acting in consultation with civil society. the private sector (and donors when appropriate) -act now and determine the appropriate priorities for their countries. Besides. adjustment to a networked economy is not an overnight process: it takes education. widespread legal reform and significant investments on infrastructure. For many developing countries. limited access to basic telecommunications networks still remains a major handicap. For these countries. the goal is to hasten the pace with which their economies can embark upon a convergent path vis-a.-vis the leading countries in the networking revolution. Failure to address the related challenges and opportunities is not an option. Inaction today will only prolong the period of divergence.

DIOlnSED OPPoRTmIl'nES IN LmRARIES

143

Policy Agenda In developing a policy agenda for the networked economy. sorne useful lessons can be drawn from the experience with telecommunications reform over the last two decades. First. governments must commit to sector reform. setting up credible independent regulatory authorities and allowing for active competition. Second. the market. acting alone. will not be enough to ensure that the digital divide will be bridged. By engaging in partnerships with grassroots NGOs. donors. the private sector. and multilateral agencies. governments in developing countries can help bridge the digital divide. In what follows. elements of a pro-active "n~tworking policy" are discussed encompassing not only the regulatory front. but also specific programs that can accelerate the take-off of the networking revolution in developing economies. A modern information infrastructure is the first building block of the "new economy." In this context. a proper telecommunications regulatory environment is fundamental. In order. however. to fully engage in the networking revolution. countries have to go beyond traditional regulatory reform. addressing the challenges of convergence and setting the rules needed for the expansion of e-commerce. The importance of privatization and competition in promoting the development of modern information infrastructure is now widely accepted. A recent study suggests that privatization. good regulation. and a competitive mobile market could double the number of lines per capita in some of the poorer markets in Africa. Competition also can dramatically improve the quality of service and lower the costs of provision: in several competitive markets the average price of a call from a Global System for Mobile Communications (GSM) handset is 40 to 50 percent lower than in markets with a single provider ; and a recent study of Internet access pricing in Africa found that countries with the least liberal markets

144

ELECTRONIC LIBRAlUES IN

21ft CEl'mJRY

had access charges 700 percent higher than countries with the most liberal telecommunications regimes on the continent. The privatization of telephone services in Peru provides another example of how reform can also increase access for the poor. Given the impact of privatization and competition on access, it is encouraging that in developing countries, a significant number of reforms along these lines have taken place in the 1990s. More than 90 developing economies opened their telecommunications sector to private participation between 1990 and 1998, with US$214 billion in new investments committed. However, the new operators wereoften given monopolistic protection for an extended period following privatization. Competition has come more slowly and has so far been concentrated in mobile telephony. Sixty-four countries had at least two mobile service providers by 1998. Only in recent years have developing countries become more aggressive in promotIng competition in fIxed-line telephony, and still only 15 countries allowed long distance and local competition by 1998. Overall, lTU data from 1998 suggests that only 12 percent of local markets in developing countries are liberalized. A lack of awareness of the ultimate benefIts of privatization and competition often means that governments promoting these poliCies suffer in popularity, increasing the difficulty of having such poliCies rapidly adopted. Within a state-owned or quasi-public monopoly the existing conditions may be highly benefIcial to existing managers, workers, unions, suppliers, and politicians, or the fear of change and/or loss of employment can be a serious obstacle. PoliCies designed to promote private investment and competition may also bring short-term adjustment costs. Loss of the tax revenue and diVidends derived from a former monopoly PTT, decline in foreign exchange

145

revenues from reduced settlement payments. and lower revenues from reformed tariffs may have an initial negative impact on strained public budgets. Access to information about the international experience in this area and the long-term net benefits of reform - provided by institutions. like the World Bank Group. that can play the role of "honest-brokers" can help governments in addressing these concerns. . In addition to traditional regulatory reform. focusing on the promotion of liberalization. competition and ownership reform within the teleC'ommunications sector and the establishment of an independent regulatory authority. it is increasingly important to pay attention to the elimination of regulatory barriers among communications sectors. Such reforms are essential for a country to explore the convergence opportunities of the networking revolution. For the effective take-off of e-commerce. however. a country has also to address a number of elements in its broader legal/regulatory environment. Most governments have taken a cautious approach in imposing new regulations on the Internet. Initiatives promoting self-regulation and alternative dispute resolution mechanisms suggest that the private sector may be able to cope with at least some of these policy questions without direct government intervention. Yet. there is a growing need for governments to address the many difficult issues assOCiated with on-line transactions as e-commerce is mainstreamed into a country's economy. Special attention should be given to issues such as: adoption of non-discriminatory taxation policies; management of intellectual property rights in "cyberspace"; adoption of effective privacy and consumer protection policies; well defined content policies;

146

ELECTRONIC

LIBRARIES

IN'

210T CEl'fTURY

access to encryption technologies; and adoption of technologically-neutral authentication and certification rules. There is also a need to define: (1) how trading partners. service providers. and networks should divide risks for errors among themselves; (2) how governments should apply record-storage and control requirements for electronic communications; and (3) what replaces the hard-copy audit trail. It is clear that outside the field of communications itself. there is also need for broader reform in areas such as investment poliCies and trade controls to encourage investment in and use of both basic infrastructure and advanced services. Financial systems in many countries also require significant upgrading and regulatory changes in order to meet the demands of e-commerce. The same applies to the availability of supporting services. in particular. the postal system. Although market-oriented sector reforms are fundamental in helping bridge the digital divide. there are a number of reasons why a pro-active engagement of governments in networking activities remains vital. The market alone is likely to under-provide levels of access to infrastructure and content. from the point of view oi both economic efficiency and equality of opportunity. And in order to fully utilize that access and content. users must have the necessary skills and education. Finally. market reforms do not guarantee that the government itself will use ICTs effectively in the full range of services that it provides. Market Under-Provision: A user in an area of low demand density (attributable either to sparse population. low spending on communications. or a combination thereof) will tend to have proportionately higher communications costs and lower available functionality. This phenomenon is firmly rooted in' the basic economics of networks. which encompass both high fixed

DlGmsED OPPOR'l'lJl'UTms

Il'f

LmRAJUE8

147

costs and relate~ economies of scale. Similar market barriers face Internet content providers. Locally relevant, local language content makes the Internet far more attractive to users. More users increase the attractiveness of local content provision to Internet entrepreneurs. But this virtuous cycle will never begin if the high fixed costs of content creation deter local investors, leaving countries in a low-use, low-utility equilibrium. Market failures such as these present significant barriers to growth in access and content, barriers that are highest for poor and rural populations. This suggests that intervention to overcome them is not just an issue of efficiency but also a vital concern of equity. More fundamentally, however, it underscores the challertges faced by most educational systems in addressing the issue of "digital literacy." In short, there is a significant need not only to expose students to the Internet (e.g., via programs that support school connectivity), but also to ensure proper training of teachers in the use of modem ICTs tools. ICTs can play a significant role. in improving the efficiency, transparency and responsiveness of government services. Reform of the legal and regulatory and legal environment for the ICT sector alone is no guarantee that the technologies will be adopted for more widespread use in government, however. The history of the introduction of information technologies into government services suggests that while the potential benefits are large, the process is highly complex, time and resource-consuming, and frequently unpopular with stakeholders. Thus, without a strong commitment to well-designed programs of reform that incorporate appropriate rollout of ICTs, it is likely that government use of the new technologies will remain limited. In order to address these challenges a number of countries have embarked on creating national information infrastructure strategies. Such strategies, when designed with a clear focus on consultation, publico:

148

ELECTRONIC

LIB1tARIES

IN

210T

CENTURY

private partnerships, and public access can play an important role in building consensus for. reforms and programs designed to ensure equitable advantage from the new ICTs. National information strategies often encompass: "Knowledge Assessments" - a comparative review of the educational and infrastructural underpinnings of ICT use. Knowledge Assessments often also study broader educational resources, and the legal environment for investment, labor and e-commerce. Such assessments frequently review current uses of ICTs in both the private and government sectors. These analyses can help policy makers to determine where the country could learn from global best practices, and what opportunities are aVailable to the country from the networking revolution. A forthcoming joint World Bank-OECD report on the knowledge economy in Korea might provide a model here. Improving Access to the Tools of the Knowledge Economy - efforts in this area typically include programs to widen access to the range of ISTs, from community radio and posts to broadband Internet. Infrastructure strategies also encompass regulatory and subsidy programs to ensure access to both infrastructure and content for the poorest (discussed in detail below), as well as education reform programs focusing on ICT-based training in literacy, language and technical skills. Expanding e-government - innovative use of ICTs in areas such as online government contract bidding, customs and tax administration. Moreover, by setting an example, e-government initiatives can be a powerful catalyst for dissemination of relevant ICTs applications. In what follows, two areas in which new initiatives have the potential to promote important digital opportunities, while addressing digital divide concerns, are discussed: promoting public access and e-entrepreneurship.

DIGITISED OI'PoRTVNlTJES IN LIBRARIES

149

Policies and institutions to promote public aCcess to communications services are a central element of "universal access" (or universal service) policies. By focusing on providing public access, be it to a telephone line or to an Internet terminal, countries can aggregate demand and thus a large number of people can benefit from one or a few connections. In Senegal, for example, more than 6,000 privately operated telecenters have come into existence since the early 1990s. Public access to a telephone has more than doubled. India, Peru, South Mrica, and Thailand have also seen dramatic growth in privately owned and operated telecenters providing rural inhabitants with new information sources and opportunities. Broadly speaking, in high-income countries, with residential telephone penetration typically above 75%, households without a telephone are considered to be disadvantaged. Hence advanced country governments and regulators are concerned with policy instruments for achieving universal telephone service. The "universal service" objectives are defined as a minimum set of services of specified quality that must be aVailable to all users regardless of where they live and at a price affordable to all. They vary with the level of network development and are likely to -change as market boundaries are pushed outward. Larger and more modem networks make it easier and less costly to extend service to outlying areas. In lowincome countries, however, the focus should be on providing public access to services. The only realistic objective in the short term is therefore to achieve "universal access", whereby everyone would be able to access a public booth in every town, village or vicinity or within "reasonable" distance. What "reasonable" distance actually means, what services are to be provided at every public booth (telephone, e-mail, real-time Internet), and which of these· services are appropriate at what level in the hierarchy of

150

ELEcTao!nc

LiBRARIES IN

21ft CENTURY

towns and villages, will very much vary from one country to another, depending on potential demand and ability to pay for these services. The scale at present runs from access to 2mbps high-speed Internet lines for every home in Korea to a telephone within (distant) walking distance in some African countries. Broadly speaking, in high-income countries, with residential telephone penetration typically above 75%. households without a telephone are considered to be disadvantaged. Hence advanced country governments and regulators are concerned with policy instruments for achieving universal telephone service. The "universal service" objectives are defined as a minimum set of services of specified quality that must be available to all users regardless of where they live and at a price affordable to all. They vary with the level of network development and are likely to change as market boundaries are pushed outward. Larger and more modem networks make it easier and less costly to extend service to outlying areas. In lowincome countries, however. the focus should be on providing public access to services. The only realistic objective in the short term is therefore to achieve "universal access", whereby everyone would be able to access a public booth in every town. village or vicinity or within "reasonable" distance. What "reasonable" distance actually means. what services are to be provided at every public booth (telephone, e-mail, real-time Internet), and which of these services are appropriate at what level in the hierarchy of towns and villages, will very much vary from one country to another, depending on potential dem~d and ability to pay for these services. Public access policies also include so-called "virtual telephony", which has been an innovative step introduced in a number of countries to promote increased access to telecommunications services for the poor. Virtual telephony gives a subscriber a telephone number and a

DIGITISED ()ppoR'I'UlUTJES IN

LIBRARIES

151

voice mailbox. enabling -him or her to receive messages and access them from any phone. in particular from a public phone. An upgraded but still economical service. radio paging. would alert the subscriber when new messages arrive. Public access policies do not have to limit themselves to improving access to telephones. Indeed. many countries are using similar principles to support the provision of more advanced ICTs. ranging from fax to Internet access. A model that is receiving increasing attention is the multipurpose community telecenter

(Mcn.

An MCT is a facility that provides public access to a variety of information and communication technologies and services. These centers may vary from single rooms with a telephone or two-way radio to facilities with full Internet access and other value-added services. Users may include local government and church le~ders. traders. teachers and schoolmasters. students. agricultural and health extension workers. hospital staff. NGOs. and donor agencies. An increastllg number of MCT services are commercial in nature. and are being offered around the world by private sector providers on a cost recovery basis. South Mrica. for example. has shown that for-profit public Internet access can work outside the Internet cafes present in many Mrican capitals. \ . The majority use the telephone alone-but increasing numbers are turning to the two Internet-connected computers. Many succes&ful models have relied both on some level of external support (at least to cover initial costs) and collaborative and participatory assessment programs both before and during the creation of MCTs. It should be noted that the MCT movement is stlll in its infancy in many countries. and it has faced some setbacks. One study of a pilot program of the Ministry of Environment. Natural Resources. and Fisheries in

152

. ELECTRONIC

LIBRAlUES

IN

21 lOT CENnJRY

Mexico. for example. found that of 23 telecenters set up in rural areas around the country. only five remained functional after two years. Problems encountered included insufficient maintenance funding. inadequate political interest and will. and cultural constraints which hampered community interest in the projects. Without appropria.te content. the relevance of the networking revolution for developing countries will remain in doubt. Unless the private sector - particularly. small and medium enterprises - fully engages in exploring digital opportunities. the impact of the networking revolution on societies will be uneven at best. However. entrepreneprs in developing countries face a number of difficulties in their efforts to provide locally relevant content. In general. there is a lack of knowledge with respect to the new business models that characterize Internet-centered businesses. And people that combine skills and ~reatiyity in Internet site creation. business know-how. access to finance and knowledge of local community needs are rare worldwide. but particularly in developing countries. In the past. governments have often assisted the private. sector to overcome initial barriers to creating software both for local use and export-oriented activities. Teleports. free economic zones. and aggressive marketing and promotion were used to jump start informatics export growth in Mauritius. for example. In Taiwan. China. the Small and Medium Enterprises Bureau subsidizes software development for small businesses from laundries to bicycle shops. Similarly. government support for Internet incubators could encourage development of innovative web-based applications by helping local entrepreneurs overcome financing and knowledge gaps. There are a range of Internet incubators emerging around the world. In addition to capital. these incubators provide a full range of resources to infuse startup companies with the development strategies and financial support needed to rapidly introduce innovative products and services.

DIGmsm OPPoRTUl'fI11ES IN LIBRARIES

153

Resources include office space and the accompanying network infrastructure, consulting and services relating to development and technology, graphic design, marketing, competitive research, legal, accounting and business development support and services. Incubators can also provide advice on strategy, l?randing and corporate structure.

Documentation The document is ubiquitous in modern computer applications. We devote significant computer resources to document processing; indeed this is the only task performed by many computers in today's offices. Characteristics of documents are so significant as to warrant sizable standardization e~orts. Xerox, a multinational company, calls itself "the document company." Because of the widespread nature of the computer-based document, it is a natural first abstraction to describe our digital libraries as containing digital documents. This view forms a nice parallel to the traditional library, which we visualize as containing physical objects that we can think of as being various kinds of physical documents-books, journals, newspapers. and essays. To understand what the implications are of populating digital libraries fr~Ill documents. it first is necessary to develop a clear notion of what digital documents are. It is immediately apparent that the computer researchers' use of the term "document". Dictionary definitions suggest that the document's role primarily is limited to providing support for claims or assertions. Picture frames are advertised indicating their usefulness for displaying documents, reinforcing the view of documents as legal papers, certificates, and diplomas. More thought-provoking is the traditional library's inclusion of artifacts that, on first inspection, do not correspond to the general definition of document.

154

ELECTRONIC LmRAIUES IN

21ST CEl'I'nJRY

In particular these include non-print materials such as video tapes, audio recordings, and computer software. Indeed, traditional libraries also may hold physical objects that, unlike those mentioned already, are not the product of intellectual effort. Such objects may include archaeological artifacts. a celebrity's b,elongings, or botanical specimens. It is interesting to note that some documents in a library, for example rare books, may more closely resemble these physical objects in value since their importance may be in the actual book and its history rather than in its contents. The lesson is that evaluating the claim that digital documents make up a digital library requires careful thought as to what a digital document is and equally careful defInition of its capabilities, as well as consideration about how it resembles and differs from the traditional concept of document. There is no reason to incorporate digital documents into a digital library if there are no benefIts gained from using the abstraction. A digital document may be argued that our perception of documents in the digital domain differs from the dictionary defInition along several axes. A fIrst difference is. in permanence. While a document can be asserted to represent a stable checkpoint, digital documents can be, and often are, flUid; changing and evolving continuously. Certainly traditional documents are also fluid, as witnessed by the issues necessity to identify book editions, printings, as well as the relationship. of manuscripts to published works. However, digital documents are not fixed by the dissemination medium as are traditional documents. Indeed, a digital document may never exist entirely in a tangible, discrete form-for example documents intended only for online browsing. A second difference between traditional, and digital documents seems to be the reflection of importance in form. Generally the traditional document's affordances carry along with them an indic~tion of the document's importance.

155

Academic diplomas are printed with care and expense. as opposed to newspaper flyers. The size and appearance of a book distinguishes it from a stapled photocopied technical report. Such distinctions are not necessarily present in digital documents-the same preparation system often can be (and is) used to create a ra~ge of documents-from shopping lists. to legal documents. to technical publications. The potential range of sizes of digital documents is quite large-ranging from a few words to megabytes in size. Certainly traditional documents can become very large (e.g .. an unabridged dictionary) but in general extremely large-sized documents require computer assistance in their preparation. Stories are common of document preparation systems used to prepare computer system documentation. to prepare documentation for airplanes. and to automate documentation for Navy ships. Additionally. a digital docurrent is formed from component parts and relationships among those components. The structure of the relationships is intentional-I.e .. it is authored. Furth.ermore. to be meaningful. the relational structure must reflect the author's conception of the components' semantic relationships. There is not. however. a suggestion that the form of the digital document must be textual. nor that it must be sequential. For example photographs and paintings also possess this initial characteristic. Components. which themselves can be formed as the composite of more atomic elements. can, be identified either from the context of computer-based implementation or can be identified logically. For example. an implementation view of a document intended to be translated into traditional printed form would be built from the characters. records. and blocks that go into the document. The logical 'view of a printoriented documents also begins with characters. but then extends into sentences. paragraphs. sections. and so on.

156

ELECTRONIC LIBRARIES IN

21" CEl'f'nJRY

Other views are certainly possible-for example a view based on the document's content semantics, a view 'based on the printed appearance of a paper-based document, or a view based on a hypertext's temporal properties. The relevance of a particular view is tied to the medium on which the document is to be presented to the reader. It is worth emphasizing the point that a document's components are not necessarily atomic in a global sense. A third point is the role of relationships among components, bringing together the individual elements into an intentionally-authored structure. Clearly the relationships that make sense are based on the particular view of the document under consideration. When multiple views are of interest, independent sets of relationships can be present simultaneously. This characteristic is represented explicitly in the ODA and SGML ISO standards for structured documents, which separate out the document's logical structure from the structure of its printed representation-ODA defmes separate logical and layout hierarchies over the same l5et of component objects while SGML defines only the logical structure, leaving defmition of the layout structure to the separate DSSSL standard. The definition of document as self-contained unit and as representative of an intentionally-defined structure provides the handle that distinguishes documents from each other and from other objects found in our computer systems. The relationships on the objects within· a document-define a partial orderiI1g. This does not prevent a particular object from appearing in multiple independent documents, as it is the relationships among the elements, not the elements themselves, that define the document. Additionally, the components of a document may themselves possess rich structure. Indeed the components may themselves be documents. Note that this kind of document is found commonly in traditional libraries in journals and anthologies. An identifying characteristic of the document is intentional structure,

157

hence otherwise unordered collections of data are not documents. Consequently inter-document couplings are likely to be derived rather than authored and so in the library there is a dependence on application of information retrieval tools and on cataloguing based on broad abstractions of the documents' content and appearance. Such distinctions are echoed from the traditional library. With the traditional library's basis in physical forms, there certainly. is less ambiguity in the identification of a document's boundaries than in the digital library. However there also are lessened potentials for sharing document components and less flexibility in their use. Identifying distinguishing characteristics of documents, separating document from library, and proposing that digital libraries contain a heterogeneous collection of digital documents, suggests that a library is not defined only by the amount of data that it contains. Indeed some large scale collections cf information suggested as making up a digital libraries may more productively be considered to correspond to some other metaphor. It is important not to let the structures found in traditional documents, or the structures found in current computer system implementations, confine our sense of the relationships of significance in digital documents. Examination of some domains in which document metaphors have been applied will help to illustrate the generality of the concept. Tools developed for software development have been modified for application in the structured document arena, and indeed structured document tools have also been applied to the problems of software development. The third group of applications to be considered, hyper~ext and hypermed'a systems, illustrate the generalization of the document metaphor to nonsequential relationships. Indeed work in hypertext has also attempted to extend document structuring principles to temporal browsing considerations and holds the

158

ELECTRONIC

I.ontARms

IN

21- CItlft'URT

promise of extending as well to a variety of other nontextually-based relationships. Interactive preparation of documents has been an increasingly important computer application since the late 1950's. Two main representational paradigms have arisen. The first specified the document in terms of its intended appearance when printed; this has come to be called the document's "layout structure." Common representatives of this style of document preparation system are today found in the family of WYSIWYG formatters originating with Xerox PARC's pioneering Alto system. Beginning with IBM's Generalized Mark-up Language (GML). a second major representation has developed based around the document's "generic markup" or "logical structure." The relationships expressed here. which it is relevant to note are not strongly semantic. reflect the document's organization into organizational parts-from sentence to paragraph. to section. to chapter. etc. The mechanisms used to identify the pennissible document structures have varied widely in implemented systems from quite ad hoc to strongly constrained with contextfree grammars. A representative of the constrained specification language is the ISO SGML standard. which includes grammatical definitions in the Document Type Definition (DID). Overall. this type of document is kriown as the structured documents. Structured document systems have both strengths and weaknesses; characteristics that can be considered in the context of other types of documents as well. Especially when the representation is grammatically constrained. structured document representations are quite robust-both in achieving a standard. correct document markup but also in increasing the lifetime of the document and its components. Because the document is marked up in a standard way and because the markup is separated from the particular application of the moment. document maintainability is improved as is the reusability of the

159

component parts in different documents. Negatively. structured document representations undeniably require more effort in their initial specification. Because the structural representation is at least one step separated from the visual presentation. the specifications often seem unnatural when one first starts using them. In addition. maintaining grammatical constraints raises issues about consistency between definition and instance when the definition changes. Taken as a whole. the strengths of the structured document representation strongly outweigh the negatives especially when there is a requirement for robustness. reusability. or. correctness. In particular. the structured document representation is of significance in building digital libraries because it avoids binding in physical. dependencies and consequently enables the flexible display of the document in multiple hardware environments. In addition it also giv~s hints that can be very useful both in finding the parts of the document for automatically creating indices. abstracts. and other kinds of catalogues. There has long been an interesting tension between programming and writing. Sometimes synergistic. sometimes antagonistic. the interactions show the .Similarities and dissimilarities between the two activities. By implication. Richard Conway's programming for poets book series in the late 1970's/early 1980's illustrated some of the complexities of the relationship. The relationship between software development tools and structured document editors has been evident in the features shared among the tools used in each domain. Certainly documents have an important role in software engineering. Moreover when the document structure is described with a Context-Free grammar. a natural inclination is to use tools developed for syntax-directed program editing. Perhaps the best-known exploration of the view of programming as an art and as a creative effort is Knuth's Literate Programming. Knuth. through his WEB

160

ELECTRONIC LIBRAlUES IN

21" CEl'ITURY

programming/ documentation-specification language presents a framework that unifies the specification of a program and its documentation as well as the production of the program's annotated listing and the compilable source. Hypertext is a foundational technology for the digital library. The traditional view of hypertext as formed from nodes and links that represent relationships between nodes has continued to develop, and indeed the semantics of the links has been formalized and generalized. In addition, nontraditional relationships have begun to receive attention, including temporal and spatial relationships as well as their representation to the reader. The documents are a widespread and important abstraction that provides the natural unit that is the building block of the digital library. Some of the applications of the document metaphor to show its generality and to indicate the synergy that results when tools and representations created for one form of document are applied to documents in different domains. LIBRARY AND INFORMATION SERVICES

Library and information services are key actors in providing unhindered access to essential resources for economic and cultural advance. In doing so, they contribute effectively to the development and maintenance of intellectual freedom, safeguarding democratic val~es and universal civil rights. They encourage fiocial inclusion, by striving to serve all those in their user communities regardless of age, gender, economic or employment status, literacy or technical skill~, cultural or ethnic origin, religious or political beliefs, sexual orientation, and physiCal or mental ability. The communities they serve may be geographically based or, inc teasingly, linked only by technology and shared interests.

DIGITISED (}ppoRTUl'fl'l1ES IN LmRAlUES

161

A library is a means of access to information. ideas and works of imagination. The library experience may be the key to understanding your place in the world. the pleasure of a children's story. advice on securing a safe water supply. or the record of the healing wisdom of an elder. The publicly-funded library is one of the most democratic of institutions. serving the needs of the community it serves As a public space it helps define a sense of that community. providing a safe meeting point. At different pOints in their lives. people see libraries as a: place of wide-eyed discovery tool for life-long learning support for political and social enquiry bank of ideas and inspiration source of answers to factual questions place to acquire· new skills community centre local studies resource a place of sheer pleasure and enjoyment. Libraries take many physical forms. ranging from large purpose-built buildings. to rooms in parent institutions. and small temporary structures. Mobile examples include road vehicleli. boats. trains. trams .and even donkeys and camels. Many libraries are now 'hybrid'. combining both physical space and collections with a virtual library of electronic materials and services. The term "library" is often taken to equate to "public library". However. there is a huge variety of other kinds of libraries. fulfilling different purposes and serving different client groups. They exist in every country of the world. including the Least Developed Countries. Most countries have a national library. which often has the role of coordinating the network of other kinds of libraries throughout that country. in addition to collecting materials and making them aVailable. Countries which

162

ELECTRONIC

LmaA.ama

IN

21ft CU'I'OaY

are federal in structure often have state or provincial libraries which perform a role Similar to that of national . libraries in their area. Most countries also have a large network of public libraries. In some countries. notably in Africa. the national library acts the coordinator of the network of public libraries. Public libraries range in size from large central libraries to small village centres and mobile libraries. Educational institutions. such as universities. colleges and schools all have libraries. serving the educational objectives of their parent bodies. In some countries. it is common for them to be open to the general public. In a small number of countries. notably in Eastern Europe. a large university library also acts as the national library. Libraries also provide vital services in government departments. research institutes. museums. and in many different environments in the private sector. These are sometimes referred to as special libraries or workplace libraries. Libraries are needed more than ever in an age in which people and communities desperately need to consider alternative points of view and information. to challenge the spin doctors and the mass media. to take control of their own destinies and make up their own minds. In European Union. there are 90.000 libraries. On that basis there must be well over 250.000 around the world. A network of libraries large and small is therefore already available. They are in a good position to contribute positively to b(idging the digital divide. because they are staffed by people whose business it is to help users obtain the information they need. A relatively modest investment in technology. capacity bUilding and the acquisition of print and electronic materials could dramatically transform the degree of access to information and knowledge. Studies suggest that where this investment has been made. use has increased substantially especially attracting people who otheIWise would not have such access.

Dlomsm ()PPOa'l'Ul'um:s

Df

LmltAlUES

163

Traditionally libraries have acquired print-based materials. including newspapers. maps. pamphlets. illustrations and many other items as well as books. Despite the popular misconception. they have never confmed themselves to books. Indeed. libraries pre-dated the invention of the book. collecting papyrus scrolls (the original Alexandria library was a good example) and manuscripts (the mediaeval monastery libraries. for instance). It was therefore no great leap fOlWard to collect new information media as they emerged. All forms of sound and visual recording (for example. gramophone records. cassettes, CDs. videos. and DVDs) quickly joined the collections in many kinds of libraries as they became available. Computer based sources of information were quickly added to the portfolios and there are now many libraries around the world which have very substantial collections of CD ROMs and electronic journals. Many publications are now "born digital" and a good proportion never appear in print form. Where they do. the digital and print versions are increasingly different in content. As a result. there are some libraries which. to the first-time visitor. do not look like the conventional idea of a "library" at all. It should be noted that there has been a long-term trend towards the creation of global media corporations embracing publications in many different media. created in different countries. Content is much more important than the medium which contains the content. On the other: hand for many kinds of media. especially those in the Scientific. Technical and Medical (STM) fields. Hbraries are a hugely important market segment. An advantage of the application of new technologies recently emerging is the ability to introduce differential pricing in favour of libraries in the developing world. However. there remains substantial cause for concern in the growing concentration of media ownership into fewer. larger corporations.

164

ELECTRONIC LIBRARIES IN

21aT CEl'ITVRY

It is increasingly important that libraries collect and make available the output of smaller, more local and specialist publishers. Libraries have an important role in encouraging Jocal and regional publishing and in collecting and preserving oral history and indigenous traditional knowledge. This depends very much on the kind of library and the client group or groups it serves. National libraries, for example, usually are required to collect and preserve the national publishing output of the country it serves, making sure that it is aVailable not only for current users, but also for future generations. Typically they also compile the national bibliography of publications, and act as the library of last resort for items, which other libraries in the national library network cannot provide. They are usually assisted in their task of collecting by a legal deposit system, whereby publishers have to make copies of their publications available to them free of charge. They frequently have sophisticated preservation and conservation programmes. Electronic publishing provides many challenges to this aspect of their role. They are developing methods of collecting, archiving and making available electronic publications. National libraries also often take on the role of making available material published in other countries, especially SCientific and technical publications. Public libraries typically provide services free of charge to anyone who wishes to use them, although lending is often restricted to residents of the locality. Many provide literacy programmes, reader development promotions and act as an information point for .the availability of local public services. Typically they collect and preserve a wide range of materials relating to the history and development of the locality. Special services have been developed to serve the needs of particular groups such as children, housebound people, and the visually impaired. Public libraries in particular strive to serve all sections of their communities without diSCrimination.

DIGITISED OPPOR11ll'fITIE8 Dr LIBRARIES

165

Libraries in education institutions have developed a wide range of services to meet the educational objectives of their parent institutions. School libraries clearly need to support the curriculum, but they also collect books and other materials to encourage reading and spirit of enquiry, as well as to meet the needs of the teachers and administrative staff. University libraries are usually among the most advanced in terms of developing electronic based services. Many have large collections of electrOniC journals, as well as sophisticated searching tools available both to students and faculty. Teaching hospitals are often attached to univerSities. They require sophisticated library services to make available the latest medical research published in a variety of media. Libraries in the corporate sector have been in the forefront of developing services tailored to meet the needs of individuals or small groups of clients. They profile their users (the employees of the firm) and package information and provide alerting systems to ensure they are aware of the latest information relating to their current research or project. Increasingly they are involved in knowledge management, harnessing the totality of the knowledge available in their company. National and State Libraries are typically funded by the government from taxes. But in common with most public services around the world, they need to supplement these funds with money raised from a range of sources, including sponsorship, charging for some selVices, sales of publications, etc. Public libraries typically rely on a combination of national and local government funding, increasingly supplemented by charges for some services and sponsorship or project money. Educationallibrartes often rely primarily on income from their parent institution. But they too are usually encouraged to raise income from a variety of sources. Those in the corporate sector are usually regarded as cost centres contributing to company objectives.

166

ELEC'l"ROlUC I.uuwuEs

IN

21" CBln'URY

Libraries have a long tradition of networking both within countries and across national boundaries. Most countries have inter-library lending systems whereby books and other documents not in stock may be borrowed to satisfy the needs of a local user. These systems expanded into document delivery systems once photocopying became generally available and electronic document delivery is becoming the norm in some subject areas. Libraries also collaborate in such areas as collection development to avoid the duplication of expensive works and to ensure comprehensive collections in a region. and in staff training. Consortia of libraries. either of a particular type or in a particular region. are developing primarily to negotiate licences for the purchase and use of electronic publications. Libraries have grasped the opportunities presented by the application of new technologies to revolutionise the t~chnical processes required to deliver services. Examples include shared cataloguing. whereby many libraries share the task of preparing catalogue records so that duplication of effort is avoided. Other examples include self-issue and return systems. and security measures. The most dramatic impacts have been in the expansion of the range of materials collected and made available. together with the ability to reach users regardless of geography. The 'Library without Walls'. once a dream is now emerging as a reality. The role of the library as a place for people to gain ICT skills in a welcoming atmosphere is becOming a decisive element in capacity building. Technology is gradually transforming the lives of library users who have been largely excluded from using traditional library materials. for example the visually impaired. A recent trend is the convergence of the so-called memory insti.tutions. including some kinds of libraries. archives and museums. One objective is to take advantage of new technologies to make available the collection of all three types of institutions to users in one of them. or indeed remotely from all of them. In most

167

countries Ubrarians are educated in universities in what used to be called "library schools" at undergraduate, masters and doctorate level, depending largely on the overall educational tradition in the country or region. This is supplemented by periods of practical training and experience. In some countries this leads to a Ucence to practise. In others, the courses themselves are accredited by the professional body. The curriculum includes studies of information SCience, computer based information systems, electronic publishing, legal considerations, including intellectual property laws and understanding user needs, as well as the more traditional subjects such as reference sources, cataloguing, indexing and claSSification. SpeCialist, optional. programmes treat serving user groups such as children, the visually impaired, those with learning disabilities, and specific industries, etc. The rapid application of technology in libraries emphasise the urgent need for continuing professional development of library staff to enable them to help their users exploit the facilities available. In many countries the training of technical and paraprofessional library staff is now carried out on a systematic basis. A combination of college-based courses and in-service training is usually employed. Web-based education and training and other forms of.7 distance learning are increasingly being used both for professional and para-professional staff.

Internet Although a great deal of information is available on the desk top of anyone with a computer linked to the Internet, much of it is spurious and ill-organized. Some of it is of course dangerous. Much of the information that is authoritative is available only in return for payment. Thus users need to access materials through libraries which have skilled staff to search effiCiently, are able to identify authentic sites and can obtain access to paid-for sources through site licences.

168

ELECTRONIC LIBRARIES IN 21ft CENTURY

Individuals, even in developed countries do not have the resources to access all the authoritative, authentic information they need. Just as libraries traditionally made aVailable for loan or consultation a wide range of print publications way beyond the means of most private individuals, so they can now make available electronic publications. IFLA, the International Federation of Library Associations and Institutions is the international NGO representing the interests of library and information services and their users. It is the global voice of the library and information profession. In 2001 we celebrated our 75 th anniversary. The international cooperation of libraries in the context of this worldwide Federation has resulted in an impressive number of agreements, standard and . guidelines to support professional workers in their work for the benefit of their users. Also a series of Manifestos have been produced, some of which have been adopted by UNESCO. The most relevant for our purposes here are: The IFLAjUNESCO Public L~brary Manifesto highlights the public library as the local gateway to knowledge, WhICh provides a basic condition for lifelong learning, independent decision- making and cultural development of the individual and social groups. The IFLAjUNESCO School Library Manifesto stipulates how school libraries offers learning services, books and resources that enable all members of the school community to become critical thinkers and effective users of information in all formats and media. School Libraries link to the wider library and information network in accord with the principl,es in the above mentioned IFLAjUNESCO Public Library Manifesto. The IFLA Internet Manifesto was proclaimed by the IFLA Governing Board and approved by the IFLA Council in 2002. Unhindered access to information is essential to freedom, equality, global understanding and peace. Libraries and information services provide

DIGmsED OPPORT1Jl'IIl1El!l IN LIBRARIES

169

essential gateways to the Internet. For some they offer convenience, guidance, and assistance, while for others they are the only available access pOints. They provide a mechanism to overcome the barriers created by differences in resources, technology, and training. In The IFLA Glasgow Declaration, proclairried on the occasion of IFLA's 75 th anniversary in 2002, IFLA and its worldwide membership state that they support, defend and promote intellectual freedom as expressed in the United Nations Universal Declaration of Human Rights. This intellectual freedom encompasses the wealth of human knowledge, opinion, creative thought and intellectual activity. Libraries in developing countries have an important role to play in the development and m"aintenance of a democratic society. They provide the conditions by which people achieve free access to information and knowledge. ·They provide opportunities to participate actively in the country's further development into a democratic society. The strengthening of libraries in developing countries forms the most efficient weapon in the struggle against the digital divide. Libraries can provide access to global information via Internet. Libraries at all levels are tools for people to obtain better living co~ditions. Reading print and electronic documents whether for business or pleasure, is fundamental for any society in the modern world. It is the foundation of democracy, capacity Imilding, and modernization. It is an important method for development as it offers visions and dreams, learning, skills and a creative impetus to the individual. In order to protect the world against ignorance, disease and poverty access to information via libraries is essential. IFLA believes that the development of national, regional, and international library infrastructures will contribute to providing access to information to people in

170

ELECTRONIC

LmRA:Rms

IN

21ft CEl'ITURY

developing countries. IFLA's Division of Regional Activities, with its three Sections (for Africa; Asia and Oceania; and Latin America and the Caribbean) has been active for many years. We have established one office in each region. They are located in Dakar, Senegal, Bangkok, Thailand and in Sao Paulo, Brazil. IFLA's Advancement of Librarianship (ALP) core activity, based at Uppsala University Library in Sweden, has had much experience in organising projects in the developing world to stimulate library development. Government and other agenCies should pursue these by building upon existing library infrastructures. They are: 1. All libraries open to the general public should provide free access to the Internet and other electronic information resources by 2006. 2. All libraries should pay special attention to bridging the gap between the information rich and the information poor-not. This would include initiating concrete initiatives to help overcoming access barriers such as poverty, illiteracy and disability. 3. Special programmes should be developed to safeguard access to information for women and children in developing countries. 4. 5.

All library staff employed in public service should be trained in ICT skills by 2006. All libraries open to the general public to implement ICT training and access schemes for their users by 2008.

6.

All countries to adopt the IFLA Internet Manifesto by 2005.

7.

All countries to Library Manifesto All countries to Library Manifesto

8. 9.

adopt the IFLA/UNESCO Public by 2005. adopt the IFLA/UNESCO School by 2008.

All publicly funded libraries in each country to form networks with each other and other agenCies with

Dlomsm ()ppoR'nJllf1'lDS IN LmRARIES

171

similar objectives (e.g. telecentres) to ensure equitable access to information by 2010. 10. All publicly funded libraries to benefit from discounted telecom access charges by 2006. 11. Publishers should be urged to make available electronic publications to the Least Developed Countries (LDCs) at discounted rates by 2005. 12. All primary and secondary schools should have a library staffed by a trained librarian and stocked with appropriate printed and electronic materials by 2010. Some examples of model projects in response to the Swiss Commissjon for UNESCO (SCU) proposal for "Equipping and training of wntent workers in the Least Developed Countries (LDC), such as archivists, librarians, sCientists, teachers and journalists in making use of the expertise and operational capacity of the relevant professional organizations". These may be carried out by librarians, educators and archivists in order to make a difference, building on existing networks. Much more work needs to be carried on these proposals, or indeed to develop alternatives. IFLA believes that it would be preferable for proposals to come from the developing countries themselves as they should be in a better position to identify their true needs. Functional literac~T, reading and lifelong learning programmes in libraries. The object is to enable peopl~ to get a better life. New technology would help them in bridging the information gap. Appropriate information to the community helps people to start businesses, to learn about how to get involved in decision making to develop the community. Reading ability in combination with ac.:!ess to information, provides people with possibilities to change their lives. Capacity building, social development, better living conditions and the promotion of the democratic process may be the outcomes. An example of such as project is New Readers. This is a pilot project carried out in Rio de Janeiro.

172

ELECTRONIC LIBRARIES IN

21 0T CENTVRY

Using a tutor manual based on one developed by New York Public Library. translated and adapted to Brazilian reality. two courses have been held to test the method. Participants were people over 18 years from "favelas" with poor literacy skills. The idea could be adopted to the requirements and conditions in other countries. Microforms are widely used in Mrica and a large part is in jeopardy due to age. poor handling. adverse environmental conditions and inherent fragility of the media. The objectives of the project would be to survey the microform collections in African libraries and archives. identify how much of the collection have been destroyed as well as the condition of remaining collections. explore ways of salvaging collections at risk. enhance the accessibility and considering the feasibility of digitizing microform collections. This project would have to be developed in full cooperation with ICA. The objectives would be to encourage professionals to share information by making databases accessible by Internet; to create databases and to give the necessary tools of how to use Internet in the best way. This would require investment in the technolgy. electronic materials as well as staff training. Prosperity and the development of society and of individuals are fundamental human values. They will only be attained through the ability of well-informed citizens to exercise their democratic rights and to play an active role in society. Constructive participation and the development of democracy depend on satisfactory education as well as on free and unlimited access to knowledge. thought. culture and information. The public library. the local gateway to knowledge. provides a basic condition for lifelong learning. independent decision- making and cultural development of the individual and social groups. The public library is the local centre of information. making all kinds of knowledge and information readily available to its users. The services of the public library are provided on the basis of equality of access for all, regardless of age. race. sex. religion. nationality. language or social status.

DlGmsED OWORTUNlTJES IN LIBRARIES

173

Specific services and materials must be provided for those users who cannot, for whatever reason, use the regular services and materials, for example linguistic minorities, people with disabilities or people in hospital or prison. All age groups must find material relevant to their needs. Collections and services have to include all types of appropriate media and modem technologies as well as traditional materials. High quality and relevance to local needs and conditions are fundamental. Material must reflect current trends and the evolution of society, as well as the memory of human endeavour and imagination. Collections and services should not be subject to any form of ideological, political or religious censorship, nor commercial pressures. The following key missions which relate to information, literacy, education and culture should be at the core of public library services: 1. creating and strengthening reading habits in children from an early age; 2. supporting both indiVidual and self conducted education as well as formal education at all levels; 3. providing opportunities for personal creative development; 4. stimulating the imagination and creativity of children and young people; 5. promoting awareness of cultural heritage, appreciation of the arts, SCientific achievements and inno-{ations; 6. 7. 8. 9.

providing access to cultural expressions of all performing arts; fostering inter-cultural dialogue and favouring cultural diversity; supporting the oral tradition; ensuring access for Citizens to all sorts of community information;

174

ELECTRONIC LmRAlUES IN

21" CEN'TVRY

10. providing adequate information services to local enterprises, associations and interest groups; 11. facilitating the development of information and computer literacy skills; 12. supporting and participating in literacy activities and programmes for all age groups, and initiating such activities if necessaxy. The public libraxy shall in principle be free of charge. The public library is the rClsponsibility of local and national authorities. It must be supported by specific legislation and financed by national and local governments. It has to be an essential component of any long-term strategy for c\llture, information provision, literacy and education. To ensure nationwide library coordination and cooperation, legislation and strategiC plans must also define and promote a national library network based on agreed standards of service. The public libraxy network must be designed in relation to national, regional, research and special libraries as well as libraries in schools. colleges and universities. A clear policy must be formulated. defining objectives, priorities and services in relation to the local community needs. The public libraxy has to be organized effectively and professional standards of operation must be maintained. Cooperation with relevant partners - for example, user groups and other professionals at local, regional, national as well as international level- has to be ensured. Services have to be physically accessible to all members of the community. This requires well situated library buildings, good reading and study facilities, as well as relevant technologies and sufficient opening hours convenient to the users. It equally implies outreach services for those unable to visit the library. The libraxy services must be adapted to the different needs of communities in rural and urban areas. The librarian is an active intermediary between users and resources. Professional and continuing education of the librarian is indispensable to ensure

DIGmSED OPPoRTI.ll'U1'IES IN LIBRARIES

175

adequate services. Outreach and user education programmes have to be provided to help users benefit from all the resources. Decision makers at national and local levels and the library community at large, around the world, are hereby urged to implement the principles expressed in this Manifesto. The school library provides information and ideas that are fundamental to functioning successfully in today's information and knowledge-based society. The school library equips students with life-long learning skills and develops the imagination, enabling them to live as responsible citizens. The school library offers le~rning services, books and resources that enable all members of the school community to become critical thinkers and effective users of information in all formats and media. School Libraries link to the wider library and information network in accord with the principles in the IFLA/UNESCO Public Library Manifesto. The library staff support the use of books and other information sources, ranging from the fictional to the documentary, from print to electronic, both on-site and remote. The materials complement and enrich textbooks, teaching materials and methodologies. It has been demonstrated that, when librarians and teachers work together, students achieve higher levels of literacy, reading, learning, problem-solving and information and cummunication technology skills. School library services must be provided equally to all members of the school community, regardless of age, race, gender, religion, nationality, language, professional or social status. Specific services and materials must be provided for those who are unable to use mainstream library services and materials. Access to services and collections should be based on the United Nations Universal Declaration of Human Rights and Freedoms, and should not be subject to any form of ideological, political or religious censorship, or to

176

ELECTRONIC

LmRARIES IN 210T

CENTURY

commercial pressures. The school library is essential to every long-term strategy for literacy. education. information provision and economic. social and cultural development. As the responsibility of local. regional and national authorities. it must be supported by specific legislation and policies. School Libraries must have adequate and sustained funding. for trained staff, materials. technologies and facilities. They must be free of charge. The school library is an essential partner in the local, regional and national library and information network. Where the school library shares facilities and/or resources with another type of library. such as a public library. the unique aims of the school library must be acknowledged and maintained. The school library is integral to the educational process. The following are essential to the development of literacy. information literacy. teaching. learning and culture and are core school library services: supporting and enhancing educational goals as outlined in the school's mission and curriculum; developing and sustaining in children the habit and enjoyment of reading and learning. and the use of libraries throughout their lives; offering opportunities for experiences in creating and using information for knowledge. understanding. imagination and enjoyment; supporting all students in learning and practising skills for evaluating and using information. regardless of form. format or medium. including sensitivity to the modes of communication within the community; providing access to local. regional. national and global resources and opportunities that expose learners to diverse ideas. experiences and opinions; organizing activities that encourage cultural and social awareness and sensitivity;

DIGmSED OppoRTVl'IITIES IN

LmRARlES

177

working with students, teachers, administrators and parents to achieve the mission of the school; proclaiming the concept that intellectual freedom and access to information are essential to effective and responsible citizenship and participation in a democracy; promoting reading and the resources and services of the school library to the whole school community and beyond. The school library fulfils these functions by developing poliCies and services, selecting and acquiring resources, providing physical and intellectual access to appropriate sources of information, providing i.1.structional facilities, and employing trained staff. The school librarian is the professionally qualified staff member responsible for planning and managing the school library, supported by as adequate staffing as possible, working together with all members of the school community, and liaising with the public library and others. The role of school librarians will vary according to the budget and the curriculum and teaching methodology of the schools, within the national legal and financial framework. Within specific contexts, there are general areas of knowledge that are vital if school librarians are to develop and operate effective school library services: resource. library, and information management and teaching. . In an increasingly networked environment, school librarians must be competent in planning and teaching different information-handling skills to both teachers and students. Therefore they must continue their professional training and development. To ensure effective and accountable operations: the policy on school library services must be formulated to define goals. priorities and services in relation to the school's cUrriculum; the school library must be organized and maintained according to professional standards;

178

ELECTRONIC LIBRARIES IN

21ft

CENTURY

services must be accessible to all members of the school community and operate within the context of the local community; co-operation with teachers. senior school management. administrators. parents. other librarians and information professionals. and community groups must be encouraged.

IFLA Internet Manifesto Unhindered access to information is essential to freedom. equality. global understanding and peace. Therefore. the International Federation of Library Associations (IFLA) asserts that: Intellectual freedom is the right of every individual both to hold and express opinions and to seek and receive information; it is the basis of democracy; and it is at the core of library service. Freedom of access to information. regardles~ of medium and frontiers. is a central responsibility of the library and information profession. The provision of unhindered access to the Internet by libraries and information services supports communities and individuals to attain freedom. prosperity and development. Barriers to the flow of information should be removed. especially those that promote inequality. poverty. and despair.

Internet, Libraries and Information Services Libraries and information services are vibrant institutions that connect people with global information resources and the ideas and creative works they seek. Libraries and information services make available the richness of human expression and cultural diversity in all media. The global Internet enables individuals and communities throughout the world. whether in the smallest and most

DIGITISED OPPoRTUl'IlTIES IN LmRAIUES

179

remote villages or the largest cities, to have equality of access to information for personal development, education, stimulation, cultural enrichment, economic activity and informed participation in democracy. All can present their interests, knowledge and culture for the world to visit. Ubraries and information services provide essential gateways to the Internet. For some they offer convenience. guidance, and assistance, while for others they are the only available access points. They provide a mechanism to overcome the barriers created by differences in resources. technology, and training. Access to the Internet and all of its resources should be consistent with the United Nations Universal Declaration of Human Rights and especially Article 19: Everyone has the right to freedom of opinion and expression; this right includes freedom to hold opinions without interference and to seek, receive and impart information and ideas through any media and regardless of frontiers. The global interconnectedness of the Internet provides a medium through which this right may be enjoyed by all. Consequently. access should neither be subject to any form of ideological, political or religious censorship, nor to economic barriers. Libraries and information services also have a responsibility to serve all of the members of their communities, regardless of age. race, nationality, religion, culture, political affiliation, physical or other disabilities, gender or sexual orientation, or any other status. Libraries and information services should support the right of users to seek information of their choice. Libraries and information services should respect the privacy of their users and recognize that the resources they use should remain confidential. Libraries and information services have a responsibility to facilitate and promote public access to quality information and communication. Users should be assisted with the necessary skills and a suitable environment in which to use their chosen information sources and services freely and confidently.

180

ELECTRONIC

LmltAlm:s

IN'

21ST CItNTVRY

In addition to the many valuable resources available on the Internet, some are incorrect, misleading. and may be offensive. Librarians should provide the information and resources for library users to learn to use the Internet and electronic information efficiently and effectively. They should proactively promote and facilitate responsible access to quality networked information for all their users, .including children and young people. In common with other core services, access to the Internet in libraries and information services should be without charge. IFLA encourages the international community to support the development of Internet accessibility worldwide, and especially in developing countries, to thus obtain the global benefits of information for all offered by the Internet.

CHAPTER 6

MULTILINGUAL CLASSIFICATION IN LIBRARIES Digital libraries hold items that are of the same nature of traditional libraries as for example digitized books, maps, manuscripts, etc. Besides that, digital libraries are natural bases to distance learning as traditional libraries have been to face-to-face learning. In this model the digital library contains all the learning objects (LO's), besides links to other libraries, references, etc. To implement this model, all the LO's must be treated as library items before they are stored and, in a second step, related to courses. Currently it contains 15 attributes that are considered the minimum set to describe an item of a digital library. Other metadata schemes are used, as for example the metadata specification of the Library of Congress that has almost 80 pieces from which, apprOximately, 20 are required 13. The LC metadata specification, obviously, contains the 15 elements of DC set. Information technology has played an important role in education for the last 10 years specially when distance learning is considered. The Internet has become an important tool to distance learning: WBE is the designation of Web Based Education and it is well known in the distance learning community. Since the digital contents used for education are items of a collection, they must be identified to be made available.

182

ELECTROl'flC LmRARIES IN 21 0T CENTURY

Both organizations are seriously committed to the creation of standards for distance learning with the support of information technology and the identification of the LO's is one of the concerns. The metadata scheme is one of the characteristics that the digital library & distance learning system has. Other characteristics are grouped into two main categories -the functions and the technological environment. Once the compliance to one of the metadata schemes is chosen, the other cataloging attributes must be defined from the specifications of the system functionality. This is necessary to assure the system operability since many information pieces are necessary to satisfy specifications of the local environment. Digital libraries, WBE and ecommerce/e-business deal with items that must be identified, with sets of systems functions and technology standards. This makes them analogous in terms of problems and solutions.

Maxwell System A multilingual digital library is implemented and operating in the Maxwell System of the Department of Electrical Engineering of PUC-Rio. This system is the implementation of a digital library, a distance learning environment and all the administrative infrastructure to support both. In the case of this system, not only the digital library is multilingual, the whole system is multilingual. It is also multi-institution and multi-system. Although the Maxwell System can have as many languages as deSired, the choice was to use Portuguese, Spanish (the language of our Latin American neighbors) and English. The implemented metadata scheme considered the speCifications of both communities (WBE and libraries/ digital libraries) since the Maxwell System Digital Library holds LO's besides articles, manuals, ETD's, administrative documents, etc. Many LO's are not electronic versions of originally paper supported contents; they are born digital objects -

MUL1'IUNGUAL CLAssmCA1'ION IN

LIB.RARIES

183

animations, simulators, interactive exercises, etc. that were developed for educational purposes and stored in the system digital library. Because of the LO's, other attributes were added to the metadata set in the system - the ones of interest to the operfltion. of the system and to the information that the university requires. For example, the ETD functionality of the digital library added new attributes to the cataloging such as examining committee. date of presentation, date of acceptance, funding agency, etc. Some attributes are specific of some types of library items. Nevertheless, there is a minimum set that all items must comply with, both in terms of contents and of instances. Language control parameters is one of the metadata in all metadata schemes. It is also used in traditional libraries since it is necessary to inform the library user when the record is retrieved to make sure he/she can understand its contents. In the Maxwell System Digital Library, contents and instances are cataloged in 3 languages (Portuguese, Spanish and English). Therefore, all information on contents and instances that is language dependent exists in the 3 languages and has a language code associated to it. The Dublin Core Metadata Specification requires 'subject' as one of the cataloging attributes. The contents of this field can come from traditional lib~ary sources as subject headings, like the Library of Congress Subject Headings that is used all over the world in many languages. They can also come from a controlled set of keywords. This was the choice in this implementation. A multilingual controlled set of keywords was created. Each entry is identified by a number and a language code. English is mandatory with any other language. The number is used in the reco-rd and related to the vocabulary in the different languages by the use of a relational database. In the process of inputting elements to the controlled set, all words are transformed to uppercase characters

184

ELECTRONIC LIBRARIES IN

21ST

CENTURY

and accents are eliminated. The transformation is performed by the program and requires no actions from the cataloger. The database of the Maxwell System holds all the information that allow the management of contents, instances, users, courses, access control, etc. In many, if not most, of these tables there is data that is written in a language, as for example types of users, functions of the users, titles of the contents, abstracts. Other examples of information that are language dependent are keyword set, names of courses, syllabus of courses, etc. Ail the messages the system uses to communicate with users are, obViously, language dependent. Data that is not language dependent are the names of authors, names of students, electronic formats of objects, dates, etc. Since the system is multilingual, the functionality of ust.:.g the data in the right language, that is the language of the interface in ·use, must be implemented. For this reason, the database was designed to be neutral in terms language. Another characteristic of the multilingual digital library- 1.s the choice of the interface language. For this to be possible, the programs must be developed in a manner that all language dependent information be grouped in an area divided into sections, each one associated to one language. When the language control parameter specifying the navigation language is identified, the proper language section is displayed. The messages that are displayed (after some processing is performed) are stored in a database table whose primary key is a composite key containing the message number and the language code.

Digital Repository A digital repository is an organization that has responsibility for the long-term maintenance of digital resources, as well as for making them available to communities agreed on by the depositor and the repository. A national library responsible for ensuring

MUL1'ILINGUAL CLASSD'lCATION IN

LmRA1UES

185

long-term accessibility to large, diverse, and growing collections of digital resources, including online publications, complex multimedia products, the digital output of large imaging programs, and a range of special databases. The community it intends to serve is extremely diverse and may be defined as anyone, anywhere, anytime with access to a contemporary, lowest-common-denominator personal computer. This repository may operate as part of a legal deposit environment, and the producer/creator community may include almost anyone: large commercial publishers that already supply printbased resources to the library; new commercial publishers; individuals engaged in vanity publishing; research networks establishing scholarly Journals; digitlzation contractors; the institution's own staff; writers depositing papers, including computer fIles; etc. The national library may be also e.stablishing collaborative distributed archiving of some classes of digital collections, such as online publications, with regional and higher education libraries and other memory institutions, as well as publishers, with different partners exercising different levels of archiving function and responsibility over varying periods. The digital repository is being built in-house using Artesia software and implemented both selectively and incrementally. The library also recognizes a need to take more comprehensive views of digital resources at specified pOints in their lifecycle. A large university library with a growing collection of digital materials to support teaching and research, including online databases, electronic journals, digitized materials, digital. output of university staff and students, digital course .materials, and institutional records in electronic form. This repository serves. primarily the university's faculty, staff, and students, but secondary users include the wider academic community and local community members who purchase library privileges. The university assumes that users will gain access to digital

186

ELECTRONIC LmRARIES IN

21ft CEl'fI'VllY

collections on campus via the LAN or via the Internet using the high-speed academic network and a personal computer. The producer/creator community for the university library, like the national library, may include almost anyone, from an individual scholar to a large commercial publisher. Locally, the university will have some control over the creation of digital materials, but most of it comes from producers over whom the library exercises little or no influence. The digital repository is hosted through the university computer service, which is contracted to provide this service to the library. A museum with a growing collection of digital materials, including surrogates of museum objects. surrogates created for online exhibitions, and original digital art. The community the museum serves is very diverse and comprises students. tesearchers, artists, the general public, and organizations seeking digital material for commercial use. The producer/creator community for the museum, unlike that of the national and university libraries, is generally individual artists over whom the museum has little control. The museum does have control in the creation of some digital surrogates, though not all. The responsibility for archiving the digital materials for the long-term-regardless of creator-belongs to the museum alone. Because the museum lacks technical infrastructure and qualified staff, it will contract with a thirdparty archiving service so that its materials will be professionally managed, controlled, and backed up. The commercial service is based on an Oracle platform and is Open Archival Information System (OAIS) compliant. Access to materials in the repository is possible through seamless links between the museum's access management system and the repository. RLG and the Commission on Preservation and Access published Preserving Digital Information in 1996. The details made a clear statement about trust in digital archives:

MULTILINGUAL CIASSIFICATION IN

LIBRARIES

187

For assuring the longevity of information. perhaps the most important role in the operation of a digital archives is managing the identity. integrity and quality of the archives itself as a trusted source of the cultural record. Users of archived information in electroniC form and of archival services relating to that information need to have assurance that a digital archives is what it says it is and . that the information stored there is safe for the long term. The archival and computer professions promulgate a host of concepts and terms that lay a foundation for establishing the defining characteristics of dependable digital archiving repositories. Commonly used terms such as reliable. responsible. trustworthy. and authentic help to define the nature of the archival enterprise and its myriad relationships with those creating. managing. and using digital objects. Computer scientists worldwide have grappled with definitions and performance measures of trusted military systems for nearly 20 years. LikeWise. the airlines industry has required trustworthy. responsible. and authentic systems. In the last decade. groundbreaking work by archiVists in Australia. North America. and Europe has resulted in. fundamentally new approaches and tools that specify the nature and performance of accountable record keeping systems. And in the past few years. digital library experts have contributed their experience to a growing body of literature and' applications pertaining to the construction and maintenance of secure systems accommodating large quantities of digital resources. Archivists. digital library speCialists. computer SCientists. and others use the concept of reliability to express both expectations about and requirements for the nature of systems that contain and make available digital cultural materials. Archivists use the term trust to defme records. record keeping systems. and archiving organizations while experts in the fields of digital libraries

188

ELECTRONIC

Lma.uuEs

IN

21'"

C~y

and computer science increasingly use it to distinguish between reliable and unreliable digital repositories. A Guide to Understanding Audit in Trusted Systems was issued by the National Computer Security Center (NCSC) in 1988. This guide was a then-mature effort to identify the ways that trusted systems could be assessed and measured by third parties and focused very specifically on systems that processed classified military information. A trusted system had to be one that had built-in audit trails: A trusted 'computer system must provide authorized personnel with the ability to audit any action that can potentially cause access to. generation of. or effect the release of classified or sensitive information. The audit data will be selectively acquired based on the auditing needs of a particular installation and/or application. However. there must be sufficient granularity in the audit data to support tracing the auditable events to a specific individual who has taken the actions or on whose behalf the actions were taken. And in 1992. the NCSC issued Guidelines for Writing Trusted Facility Manuals. in which a trusted computer system was defiIl:.ed as one Mthat employs sufficient hardware and software assurance measures to allow its use for simultaneous processing a range of sensitive or classified information.

Trusted Computing Base

'-

The totality of protection mechanisms within a computer system-including hardware. frrmware. and software-the combination of which is responsible for enforcing a security policy. A TCB consists of one or more components that together enforce a unified security policy over a product or system. The ability of a TCB to enforce a security policy correctly depends solely on the mechanisms within the TCB and on the correct input by system administrative personnel of parameters related to the security policy.

MULTILINGUAL ClAssIFICATION IN LmRARIES

189

Trusted Path

A mechanism by which a person at a terminal can communicate directly with the TCB. This mechanism can only be activated by the person or the TCB and cannot be imitated by untrusted software. These NCSC documents augment a basic interpretation of trust with the concepts of auditability, security and communication. It should be noted that here communication refers to exchanges between a person and a machine. Later uses of the term denote different forms of exchange. In 1996, the University of Pittsburgh's School of Information Sciences developed a set of Functional Requirements for Evidence in Recordkeeping in which a compliant conscientious record keeping organization was deSCribed as follows: Organizations must' comply with the legal and administrative requirements for recordkeeping within the jurisdictions in which they operate, and they must demonstrate awareness of best practices for the industry or business sector to which they belong and the business functions in which they are engaged. Compliance and auditability are linked concepts here, establishing a direct and inarguable connection between performance and assessment. By using the term conscientious to describe an archiving organization, the authors affirm their belief that a' repository must be meticulous in its operations if it wishes to act responsibly. Two new concepts appear in this reference: compliance and conscientiousness. Knowing what the rules are is a central part of the design of trusted systems. Necessary security requirements vary based on the type of work being protected, but requirements for the most valuable works should include detection and prevention of tampering. One trusted system has to be able to recognize another trusted system. Copying can be permitted if it is strictly controlled in accordance with the creator's and/or distributor's and rights and interests. A "reliability layer"

190

ELECTRONIC LIBRARIES Jl'I

210T

CEN'nJRY

within the distributed archival repository architecture encompasses a series of functions and mechanisms that the authors believe results in a reliable environment for preserved objects. Some of the functions identified include: Detection and restoration of missing/corrupted information. Communications among trusted components. User security. intellectual property management. query processing. Import/ export facility to move objects into and out of the store. Here is another bid for three definitional components: communication. security. and replication. Communication in this instance involves exchanges between parts of a system and also between federated member systems. The authors also introduce two new concepts: backup poliCies and avoiding. detecting. and restoring lost/corrupted information. In May 2000. the Digital Library Federation (DLF) proposed a set of Minimum Criteria for an Archival Repository of Digital Scholarly Journals. Focusing on only -one class of digital object (digital scholarly journals). their seven criteria include a mix of definitional and functional requirements. Two criteria refer to the defining characteristics of the organisation itself: A digital archival repository will be a trusted party that conforms to minimum requirements agreed to by both scholarly publishers and libraries. A repository will define its mission with regard to the needs of scholarly publishers and research libraries. It w1ll also be explicit about which scholarly publications it is willing to archive and for whom they are being archived. The DLF placed trustworthiness at the center of its definitional requirements. although it did not specify exactly how the trust can or should be demonstrated.

MULTILINGUAL CLASSlFICA'nON IN LIBRARIE8

191

Further work, im olving community experts, institutions, and publishers in designing trusted digital archives for journal publications.

Trusted Digital Rt'pcsitories A brief look back over a I5-year period highlights both remarkable similarities and encouraging growth in the way different sectors have matured their thinking about reliability and trust. The significant words and phrases from this limited group of experts are: Auditability, security, and communication. Compliance and conscientiousness. Certification, copying controls, and following rules Backup policies and avoiding, detecting, and restoring lost! corrupted information Reputation and performance. Agreements between creators and providers. Open sharing of information about what it is preserving and for whom. Balanced risk, benefit, and cost. Complementarity, cost-effectiven~ss, scalability, and confidence. Evaluation of system components. These various definitions of responsible digital archives, record keeping systems, and computer networks can provide the substance for building blocks in the construction of a sensible and persuasive definition of a trusted digital repository. A proposed definition, incorporating many of the implicit and explicit assertions found in the U~erature of archival administration, computer science, and librarianship is: A reliable digital repository is one whose mission is to provide long-term access to managed digital resources; that accepts responsibility for the long-

192

ELECTRONIC LmRARIES IN 21ft CEl'ITURY

term maintenance of digital resources on behalf of its depositors and for the benefit of current and future users; that designs its system(s) in accordance with commonly accepted conventions and standards to ensure the ongoing management, access, and security of materials deposited within it; that establishes methodologies for system evaluation that meet community expectations of trustworthiness; that can be depended upon to carxy out its long-term responsibilities to depositors and users openly and explicitly; and whose policies, practices, and performance ean be audited and measured. Even one that can be agreed to by providers and c:onsumers of these services, is not enough to provide guidance to those who wish either to select an archiving agency or to consider setting up and running one themselves. In order to distinguish reliable digital repositories from unreliable ones, attributes need to be identified which, when all are present, convince the community that a particular repositoxy can be trusted with the long-term management of digital cultural materials. The following attributes represent a proposed framework for assembling the community's thinking about reliability and trusted archiving organisations: Administrative responsibility Organizational viability Financial sustainability Technological suitability System security Procedural accountability.

Administrative Responsibility A trusted digital repositoxy will provide evidence that it has a fundamental commitment to implementing the range of community-agreed standards and best practices that affect its operations-particularly those that directly influence its viability and sustainability. Its reputation for

MULTILINGUAL CLASSD'lCA'nON IN LIBRARIES

193

reliability will be an indicator of its trustworthiness. Administrative responsibility extends to meeting appropriate national and/or international standards for the physical environment. The trusted repository will me~t or exceed community standards for performance and will collect and share data measurements routinely with depositors. It will involve external community experts in validating ~d/ or certifying its processes and procedures on a regular schedule.

Organizations Organizations choosing to become trusted digital repositories will establish themselves in ways that demonstrate their viability and trustworthiness. Their mission statements will reflect a commitment to the longterm retention and management of and access to digital cultural assets on behalf of depositors and users. Their legal status and standing will be' appropriate to the range of responsibilities they are undertaking. Their business practices will be transparent and forthright. Staffing levels and areas of expertise will be appropriate to the work undertaken; further. staff training and professional development opportunities. including conference attendance and participation. will be given priority to ensure the currency of staff skill sets. The repository will establish management policies that reflect the commitments asserted in the mission statement. Written agreements with depositors will address all appropriate aspects of acquisition. maintenance. access. and withdrawal. Further. ongoing risk management and contingency planning will play a routine part of the organization's annual strategic planning activities. Financial SustainabUlly

A- trusted digital repository will adhere to all good business practices and should have a solid. auditable business plan in place. Normal business and fmancial fitness should be reviewed at least annually to ensure the

194

ELECTRONIC

LIBRAJuEs

IN

21 IT CENTURY

long:-term sustain ability of the enterprise. Standard accounting procedures should be used. Both shortand long-term financial planning cycles should be in evidence. demonstrating an ongoing commitment to seeking a balance of risk. benefit. investment. and expenditure. Operating budgets and resexves should be adequate for enterprises engaged in long-term operations serving a public good. Development opportunities for new sources of revenue should be explored routinely. All appropriate fiscal practices and conduct will be in place to ensure the sustainability of the repository. Technological Suitability

Community experts currently advocate a range of presexvation strategies. A trusted digital repository will consider all relevant options and will communicate openly about the suitability of variant strategies. It will ensure that it has in place all appropriate hardware and software to undertake the forms of acquisition. storage. and access it promises to make available. The repository will also have policies and plans for replacing technology as needed. including cycles of replacement and funding to achieve them. The repository will comply with all relevant standards and best practices. ensuring that staff have adequate expertise to understand and implement them. It will also undergo regular external audits on its system components and performance.. Systemm

Sec~ty

All systems used in the operation of trusted digital repository will be designed to assure the security of the digital assets managed there. Policies and practices will meet community requirements. particularly those pertaining to copying processes. authentication systems. firewalls. and backup systems. The repository will have written policies and plans for disaster preparedness. response. and recovery. and staff will be trained in carrying out appropriate responsibilities. Special attention will be given to processes that sexve to avoid loss of data.

MULTILINGUAL CI.ASSInCATlON IN LmRAIUES

195

detect changes in data, and restore lost or corrupted data. Any detected changes will be documented and the depositor will be notified both of the changes and any resulting actions taken. Procedural AccountabiUty A trusted digital repository is responsible for a range of interrelated tasks and functions; it will therefore be accountable for all relevant poliCies and procedures. Repository practices will be documented and made available on request. Monitoring mechanisms that measure and ensure the continued operation of all systems and procedures will be in place. Preservation strategies undertaken will be recorded and justified in the context of community-wide best practices. Feedback mechanisms will be in place to support thL resolution of problems and to negotiate the evolving requirements between archive providers and consumers.

Certification In Preserving Digital Information, the CPA/RLG task force stated that "a process of certification for digital archives is needed to create an overall climate of trust about the prospects of preserving digital information." The prospects of preserving digital information relate directly to the framework of trusted repository attributes outlined above: administrative responsibility, organisational viability, finanCial sustainability, technological suitabilitY, system security, and procedural accountability. Unfortunately, no certification program or process covers these aspects, in total. Libraries and archives are left to hope that potential third-party archiving services adhere to relevant standards for data centers and computer rooms, but even those best practices lack crucial elements for trusted systems. Libraries and archives need a set of standards and/or best practices, criteria for assessment and measurement, and mechanisms to certify repositories of digital information as archives.

196

ELECTRONIC

LIBRARIEs IN 21" CE1ft1JRY

At least two viable models for certification are in use and well known within the library and archives community: the audit model and the standards model. The audit model is applicable to depositories holding government records. especially electronic records. In the US. such depositories must meet gUidelines created by governmental agencies such as the Department of Defense or legislated by government. The standards model operates in a variety of places throughout the library and archival community. Two examples of the standards model for certification would be gUidelines for producing presexvation-quality microfilm and ISO interlibrary lending. Institutions involved in presexvation microfilming or interlibrary loan adhere to standards that appropriate agencies have certified as valid and appropriate. Peer institutions then "certify" the product or seIVice by their acceptance and/or use of it. While both models work well. neither can completely address the range of activities. functions. and responsibilities associated with digital repositories. In 1999. experts gathered at the Archival Workshop on Ingest. Identification. and Certification Standards (AWIICS) to begin developing standards speCifically appropriate to the needs of digital repositories. Leading the discussion on certification. Bruce Ambacher. National Archives and Records Administration-Center for Electronic Records. identified four general approaches to certification: individual. archival programme. process. and data. These four approaches are given below: Individual: Individual. professional certification or accreditation is sometimes referred to as personnel certification. In the context of traditional archival settings. certification of archivists is possible through a combination of education. work experience. and a competencies examination administered by the Academy of Certified Archivists (ACA). Nothing equivalent exists for electronic archiving or digital repository management. Programme: Certification of a program or institution can be achieved through a combination of selfevaluation

MULTILINGUAL CLAssmCATlON IN LmRARIES

197

using standardized checklists and criteria and site inspections typical of program accreditation. Three models are the Society of American Archivists Evaluation of Archival Institutions, the HMC Approval from the Historical Manuscripts Commission (UK), and the Museum Assessment Program from the American Association of Museums. For these particular certifications, areas assessed include legal authority, governing authority, financial resources, staff, facilities, collection development, collection preservation, access, and outreach. ProceS!i: Process certification assesses methods and procedures that can be subjected to either quantitative or qualitative gUidelines to guarantee adherence to all internal and external requirements. Data: Data certification is concerned with two main aspects of the stored data: data persistence or reliability over time and data security. Certification for data perSistence would include both internal and external quality control through processes such as ISO 9000:2000 and procedures manuals. It would also include documenting the processes used when migrating data, creating and maintaining metadata, updating data or files, and authenticating new copies. Issues related to data security have been addressed by the Public Key Certification Policy and Certification Practices Framework-because of the e-commerce boom, however, not because of the needs of digital archiving. This framework, which was established to deal with user authentication and user communication in ecommerce transactions, handles access control issues for repositories and removes the need for additional data security certification. The participants in the AWlICS workshop agreed that, collectively, elements from each of these four certification processes could form a certification program that provides layers of trust. Such a layered approach should . convey a high degree of confidence that thr' information an archive disseminates is the same as the information it

198

ELECTRONIC

LIBRARIEs

IN

21ST

CENTURY

ingested and preserved, with full documentation for all necessary modifications. A preliminary checklist for certification was created at the workshop and will serve as a tool for further work within the OAlS standardisation activities. While work on certification has been delayed within the OAlS realm, both the checklist concept and the certifiable elements enviSioned at the workshop provide a base for developing a certification framework. A Framework for Developing a Certification Programme Representatives from interested communities and expert stakeholders can and should develop a program for certifying trusted digital repositories. One way to frame the necessary development work is to break down the identifiable steps and illustrate each with examples from related fields and disciplines. Some certification programmes are based on selfassessment while others depend on third-party examiners. Advantages and disadvantages of both should be weighed and a determination made as to which is most appropriate to this particular need. For most ISO standards, certification combines third-party examination and self-assessment. ISO does not check on implementations of their standards. Instead, partnerships are established with relevant communities and/or profeSSional organisations and guides (checklists) are jointly developed to assess conformance to standards. Depending upon the standard, self-assessment may be all that is needed to judge compliance. In other cases, thirdparty examiners from professional organizations, private enterprise, or regulatory bodies use the checklists to assess compliance. Identify the attributes to be measured: If the proposed attributes are used as the basis for a certification programme, each component part will need to be analyzed and checklists or other measuring tools will need to be developed that allow for an objective assessment of compliance. In some cases, the translation of attributes into simple yes/no questions will be straightforward; in other cases, a· range of

MULTILINGUAL CLA8SU'lCATlON IN

LmRARIE8

199

checklists dovetailed with standard procedures and practices will need to be created. The preliminary checklist created at the AWIICS workshop can be used to assess a digital repository by both qualitative and quantitative measures. The checklist conflates several types of certification into a single tool. allowing assessment against a range of standards and best practices. This work. instituted through the OAIS initiative. is valuable and should be continued. Specify the Jrequency or cycle oj certification: Community representatives and expert stakeholders will need to agree on how long certification remains valid. and also the timeframe and associated processes for recertification. Community representatives and expert stakeholders interested in the long-term survival of preservation microfilm worked together to create national standards for its storage. In the US. these standards require that storage facilities are to be inspected at two-year intervals. If deviations are detected or have occurred in the past. inspections are to be more frequent. Passing the inspection. which is itself also governed by a national standard, does not yield a certificate. but conveys a message of trust and responsibility through to the next inspection. Define the conditions Jor revocation oj certification: In some certification programs. the seal of approval automatically expires after a set period if recertification process is attempted or if an attempt is unsuccessful. In the UK. the Historical Manuscripts Commission (HMC) is charged with, tracking the existence. location. and nature of manuscripts and records for the study of British history. With that responsibility. the HMC inspects record repositories to make sure repositories are meeting the HMC Standard for Record Repositories. Failing to conform to their HMC Standard for Record Repositories can lead to several consequences for a repository: loss of HMC certification. loss of further

200

El.EcTROl'UC LIBRARIES IN

210T CENTURY

document deposit with the repository; and finally, failing to fix problems and regain certification. can· lead to removal of all documents to anpther approved repository.

Responsibility and

Digit~l

Preservation

If the future of scholarship is to be secured, repositories need to understand fully what responsibility they should assume for the preservation of digital materials. Responsibility must be understood at three basic levels.

Organizations must first understand their own local requirements. They need to understand which other organizations might share some of the responsibilities through geography or existing arrangements such as consortial agreements or shared user communities, disciplines, or format of materials. They need to understand which responsibilities can be shared and how. Assuming that the general model for digital repositories is more or less distributed, its success relies on shared understanding across the federation or network of repositories of their respective duties and roles. Comprehensive coverage within the collections and effective interoperability across repositories will rely on such understandings.

Collection of Digital Materials Digital materials for libraries and archives range from simple digital files to complex multimedia and database resources. The sheer variety of digital materials and the role that they play in the collection make development and application of collections poliCies very challenging. The existence or lack of a physical equivalent or counterpart influences decisions about whether and how the digital resource is preserved.

MULTILINGUAL CLASSIFICATION IN LmRARIES

201

For materials that have a physical counterpart. preservation decisions take into account considerations such as the condition of the original materials and the reason for digitizing. Materials that are Mborn digital" can present more challenging problems because their Mbeing digital" is not only a method of access. it represents their value as an information artifact. For many born-digital resources. effective preservation will rely as much on preservation of the' object's digital characteristics or properties as on preservation of its basic intellectual content. More importantly. when a library or archive digitises its own collections. it can control decisions about standards. formats. quality control. and documentation. The preservation of materials generated outside may not include this degree of control.

Preservation Decisions Preservation decisions for digital items cannot wait until continued use of the materials has proved they are worth keeping. Postponing preservation decisions can and most often will result in preservation actions that are more complex. more labor intensive. and more costly. A resource can even be held hostage by an obsolete piece of software. It is also important to accept the fact that digital information is more transitory and mutable. so there is little likelihood of its surviving through benign neglect. Preservation requires active management that begins at the creation of the material and depends on a proactive approach by digital repositories " and the cooperation of the stakeholders. including data providers. The Wide Range of Stakeholders Content creators. systems developers. custodians. and future users are all potential stakeholders in the preservation of digital materials. and this complicates the determination of responsibilities-who. when. and for how long. Often. those creating digital materials or designing digital content management systems do not take great interest, in their long-term preservation.

202

ELECTROlUC LIBRAIUES IN

2187 CEl'ITVRY

Responsibility for preservation has traditionally been conSidered alongside ownership of the materials; that is, the owner of the materials was responsible for determining their lifespan. However, ownership of digital materials is not often straightforward. While a book can be taken into the collection and set upon the shelf, digital materials are less tangible. For a growing number of digital materials considered "integral" to research collections and archives, access is provided through licensing arrangements-often through a "deal" with a regional or national consortium. Licensing arrangements can apply to either the digital content itself or to software necessary for specific functionality and access to the content. Although the organization may own the right to access material or use the software for a specified period, there is often no guarantee of rights beyond the terms of the license. While commercial publishers are beginning to provide some guarantee of continuing access, mosf licensing agreements are still perilously vague about how the digital repository will be maintained and how long-term access will be ensured. Reliance solely on creators or producers of digital materials for long-term preservation is potentially risky, not least because digital resources are not generally created or engineered with long-term preservation in mind. It will require increased cooperation and effective communications with publishers, software suppliers, and other producers to ensure that what is deposited is a copy of the data object in the format most suitable for preserving the materials over the- long term. In this situation, understanding the important difference between long-term preservation and short term accessparticularly while materials are still commercial viable-is critical. Libraries may require different license arrangements for long-term preservation than for enduser access. Often, rights that relate to the software and systems used to create the material impinge on its preservation.

IitJLTlUNGUAL CLASSIFICATION IN LmRARIES

203

Very little, if any work, has been done with software vendors to raise awareness about the longevity of their materials in the interests of future scholarship and research. Digital preservation has even wider legal implications. How preservation infringes on copyright remains unclear. The content creator does not usually own the rights to the software and systems used to create the digital file. This raises legal issues when access or changes to those systems are necessary. In such cases, at best, a repository will need to arrange separate rights clearance for long-term maintenance; at worst, presexvation will be compromised because rights clearances for access cannot be obtained. Some work has been done on the establishment of repositories for software to help address these concerns, however the research repository community will need to make an appeal to have this conflict taken into consideration in the creation or renewal of national deposit legislation.

Implications of Cost Although not a great deal is known about the costs of preserving complex digital objects over time, there is an accepted wisdom in t:Pe library community that digital presexvation will require ongOing resource commitmentspotentially more than for traditional materials, but certainly different. Traditional and digital preservation should be compared with some caution, be~ause the complex dependencies between long-term maintenance and continuing access make comparison problematic. Indeed, for digital materials that have no analog equivalent, comparison is meaningless. Although it may be too early to compare the costs of digital and traditional preservation meaningfully, one thing is certain: preserving digital materials will require resource commitments over time. While traditional materials, for example, may have ongOing costs for stable storage environments, digital materials will also require periodic analysis and the

204

ELECTRONIC LIBRARIES IN

21aT

CENTURY

application of new technical strategies to ensure continuing access. Digital preservation is also likely to draw on resources longer than traditional preservation does. and it may be the case that different technical strategies will prescribe quite different costing timeframes and schedules. The lack of standardization in both the resources themselves and the licensing agreements with publishers and other data producers. making economies of scale difficult to achieve. The as yet unresolved means of reliably rendering certain digital publications so that they do not lose essential information after technology changes. That. for some time to come. the costs of digital preservation may be added to the costs for traditional collections. unless cost savings can be realised. Digital technologies and applications shift rapidly; strategies to preserve objects resulting from new approaches must keep pace. The inherent mutability of digital preservation therefore makes it difficult. if not impossible. to establish concrete costs for all associated activities. Further. the uncertainty of the financial commitment represented by digital preservation makes assuming preservation responsibilities more complex. However. although work can be done to understand how costs will play out and where saving can be made. the preservation of digital materials Cannot wait for exact information because it may never appear. What will be important is an understanding of where the main costs are likely to fall and how. within existing practices. these can be incorporated to achieve economies of scale. In addition. that ways that other stakeholders (e.g.. content providers) can decrease costs should be explored. Repositories that currently provide gUidelines for depositors include the Cornell University Library. Arts and Humanities Data Service (AHDS). and the National Library of Australia. Repositories will also need to understand more about the advantages of collaborative approaches. Although. ii all participants' costs are totaled. distributed archiving is unlikely to cost less than

MULTILINGUAL CLAS8lFlCATJON IN LmRARIES

205

using a single. centralized repository. a shared operation will cost less pu organization; that is, the costs may be easier to absorb across multiple institutions. Integrating digital preservation into the everyday management and organization of the library or archive will help ensure that the necessary skills and knowledge are embedded within the organization for the earliest and most effective savings or economies of scale. The functions of a digital repository parallel those of traditional repositories. Broadly speaking. these functions describe how materials are submitted to the repository. how they are organized and managed within the repository. and. how continuing access to them is provided. One of the greatest challenges in accepting preservation responsibility within an organization is finding a shared vocabulary for stakeholders with a variety of backgrounds to use for productive discussion of the issues.

Repository Responsibilities This responsibility refers to all transactions between the content providers and the repository prior to formal submission into the repo&itory. The nature of these interactions is largely determined by the control or influence the repository has over the creation of the resources. Some repositories require content creators to conform to specific restrictions on the type 01" format of materials. while others exert little or no influence over the creation of materials. In most cases. some activity to prepare the materials for submission will be required. In a few case.:;. "aggressive rescue" or salvage measures will need to be taken. Negotiations would cover: Legal issues. involving all negotiations concerning copyright and other rights and appropriate clearance for long-term maintenance and continuing access. as well as short-term or immediat~ access in some cases. Separate negotiations may be necessary for current access and for long-term preservation. Long-

206

ELECTRONIC LIBRARIES IN

21ft CEN'l'URY

term preservation may be jeopardized if submission of materials is based solely on negotiations for current access, which can be more restricted to protect the commercial interests of the content provider. Preservation metadata based on agreed-on specifications. A repository has to ensure that agreements are in place with content providers about the bibliographic and technical metadata that accompany the submitted materials. Authenticity checks, confirming that the digital materials submitted to the repository are exactly what the content provider intended. Record keeping, with adequate documentation for the transactions between the repository and content provider. This responsibility relies on: Well-documented and agreed-on policies about what is selected for deposit, including, where appropriate, specific required formats . .I:Ufective procedures and workflows for obtaining copyright clearance for both short-term and immediate access, as necessary, and preservation. A comprehensive metadata specification and agreedon standards for its implementation. This is critical for federated or networked repositories and includes standards for the provision of rights metadata from content providers and for representing technical metadata. Procedures and systems for ensuring the authenticity of submitted materials. Initial assessment of the completeness of the submission. Effective record keeping of all transactions, including ongOing relationships, with content providers. The responsibility refers to activities following on the submission of ~aterial and involves preparation of the object for storage in the repository, inclUding:

MULTILINGUAL ClASSIFICATION IN LIBRARIES

207

Analysis of the digital content: The repository must, in consultation with the depositor/rights owner and systems managers, assess the digital object and determine which of its properties are significant for preservation. Rights clearances that have been obtained for copyrighted materials influence this analysis, as do collections management poliCies and documented collection strengths. This is the moment to apply poliCies about what formats are acceptable; any necessary migrations should have taken place. Once deciSions have been made about what will be preserved. this assessment should be automated as much as possible and the content analyzed systematically as material is deposited into the archive. Contin! ling Access Arrangements: A repository needs to choose a strategy for continuing access, which will need to be reevaluated regularly as technology changes. If an object relies on a complex technical environment or uses proprietary technology, an emulation of that environment might be deSirable either now or in the future, which affects the level of technical metadata required. Indeed, it may be that the repository stores an emulator, in which case some standards for the development of archivalquality emulators will be necessary. Verification of Metadata: Although metadata accompanies the object when it is submitted to the repository, it must be verified and, as necessary, enhanced to support the object's long-term maintenance as well as continuing access. Unique and Persistent Identification of Materials: Much work has been done on the need for unique and perSistent naming. Nowhere is this more relevant than in long-term preservation of digital materials. A repository needs to ensure that an accepted, standard naming convention is in place that identifies its materials uniquely and perSistently for use both in and outside the repository. In a

208

distributed model, it is particularly critical that the participating organizations agree to standard naming conventions. Creation of the archival irifonnation package: Digital repositories can store a digital object and its associated metadata in two ways: as a single byte stream or separately. For practical reasons, repositories may prefer to store the digital object within the repository and provide only pOinters or references to the associated metadata in different systems within the organization, such as bibliographic data stored in the library management system. Although such fragmentation of digital object and metadata may present problems in the future, many organizations are choosing "virtual encapsulation" to avoid duplicating metadata. However, some experts feel that, despite the increased costs of duplicating metadata, long-term preservation may be best served by storing the digital content and all of its relevant metadata as a single file within the repository. Authentication and integrity checking: The repository needs to ensure that mechanisms are in place for verifying the digital object, including all associated metadata. The repository should verify that the digital object can be rendered from the encapsulation back into its original form as it was submitted to the repository. This should include verifying not only the integrity of the byte stream but also confirming the object's usability and functionality. Archival storage: Whether archival storage is centralized or distributed, it relies on a robust and well-documented policy for storage and maintenance and for the expected level of service. For archival storage by a third party, service-level agreements are essential. The policy must include systems for routine integrity checking of the byte stream , once it has been established within the storage facility, and for disaster preparedness, response, and recovery.

MULTILINGUAL CLASSII'ICATION IN LmRARIES

209

This responsibility relies on: - Detailed analysis of an object or class of objects to assess its significant properties. Analysis should be automated as much as possible and informed by the collections management policy, rights clearances, the designated community's knowledge base, and policy restriction,s on specific .file formats. - Verification and creation of bibliographic and technical metadata and documentation to support the long-term preservation of the digital object according to its significant properties and underlying technology or abstract form, with monitoring and updating of metadata as necessary to reflect changes in technology or access arrangements. This involves understanding how strategies for continuing access, such as migration and emulation, influence the creation of preservation metadata. - A robust system of unique identification. - A reliable method for encapsulating the digital object with its metadata in the archive. A reliable archival storage faCility, including an ongoing programme of media refreshment; a programme of monitoring media; geographically distributed backup systems; routine authenticity and integrity checking of the stored object; disaster preparedness; response, and recovery policies and procedures; and security. Preservation takes place for the deSignated community: whether to preserve an object or class of objects is initially determined by how the repository's designated community values its content. Likewise, the cre.ation of the technical infrastructure to ensure access to the object depends entirely on the community's technical capability or knowledge ·base. In particular, the knowledge base determines the minimum level of associated technical metadata for long-term access.

210

ELECTROrnC

LIBRARIES

IN

21'" CENTURY

"Knowledge base" in this context does not necessarily imply any specific technical expertise on the part of the user; it is an assumption about the technical capability users will have available to them either as actual technical knowledge or through access systems. Traditionally, knowledge of a library's designated community was gleaned through face-to-face interaction. Generally, the user community was assumed to fit within a broadly defined "research" or "academic" community. These assumptions may not have been documented explicitly as part of the library's policy; if they were, it was not to influence the preservation or long-term retention of materials. Digital repositories, however, rely on a thorough understanding of their deSignated communities and a federation of repositories that distributes responsibilities, identifying and understanding the deSignated community is criti,cal, especially if the repositories have divided their collecting and archiving responsibilities along specific lines, such as particular data formats or subject areas. Research libraries and archives may find it difficult to identify the deSignated community because their users typically represent a wide variety of backgrounds and interests. A national archive or library, for example, preserves material for the whole nation-naturally, detailed knowledge of this deSignated community is impossible. However, with a thorough understanding of the knowledge base of their deSignated communities, repositories can limit the level of detail required for technical metadata and thereby contain costs. Knowing the deSignated community well can also help manage demand. Analysis and documentation of the repository's deSignated community; for federated or cooperating repositories, a shared understanding of the deSignated community. Ensuring the Information to be Preserved is Independently Understandable to the DeSignated Community "Independently understandable information" is information that the deSignated community can understand without the assistance of experts.

IIULTIUl'fGUAL CLASSIFICATION IN'

LumARms

211

Making digital information independently understandable poses formidable challenges because it is not itself humanly readable at any level-it relies on further digital information to make it meaningful. However, it is possible to stipulate that the technical metadata required for rendering binary data into meaningful digital objects correspond to the lowest common level of technical knowledge or capability in the deSignated community. For example, in the current technical climate, one might assume that any user could use a Web browser and an HTML file. Access and dissemination of objects from the repository will also need to reflect changes in both the technology and in the knowledge base of the designated community. It may be necessary to provide different migrated versions of objects as technologies change; whether this is also reflected in changes to the digital object and technical metadata will be determined by the organization's policies. Many repositories may change their contilllling access methods without changing the stored object itself. In other words, "on-the-fly" migration may be pro·vided for materials just for access, but the migrated version itself being not stored. Clearly defining the deSignated community and its level of technical capability will help limit the resources necessary to support this "lowest-common-denominator" approach. For organizations such as national repositories that have a very loosely defined community with a disparate knowledge base, this could prove very labor intensive. This responsibility relies on: Well-maintained and documented technical metadata that is kept aligned with the knowledge base of the deSignated community and with changing technolOgies. A "technology watch" to manage the risk as technology evolves and to provide continuing access and updated methods of access as necessary, such as new migrations or emulators. .

212

ELECTRONIC

LmRAlm:s IN 21 ST

CEl'ITIJRY

In the past. some organizations may have relied on vague or even unwritten policy for the governance of traditional collections. However. to ensure effective and efficient mechanisms for long-term preservation of and continuing access to its digital contents. a repository requires welldocumented and widely adopted policies-and welldocumented procedures to ensure their effective implementation. For distributed repositories. this means clearly articulated responsibilities across participating organizations and consortia. For research repositOries. a strategy or policy for preservation of digital materials may necessarily relate more widely to the organization's information strategy as a whole. More particularly. however. a policy for the preservation of digital files needs to sit comfortably within or alongside policies for nondigital content. The link between policy and procedure will also be critical. If the policy of a research repository sets different levels of collecti6n for long-term retention. each level will need a corresponding procedure. Over time, linked policies and procedures will help to reduce costs by supporting automation and scaling. Rather than consider each digital object individually at the point of deposit. procedures will automatically apply. based on the policy for a particular part of the collection. Making the preserved information available to the deSignated community providing access to materials is an integral responsibility of a digital repository. but access must be clearly defined in order. for a repository to understand its implications. Immediate access to materials will require different policies. such as license arrangements. and therefore different management than access to materials over time. If materials are only accessible in a particular format to a specific group of users for a designated period. different mechanisms will need to be in place than might be appropriate later. Access arrangements will change in accordance with changes in licenses. law. and technology and with local

MULTILINGUAL CIASSD'ICATION IN LmRARIES

213

resource constraints. Repositories also need to ensure as far as possible that decisions about access when materials are submitted do not limit what might be possible in the future. Resource discovery: To ensure access. a repository's users need to find materials. Many libraries and archives provide this through their main catalog. In practice. many objects to be deposited in a repository will arrive with existing-often very rich-bibliographic descriptions such as MARC or Dublin Core. either accompanying the object or available in an existing system. Authen1:icity: The authenticity of digital materials is more complex and potentially troublesome than that of traditional library or archival materials. While traditional materials can be physically verified. digital objects have less obvious evidence of authorship. ·provenance. or even context. For this reason. they give rise to suspicions that will be assuaged only by rigorous mechanisms throughout the repository for ensuring that the digital object is what it purports to be and that it is what was originally deposited into the repository. Authenticity checks are required at all functional levels of the digital repository: At submission. mechanisms must ensure that the object. as received. is what was intended by the content provider. The stored material needs a regular system of integrity checks to ensure the bytestreams are maintained. Physical and system procedures must be maintained and the available mechanisms for access to the original byte streams must be regularly checked; migrated versions must be verified and available emulators tested. Finally. the information provided to the user-the copy of the bytestream as well as the necessary metadata and rendering software-all requires verification. Legal issues: Legal restrictions-licenses and legislation-govern access to materials in a repository. and over time these change. Digital repositories

214

El.EcTROlUC LIBRARIES IN

21aT CEJI'IURY

require an infrastructure that can support a multiplicity of access arrangements for different materials and different types of users. Pricing: Repositories that govern access with a fee structure require mechanisms for managing electronic commerce. User support: For digital repositories, access, particularly older to materials, reqUires some level of user support. To a great extent, this will be determined by how the repository defines its designated community's knowledge base or technical capability. Record keeping: As part of the repository's administration function, it may be advisable to keep track of the dissemination of objects out of the repository. This responsibility relies on: A system for discovery of resources. Appropriate mechanisms for authentication of the digital materials. Access control mechanisms in accordance with licenses and laws, and an "access rights watch." Mechanisms for managing electronic commerce. User support programs.

CHAPTER 7

INFORMATION ACCESS IN LmRARIES Digital imaging technology offers distinctive advantages to institutions with impressive collections -of scholarly resources. Information content can be delivered directly to the reader without human intervention. Information content in digital form can be retrieved by readers remotely. although such delivery may tax the capabilities of even the most sophisticated projection equipment and networks. Digital image quality is extraordinary and is improving constantly. It is now possible to represent almost any type of traditional research material with such visual quality that reference to the original materials is unnecessa:ry for most. if not all. purposes. The power of full-text searching and sophisticated. crosscollection indexing affords readers the opportunity to make new uses of traditional research resources. Newly developed system interfaces combined with new ways to deliver manageable portions of large image data files promise to revolutionize the ways in which research materials are used for teaching and learning. It is no wonder that there is a nearly overwhelming rush to jump on the digital bandwagon. Pressures from all fronts to digitize traditional research materials carty distinctive risks. The required investment for digital image conversion is tremendous possibly dollars for each and every page or frame

216

ELECTRONIC

LmRARIES

IN

21ft CENTURY

converted. Digital imaging technologies require tremendous capital investment for underlying support systems in an environment of flat or marginally increasing budgets. Digital image conversion. in an operational environment. requires a deep and longstanding institutional commitment to traditional preservation. the full integration of the technology into information management procedures and processes. and significant leadership in developing appropriate defInitions and standards for digital preservation. The risk of loss is high-far higher than in most other programs and activities carried out in a cultural institution. The nearly constant swirl of product development that fuels perceptions of change raises the stakes higher still. When a library. archives. historical society. museum. or any other cultural organization with a preservation mandate stops experimenting with digital technology and decides to use it to improve services or transform operations. that institution has embarked down the preservation path. In the past few years. signifIcant progress has been made to defIne the terms and outline a research agenda for preserving digital information that was either "born digital" or transformed to digital from traditional sources. "Digital preservation refers to the various methods of keeping digital materials alive into the future." according to a recent statement from the Council on Library and Information Resources. Digital preservation typically centers on the choice of interim storage media. the life expectancy of a digital imaging system. and the expectation to migrate the digital fIles to future systems while maintaining both the full functionality and the integrity of the original digital system. Digital imaging technologies create an entirely new form of information from traditional documents. Digital imaging technology is not simply another reformatting option in the preservation tool kit. Digital imaging involves transforming the very concept of format. not simply creating a faithful reproduction of a book.

IIorolUlATION AccESS IN LmRAlUES

217

document, photograph, or map on a different medium. The power of digital enhancement, the possibilities for structured indexes, and the mathematics of compression and communication together fundamentally alter the concept of preservation in the digital world.

Digital World Preservation The essence of traditional preservation management is resource allocation. People, money, and materials must be acquired, organized, and put to work to prevent deterioration or renew the usability of selected groups of materials. Preservation largely is concerned with the evidence embedded in a nearly endless variety of forms and formats. Things are preserved so that they can be used for all kinds of purposes, scholarly and otherwise. People with the responsibility to do so have determined that some small portion of the vast sea of information, structured as collections of documents, books, collections, and other things, has research value as evidence well beyond the time and way intended by those who created or published it. This distinction between the value of the information content and the value of the evidence embedded in the artifact is at the heart of a decision-making process that is itself central to the effective management of both traditional and digital library materials. In the digital world, preservation is the creation of digital products worth maintaining over time. Each of these words carries weight. Preservation is a reality and not merely a metaphor for or symbol of access. Creation: The time to be concerned about the longterm persistence of digital products is when a system is designed and before digital conversion has begun. \

ha~ its own identity and exists within a market economy. It is not necessary to sell or license a digital product for the product to have an identity. within a community of end-users.

Products: A digital product

218

ELECTROl'lIC LmRARIES IN 21 0T CEl'fI'URY

Worth: The work to design and create a digital product adds value to the information contained in the documents that serve as sources. The value added to a digital product must ultimately result in a product that is an essential and vital capital resource to the institution that has chosen to create it in the first place. Maintaining: The perSistence of digital products requires careful attention to the maintenance of content (the bits and bytes) functionality (how the bits work in a system). Over time: Preservation in the digital world is not absolute. but depends instead (lll the continuing transformative impact of the digital product on the information work of end-users. It is impossible to come to terms with the responsibilities inherent in creating digital products without distinguishing between acquiring digital imaging technologies to solve a particular problem and adopting them as an information management strategy. Acquiring an imaging system to enhance access to library and archives materials is as simple as choosing the combination of off-the-shelf scanners. computers. and monitors that meets immediate functional specifications. Hundreds of cultural organisations already have invested in or are planning to purchase digital image conversion systems and experiment with their capabilities. Innumerable pilot programmes have shown how much more challenging it is to digitize scholarly resources than the modern office correspondence and case files that drove the technology two decades ago. In time. most of these small-scale. pilot programmes will fade away quietly-and the initial investment will be lost-as the costs of maintaining these systems become apparent. as vendors go out of business. and as patrons become more accustomed to remote-access image databases and the latest bells and whistles. Administrators who have responsibility for st:!ecting systems for converting materials with long-term value

Il'IFoRIIA110N AcCESS IN

LIBRAJUE8

219

also bear responsibility for preserving their investment in the product. This commitment is a continuing onedecisions about preservation cannot be deferred in the hope that technological solutions will emerge like a medieval knight in shining armor. An appraisal of the present value of a book. a manuscript collection. or a series of photographs in its original format is the necessary point of departure for making a judgment about preservation of the digital image version. The mere potential of increased access to a digitized collection does not add value to an underutilized collection. Similarly. the powerful capabilities of a relational index cannot compensate for a collection of documents whose structure. relationships. and intellectual content are poorly understood. Random access is not a magiC potion for effective collection management. The key to a successful conversion programmes or ongoing program lies in a thorough understanding of the relationships among three concepts. These concepts are: the characteristics of the source material being converted. the capabilities of the technology used to accomplish the digital conversion. and the purposes or uses to which the digital end product will be put.

Purposes of Digital Preservation It is possible to distinguish among three distinctive but not mutually exclusive preservation applications of digital technolOgies. defined in part by the possible purposes that the products may serve for end-users. Protect Originals: The most common application of digital technologies in an archive or library .is digital copies that can be used for ready reference in lieu of casual browsing through the original sources. Preservation goals are met because physical access to the

220

ELECTRONIC LmRARIES IN

21 ST

CENTtJ1tY

original documents is limited. Examples include image reference files of photograph, clipping, or vertical files that permit the identification of individual items requiring closer study. The original order of the collection, or a book, may be frozen much like microfilm sets images in a linear array. This preservation use of the technology has become a compelling force motivating archives and libraries to experiment with hardware and software capabilities. Represent originals: A digital system could be built that represents the information content of the original sources in such detail that the system can be used to fulfill most, if not all, of the research and learning potential of the original documents. High-resolution systems that strive for comprehensive and complete content and seek to obtain full information capture, based on emerging standards and best practices, fit this definition. Systems of this intermediate level of quality open new avenues of research and use and could have a transformative effect on the service missions of those who create the products. Transcend originals: In a very small but increasing number of applications, digital imaging holds the promise of generating a product that can be used for purposes that are impossible to achieve with the original sources. This category includes imaging that uses special lighting to draw out details obscured by age, use, and environmental damage; imaging that makes use of speCialised photographic intermediates; or imaging of such high resolution that the study of artifactual characteristics is possible. This category also includes digital imaging products that incorporate searchable full text (marked up or raw). Additionally, digital products that draw together, organize, and enhance access to widely dispersed research materials may have transcendental impact on the people who use them. Each of these preservation applications places separate but increasingly rigorous demands on digital technologies. In each case, the use of

INFoRMATION AcCESS IN' LIBRARIES

221

an intermediate film or paper copy to facilitate the scanning process mayor may not be necessary or advisable. The disposition of original sources is a matter quite separate from the decision to undertake digital conversion. Ultimately, the purpose of digital image products is determined by the uses to which they will be put, while preservation of original source documents must be determined by their specific preservation needs. Characteristics A major challenge in choosing paths from analog to digital is obtaining an in-depth understanding of the particular characteristics of the collections or the individual items being converted. The most important characteristics are: Format of the source (including size of object, its structure, and its physical condition) Physical condition and its impact on the ability of the item to be handled during the conversion process Visual characteristics (including the centrality of text versus illustration) Color as an essential carrier of information content Level of detail (including the size and style of typefaces, the type of illustrative content, and the overall range of tonal values). Beyond these specific characteristics, the degree of visual and physical similarity among the individual items in a given collection can have a significant impact on the cost, quality, and complexity of the conversion programmes. Digital conversion systems vary widely in capability and cost. Rigorous mechanical and electrical engineering plays a big role in the design and manufacture of specialized conversion tools. Many products are optimized for the conversion of a single type of document. All conversion tools have limitations in terms of the size of

222

ELECTROl'flC LmRAlUES IN

21ft CENT1JRY

source documents they can handle with a given level of digital resolution. The expected uses of the product may drive the choice of technological applications, but the opposite is not necessarily true. It is important to recognize that standards and best practices that support digital product development should not be driven by the present limitations of digital image capture, display, and output. Matters such as the limited resolution of today's display screens and projection devices, the limited bandwidth of wide and local area networks, and the limitations of resolution and tone reproduction in printers should not determine the quality thresholds of image system design. The relationships among source characteristics, technology capabilities, and the purposes of the end prcduct bear upon the definitions of qUality, cost, and access. In the area of quality, for example, an input source with particular characteristics, the limitations or costs of scanning technology at a given point, and the expected uses of the product interact to set the threshold requirements for image quality. The expected purposes of the digital product and the characteristics of the source interact with imaging technology capabilities to determine the cost of creating the product with the intended purpose. The same Is true for access, where the intellectual complexity of the source documents and the specification for the ways in which the image product will be used interact with the sophistication of the hardware and software tools for building metadata files and other associated indexes.

Preservation Principles In the past two decades, a consensus has emerged within a community of practitioners about a set of fundamental principles that should govern the management of available resources in a mature preservation program. The principles of preservation in the digital wqrld are the same as those of the analog world, and, in essence.

IKFoRIIATlOl'f

AccESs

IN

LIBRARIES

223

define the priorities for extending the useful life of information resources. These concepts are longevity. choice. quality. integrity. and accessibility. Preservation in the digital world is one of the central leadership issues of day. It is the shared responsibility of many people in many institutions fulfilling many roles. An understanding of the impact of this role differentiation on digital preservation action is crucial. Role differentiation helps archivists and librarians- acting as digital product developers-know when to control their use of digital technologies. when they need to influence trends. and when they need to relinquish any expectation for either control or influence. The transformation of longevity: The central concern in traditional preservation practice is the media upon which infonnation is stored. The top priority is extending the life of paper. film. and magnetic tape by stabilizing their structures and limiting the ability of internal and external factors to cause deterioration. The focus on external factors has led to specifications for proper enVironmental controls. care and handling guidelines. and disaster recovery procedures. Progress on efforts to corttrol or mitigate the internal factors of deterioration has resulted in alkaline paper standards. archival quality microfilm. mass deacidification. and more rugged magnetic media. And yet. now that archivists and librarians have defined the issues surrounding the life expectancy of storage media. the very concept of pennanence that has driven the search for "archival" media Is fading as a meaningful intellectual construct for preservation. Preservation in the digital context has little concern for the longevity of optical disks and newer. more fragile !lttorage media. The viability of digital image files depends far more on the life expectancy of the access system-a chain only as strong as its weakest component. Today's optical media most likely will far outlast the capability of systems to retrieve and intetpret the data stored on them. Since it can never be known for certain when a

224

ELECTROl'OC

I.IBR.utms

IN

210T CENTURY

system cannot be maintained or supported by a vendor. product developers must anticipate that valuable image data. indexes. and software will be migrated in their professional lifetimes to future generations of the technology. Digital managers can exercise a large measure of control over the longevity of digital image data through the careful selection. handling. and storage of rugged. well-tested storage media. They can influence the life expectancy of the information by making sure that local budgetary commitments are made conSistently at an appropriate level. Ultimately. they have no control over the evolution of the imaging marketplace. especially corporate research and development activities that have a tremendous impact on the life expectancy of the digital systems created today. The transformation of choice: Choice is selection. Preservation adds value through the process of selection. Choice involves defining value. recognizing it in something. and then deciding to address its preservatlon needs in the way most appropriate to that value. Over decades the act of preservatlon has evolved from saving material from oblivion and assembling it in secure buildings to more sophistlcated assessing of condition and value on already-collected materials. Preservation selection has largely been driven by the need to stret~h limited resources in as wise a fashion as possible. resulting in the dictum that "no item shall be preserved' twice." The net result is a growing virtual special collectlon of items preserved with a variety of techniques. most notably by reformatting on microfilm. Selection I is perhaps the most difficult of undertakings precisely because it is static and conceived by practitioners as either completely diverced from present use or completely driven by demand. Selection in the digital world is not a choice made once and for all near the end of an ttem'~ life cycle. but rather is an ongOing process intimately connected to the active use of the digital files.

iNFoRMA110N

AccEss

IN

LmRARIES

225

The value judgments applied when making a decision to convert documents from paper or film to digital images are valid only within the context of the original system. It is a rare collection of digital files. indeed. that can justify the cost of a comprehensive migration strategy without factoring in the larger intellectual context of related digital files stored elsewhere and their combined uses for teaching and learning. Even while recognizing that selection decisions cannot be made autonomously or in a vacuum. librarians and archivists can choose which books. articles. photographs. film. and other materials are converted from paper or film into digital image form. Influence over the continuing value of digital image files is largely vested in the right to decide when it is time to migrate image data to a future storage and access system and when a digital file has outlived its usefulness to the institution charged with preserving it. What digital product develop(;rs cannot control is the impact of their ongoing value judgments on the abilities of readers to find t;md use information in digital form. Unused digital products might as well not exist; they certainly will not survive for long as mere artifacts of the conversion process. The transformation of quality: Maximizing the quality of all work performed is such an important maxim in the preservation field that few people state this fundamental principle directly. Instead. the preservation literature dictates high quality outcomes by specifying standards for treatment options. reformatting processes. and preventive measures. The commitment to quality standards-do it once. do it right-permeates all preservation activity. including library binding standards. archival microfilm creation gUidelines. conservation treatment procedures. the chOice of supplies and materials. and a low tolerance for error. The evolution of preservation microfilming as a central strategy for the bulk of brittle library materials has placed the quality of the medium and the quality of the visual image on an equal plane. In the pursuit of

226

El.EcTROlUC

I.outARJEs

IN

21ft CEJn'URY

quality microfilm, compromise on visual truth and archival stability is dictated largely by the characteristics of the item chosen for preservation. Quality in the digital world, on the other hand, is conditwned Significantly by the limitations of capture and display technology. Digital conversion places less emphasis on obtaining a faithful reproduction of the original in favor of finding the best representation of the original with a given technology. Mechanisms and techniques for judging the quality of digital reproductions are different and more sophisticated than those for assessing microfilm or photocopy reproductions. Additionally, the primary goal of preservation quality is to capture as much intellectual and visual conte::lt as is technically possible and then present that content to endusers in ways most appropriate to their needs. The image market has subsumed the principle of maximum quality to the "solution" that finds the minimum level of quality acceptable to today's system users. Digital product developers must reclaim image quality as the heart and soul of preservation. This 'means maximizing the amount of data captured in the digital scanning process, documenting image enhancement techniques, and specifying file compression routines that do not result in the loss of data during telecommunication. The control of digital quality standards is possible now, just as it is for micro~lm. Howev~r, librarians and archivists can only influence the development of standards for data compression, communication, display, and output. Improvements in the technical capabilities of image conversion hardware and software are in the hands of the imaging industry. Transformation of Integrity : The concept of integrity has two dimensions in the traditional preservation context-physical and intellectual-both of which concern the nature of the evidence contained in the document. Physical integrity largely concerns the item as artifact. It plays out most directly in the conservation studio, where skilled bench staff use water-soluble glues, age-old hand-

227

binding techniques. and high quality materials to protect historical "evidence of use. past conservation treatments. and intended or unintended changes to the structure of the item. The preservation of intellectual integrity is based upon concern for evidence of a different sort. The authenticity. or truthfulness. of the information content of an item. maintained through documentation of both provenance-the chain of ownership-and treatment. where appropriate. is at the heart of intellectual integrity. Beyond the history of an item is concern for protecting and documenting the relationships among items in a collection. In traditional preservation practice. the concepts of quality and integrity reinforce each other. In the digital world. maintaining the physical integrity of a digital image me has far less to do with the media than with the loss of information when a me is created originally. then compressed mathematically. stored in various formats. and sent across a network. In the domain of intellectual integrity. structural indexes and data descriptions traditionally published with an item as tables of contents or prepared as discrete finding aids or bibliographic records must be inextricably linked and preserved along with the digital image mes themselves. Preserving intellectual integrity also involves authentication procedures. like audit trails. that make sure files are not altered intentionally or accidentally. Ultimately. the digital world fundaIl!entally qansforms traditional preservation principles from guaranteeing the physical integrity of the object to specifying the creation of the object whose intellectual integrity is its primary characteristic. Librarians and archivists can exercise control over the integrity of digital image files by authenticating access procedures and documenting successive modifications to a given digital record. They can also create and maintain structural indexes and bibliographic linkages within well-developed and wellunderstood database standards.

228

ELECTROl'UC

LmRARms

IN

21aT

CENTURY

Digital product developers also have a role to play in influencing the development of metadata interchange standards including the tools and techniques that will allow structured, documented, and standardized information about data files and databases to be shared across platforms, systems, and international boundaries. It is vain to think, however, that librarians and archivists are anything but bystanders observing the rapid development of network protocols, bandwidth, or the data security techniques that are essential to the persistence of digital objects over time.

Access Transformation In the fifty years that preservation has been emerging as a professional specialty in libraries and archives, the preservation and access responsibilities of an archive or library have often been in tension. 'While preservation is a primary goal or responsibility, an equally compelling mandate-access and use-sets up a classic conflict that must be arbitrated by the custodians and caretakers of archival records, states a fundamental textbook in the field. The intimate relationship between preservation and access has changed in ways that mirror the technological environment of cultural institutions. II

Preservation OR Access: In the early years of modem archival agencies-prior to World War lI-preservation simply meant collecting. The sheer act of pulling a collection of manuscripts from a bam, a basement, or a parking garage and placing it intact in a dry building with locks on the door fulfilled the fundamental preservation mandate of the institution. In this regard preservation and access are mutually exclusive activities. Use exposes a collection to risk of theft, damage, or misuse of either content or object. The safest way to ensure that a book lasts for a long time is to lock it up or make a copy for use. Preservation AND Access: Modern preservation management strategies posit that preservation and access are mutually reinforcing ideas. Preservation action is

INFoRMATION

AccEss

IN

LmRAluEs

229

taken on an item so that it may be used. In this view, creating a preservation copy on microfilm of a deteriorated book without making it possible to find the film is a waste of money. In the world of preservation AND access, however, it is theoretically possible to fulfill a preservation need without solving access problems. Conversely, access to scholarly materials can be guaranteed for a very long period, indeed, without taking any concrete preservation action on them. Preservation IS Access: Librarians and archivists concerned about the preservation of electronic records sometimes view the two concepts as cause and effect. The act of preserving makes access possible. Equating preservation with access, however, implies that preservation is defined by availability, when indeed this construct. may be getting it backwards. Preservation is no more access than access is preservation. Simply refocusing the preservation issue on access oversimplifies the preservation issues by suggesting that access is the engine of preservation without addressing the nature of the thing being preserved. Preservation OF Access: In the digital world, preservation is the action and access is the thing-the act of preserving access. A more accurate construct simply states "preserve accessibility." When transformed in this way, a whole new series of complexities arises. The content, structure, and integrity of the digital product assume center stage-and the ability of a machine to transport and display this product becomes an assumed end .result of the preservation action rather than its primary goal. Control over accessibility, especially the capacity of the system to export digital image files (and associated indexes) to future generations of the technology, can be exercised in part through prudent purchases of only nonproprietary hardware and software components. In the present environment, true plug-andplay components are more widely available. The financial commitment by librarians and archivists is one of the only incentives that vendors have to adopt

23P

ELBcntoJac LIBRARms

IN

21aT CJtJmJRY

open system architectures or at least provide better documentation on the Inner workings of their systems. Additionally. librarians and archivists can influence vendors and manufacturers to provide new eqUipment that is backward compatible with existing systems. This capability assists image file system migration in the same way that today's word processing software allows access to documents created with earlier versions. Much as they might wish otherwise. digital product developers have little or no control over the life expectancy of a gtven digital image system and the decision to abandon that system.

CHAPTER 8

DIGITAL CATALOGUING Cataloguing rules are the area where there is arguably the least international standardisation. This could be a barrier that remains when format issues etc are resolved. The Anglo-American Cataloguing Rules (AACR) is the most widely used code, but its influence is confined largely to the English-speaking world. However, the growing interest in AACR from other regions, including LIBER members, has prompted a review by the Committee of Principals for AACR, which is looking at internationalisation of the code's development and governance. The virtual library environment means that not only must cataloguing rules cope with digital documents, but they must be also be capable of facilitating access to items from a collection that now expands well beyond the physical confines of one institution. The Committee of Principals held an international conference in 1997 to discuss how AACR might have to change for the new environment. The recommendations of the conference shaped the development process that has been going on ever since. One of the major conference recommendations was that there needed to be a new logical data model underpinning the standard, to provide a solid foundation upon which to modify and extend the structure. The obvious choice for the data model was tbe IFLA Functional Requirements for Bibliographic Records

.'

232

ELECTRONIC LmRARIES IN

21ST

CENTURY

(FRBR) , and work is going on to fit the Rules to the model. This sounds quite radical, but it is more a question of rearranging the Rules rather than changing them. The aim is to avoid a step change like there was from MCRI to AACR2, which required substantial conversion of existing catalogues. The most significant changes are in the definition and cataloguing of serials. The situation has already been complicated enough in the print world with three codes in use: AACR, the IFLA International Standards Bibliographic description for Serials -ISB (S)- and UNESCO's International Serials Data System (ISDS). Fortunately, there has been a major breakthrough with the recent agreement to harmonise the codes. In parallel with this harmonisation the definition of what constitutes a serial has been substantially revised, and it is now much broader to reflect the changing patterns of publication. especially in the digital world. Another area of change being considered is whether one continues to catalogue the work in hand (currently prescribed by AACR) or the intellectual work. where the physical manifestation acquired by the library is recorded at a secondary level. This has been characterised as the "content versus carrier .. debate. The FRBR favours a tiered approach working from the intellectual work at the highest level, as does ONIX, since it has adopted the FRBR model. So work is well advanced to adapt at least one major catalogUing code to a hybrid print and digital environment. What's more, provided AACR does increase its international appeal by being more welcoming to nonEnglish speaking communities, it may offer a common code in which catalogue data can be more readily exchanged. However, the difficulty of overcoming cultural differences between national codes should not be underestimated. Cataloguing is often singled out for scrutiny in trying to pare costs. Cataloguing has adapted to these pressures by collaboration, and there are many success stories, e.g.

DIGITAL CATALOGUING

233

OCLC. the Research Librartes Group and the Consortium of European Research Libraries. However. even more collaboration will be needed to contain costs in the digital environment. Indeed. as libraries try to cope with constrained acquisitions and operating budgets. collaboration becomes a major driver in itself. For instance in the UK university and national library sectors much work is being devoted to developing collaborative acquisition. retention and preservation schemes. and cataloguing systems need to be able to cope with the· demands this collaboration places upon them. Collaboration is also a major force in the trade sector. Book publishers. music publishers and video companies want to ensure their products are readily available from the on-line retailers. So they. too. are collaborating. For collaboration to work interoperability is paramount. The trade does not want to have to re-key data between applications. Nor do libraries want to convert records between fonnats as they exchange records. Lastly. but of greatest importance for a service industry. are the users ' and their needs. Users want a hybrid library; they don't want to search separate catalogues for print and digital documents. Neither are they interested in the distinction between what their library holds locally and what is on Web. So they are driving libraries towards providing seamless services, where again tnteroperability is the key.

Library Community Issues There are a number of issues for the library community that also have to be taken into account when weighing up the answers to the questions about the future. The first is the systems support for the new fonnats. We are seeing hybrid systems beginning to emerge from some of the larger vendors. Support for XML will improve as the database management systems that underpin many of the library vendors 'packages improve their XML support.

234

ELBCTR01'fIC

LIB1tARD8

IN

21" CEl'fTURT

For example Oracle. which underpins several popular packages. supports XML and is introducing more features with each new release. e.g. a better nesting capability. The cost of creating metadata is a major issue. Preliminary results of trials by the British Library show that the effort to create a metadata record for a digital publication can take up to three times longer than cataloguing a printed book. There is all the technical data that has to be captured. which is essential for access to the electronic texts and for preseIVation. Indeed the ideal time to make preseIVation decisions Is at the time of cataloguing. so that the decisions can be recorded. Then there are the time penalties of having to load digital documents. especially from DVD. CD-ROM etc. in order to discover the technical and descriptive data. All this slows the process. Record transfer and other forms of collaboration have already been mentioned as a way of minimising and sharing those costs. Another parallel strategy is the creation of productivity tools to gather the information automatically. An example of this approach is the range of productivity tools developed and being refined as part of the CORC (Cooperative Online Resource Catalogue) programme initiated and led by OCLC. Another issue for libraries are what records are available. at what cost and whether they are of useful quality. A traditional problem at the trade/library interface has been the quality of record~ produced by publishers. whose staff in many cases do not have appropriate training. This is still an issue to a degree. but. whatever one thinks about the descriptive cataloguing data provided by publishers. there is still value in capturing the rich additional data produced by them. And. of course. the increasing role of commercial bibliographie agencies is helping to provide cleaner descriptive data. too. The last major issue. especially if common standards prove an elusive goal between

DIGITAL CATALOGUING

235

different sectors. is the imeroperability of standards. in particular the availability of crosswalks. It is encouraging to note that these are being developed. for instance between MARC and ONIX. The assembly of materials from many different sources and of mallY different formats is a, challenge to techniques of bibliographic control developed in the context of static. print-based collections. Digital resources can be created with no information about their provenance. change location or disappear without warning. have content which changes rapidly and lack any kind of quality control. Some more familiar media found in digital libraries also pose problems. such as still and moving images. which are especially difficult to describe for effective retrieval. Unfortunately. providing access to information remains a sophisticated task not amenable to automation. '. There are two levels at which cataloguing of digital libraries might be considered. The "micro" scale of describing individual items has seen extensions to existing cataloguing rules to cbpe with the vagaries of digital information outlined above. Of fundamental importance in the digital library is the information represented by a link bet-.veen two resources. such as scholarly papers. and there are several proposals for maintaining these relationships against passing changes in URLs. At the "macro" scale of describing collections or archives and ways to access them. there have been new approaches to integrating catalogues and much reflection on the purpose of those catalogues. Resources likely to be combined in a digital library are suffiCiently various in type and distributed in location that it is sensible only to attempt interoperability rather than centralisation. The use of Z89.50 as a neutral intermediary between databases and the deliberate simplicity of Dublin Core are examples of the power of this approach.

236

ELECTRONIC LmRARIES IN

210T CEl'ITlJK1'

Cataloguing Digital Resources Historically. librarians have organized the world's information. For centuries. they have successfully managed. classified. and filtered information of many types by creating surrogates. This is true of traditional materials as well as new electronic resources. But now as the amount of accessible electronic information increases. the cost of accessing this information will increase and the communities unfamiliar with library science are beginning to grapple with the problem of metadata and the organization of large collections of data. So there has been a general push to apply and develop techniques to make these resources searchable and more widely accessible. Now. the requirement is that every electronic item should have a catalog entry or its equivalent. But all electronic resources can never be humanly cataloged. It's just too expensive and also librarians are so overburdened that they can barely keep up with their traditional workload. let alone begin to catalog and organize the vast amounts of information available electronically. Clearly. automated tools to apply library science ideas like classification and fIltering to electronic resources at high speed and low cost are needed. The whole scenario of information management can be divided into two worlds. These two worlds-the seemingly unorganized Web and the organized world of libraries- have much to offer one another. The Web can offer automated tools for searching raw information and the library world can offer experience organizing and understanding information of all types. By combining their talents and techniques. these two communities can bring powerful resources to bear on the problems of accessing. maintaining. and supplying electronic information. But this is not an easy task. Even though using latest technologies. searching the raw content of every document still seems to be almost, impossible since it's not uncommon to retrieve hundreds of documents for a given search.

DIGITAL CATALOGlJING

237

MARCit MARCit is an aid to easy cataloging of web sites. working with a web browser. Cataloging a site involves viewing the site with the browser. clicking on the MARCit icon. adding other information to the cataloging screen. saving the cataloging to a file. and importing the file into a library automation system. A user's manual. which can be downloaded. is very helpful and written so that it can be understood by a non-technical person. The web browser opens when MARCit is opened. Then. while viewing a web site. one can click on the MARCit icon. The URL and title information appear in the MARCit screen directly from the web site. Several fields are cataloged automatically; other fields can be filled in manually. The software allows the cataloger to rate the site. Different records can be saved to different files. A saved file can be emptied. renamed. and deleted without leaving MARCit. The method used for importing the file into the library's online catalog depends on the automation system used. Mter cataloguing Internet resources. if the user searches for items on "Monalisa" for example. slhe might find a web site dedicated to Monalisa's art. The user can then access the site and get the information needed. The user doesn't have to wade through the millions of hits a search en Monalisa might yield with a search engine. MARCit makes cataloging such sites simple. The librarian who catalogs it can also rate each MARC record. Users seeking the best information available can use the ratings as a valuable guide to quality sites. MARCit has been designed taking into consIderation that accessing the information would be easier and more efficient if a librarian has designed it. Worldng

1.

2.

Open the site to be catalogued in the browser. Click on the floating MARCit icon.

238

3.

4. 5.

ELECTRONIC

LmRAams

IN

210T CENTtJJlY

MARCit automatically grabs the site's title and URL from the browser and enters them into the spaces provided. Then catalog entries for all the fields should be entered in the space provided, including the mandatory MARC fields. Enter as much or as little information into the W.ARCit fields. Click the Save button. A MARC record of the site is automatically created and saved into a file that can be imported into library automation system database.

MARC Format MARCit adheres to the July 1997 Library of Congress MARC Standards. The comprehensive MARC records it generates comply fully with these standards and include all mandatOIY fields. Indicators are set automatically. MAQ.Cit even sets \Vhether the site is a web site (http) or an FfP site automatically in the 856 fields, in acco,dance with the MARC Standards. MARCit also automatically handles one main author entry, which can be either personal 'or corporate, but not both, and several other author entries - both personal and corporate. MARClt also sets the correct MARC fields, subfields and indicators for different types of subjects and subject divisions. It automatically checks ISBNs entered. It makes sure whether title is entered. MARCit does all of this automatically. ensuring that the records are of the highest quality. Computer running Windows XX or NT, 5 MB hard drive space, 16 MB RAM, Netscape Navigator v.3.0 or later OR Microsoft Internet Explorer v.3.0 or later and Internet connection.

Features MARClt will work with any library automation system that can import USMARC records from a PC-based hard or floppy disk.

DIGITAL CATALOGUING

239

One can specify Dewey. LC. or local as primary call number. One can also choose to catalog using all three call numbers. These and other default parameters can be changed at any time. The explosive growth of the Internet and the WorldWide Web in recent times has caused great excitement in many quarters. Suddenly an extraordinary wealth of materials on a huge range of subjects is instantaneously available from desktops all over the world. This excitement is tempered somewhat by the awareness that this material is poorly organized. and of variable quality and stability; it is difficult to conceptualize. browse. search. filter. or reference. Increasingly. people are wondering how this situation can be improved. At one extreme are those who believe it is up to current institutions to take on the task of cataloging. and generally organizing. these materials; at the other are those who imagine new sorts of tools and techniques sophisticated search tools and "agents" - will obViate th\.. need for these traditional methods.

Library Cataloguing Library cataloging is the practice of orgamzmg a collection of bibliographic items to facilitate their identification, location, access, and use. Perhaps the simplest way to do this is to organize the items themselves, creating what Miksa calls an "item file" e.g. by arranging papers in a filing cabinet or books on a shelf. This method works well for small collections, but for large collections more elaborate means are needed. The principal method for\organizing larger collections is to develop a catalog. A catalog consists of a set of entries. each of which stands for an item in the collection and which describes certain characteristics of the item. such as (for a book) its author. title. publisher. subjects. and so on. The catalog is itself a collection -- a collectiop

240

ELECTRONIC

LmRAIm:s

IN

21aT CENTVRY

of surrogates for items in the primary collection; these surrogates must be arranged as well. There is a highly articulated set of strategies for organizing catalogs, e.g. alphabetically by author and/or by subject. Current cataloging practices involve both strategies. Surrogates are created for the items and arranged in a catalog. The items themselves are also arranged -e.g. books are placed "linearly" on the shelves of a libFaJ:Y's stacks. This is typically accomplished via a classification scheme, such as the Library of Congress Classification (LCC) or the Dewey Decimal Classification (DOC), in which a hierarchy of possible subjects is given a linear ordering and each subject is given its place on the shelves. This means that an item's call number not only specifies an item's location in the stacks but collocates it with other items that address the same putative topiC. A distinction is made between two types of cataloging activity, both of which are practiced to catalog a particular item: descriptive cataloging and subject cataloging. Descriptive cataloging is concerned with creating catalog records for items, describing their characteristics as just noted - author, title, and so on. Subject cataloging is concerned with classifying the subject matter, the intellectual content, of an item. It is the subject cataloger who assigns an item to a class within a classification scheme which in tum determines a place on the shelf. A distinction is also made between bibliographies and catalogs. Both of these in practice describe items. The difference is that a bibliography describes works and editions of works, but not actual physical items. A catalog, by contrast, primarily describes particular, physical items in a particular collection. It does this partly by describing aspects of a work (e.g. title and author), as does a bibliography, and partly by indicating physical properties, including its location. The development of highly sophisticated, systematically organized catalogs and cataloging procedures is a product of the modem library era, which

DIGITAL CATALOGlmfO

241

dates from the second half of the last century. Book catalogs (lists of entries bound in book form) were the first kind used in the U.S.; these began to be displaced by the familiar card catalogs around the turn of the century. Digital catalogs (called OPACs, Online Public Access Catalogs) began to appear in the 1970's and are now widespread; they are rapidly displacing card catalogs Entries in OPACs are commonly encoded in MARC (Machine Readable Cataloging) format, a standard which permits them to be shared among institutions. To a great extent, the MARC standard encodes those features previously recorded on cards; it enables a fairly straightforward translation of card contents into digital form. In libraries today, catalOging is considered part of "technical services" - those services generally concerned with the maintenance of the collection, such as acquisition and binding. Technical services are distinguished from "public se~ces," such as reference services, which involve direct contact with library users. Nearly all libraries have catalogers, although in very small libraries one person I}1ay handle other tasks, e.g. reference work and acquisition of new materials, in addition to cataloging. The cataloger's job is to produce catalog records for newly acquired materials. "Original cataloging" is the process of creating catalog records from scratch creating a record. primarily using the item itself, e.g. by inspection of the book, including, but not limited to, its title page. This is distinguished from "copy cataloging," in which the cataloger makes use of a previously existing catalog record for the item to create a new record tailored to the needs of their own library. Catalog records that can be used as sources for copy cataloging are maintained by several institutions, including the Ubrary of Congress, OCLC, and RLG. While it may take only a few minutes to copy catalog an item, it is not unusual for the original cataloging of an item to take on the order of an hour.

242

ELECTRONIC

LIIntAJuEs

IN

21ft CEII'nlRY

Order-Making Cataloging is a form of order-making; it is a set of practices which quite literally put a library's collections in order and provide access through a set of systematically organized surrogates; and it is therefore a crucial part of the system by which books and other materials are maintained and made .available to readers throughout the world. The work is ever ongoing, not just because new items are constantly being acquired, but because a collection will crumble - like the old barns one sees in the countryside - unless it is continually maintained: books disappear and need to be reordered, they are damaged and need to be repaired, they are misshelved, and so on; catalogs need to be Similarly maintained. This might seem like an obvious enough point, but cataloging shares with many other forms of order-makirlg a certain invisibility. For the ordinary. library patron, the machinery by which the collection is maintained is outof-sight, ill-understood, and the order it produces taken for granted. The typical library patron might be excused for not knowing how much work is being done behind the scenes to make an item available; indeed the invisibility of this system is largely a measure of its successful functioning. But it is more curious to observe that within the library community itself, in some quarters, at any rate, the work of cataloging is denigrated; it is considered routine, at best semi-skilled, and unnecessarily detail-oriented work. Cataloging is not simply a matter of reading off selfevident properties of items, but is a highly skilled interpretative activity by which the properties of items are not simply described, but stabilized and even created. Over the last decade, discussion has ranged over many topiCS, including: how- and whether to catalog digital documents, the future of cataloging, the politics of cataloging, the relationship between cataloging and reference services, teaching cataloging in library schools,

DIGITAL CATALOGUING

243

and cataloging humor. But perhaps the central core of discussion is a steady, daily stream of questions, in which catalogers ask one another for help with items they are cataloging, for help in interpreting the cataloging rules, and for advice with materials that the cataloging rules don't address. What emerges is a much more complex - and interesting - picture than Manley's parody, or lay understanding, will admit. Bibliographic materials, it appears, do not always wear their bibliographic properties on their sleeve, and the rules for determining and "transcribing" these properties are quite complex and require interpretation to be applied. Anyone who has written a dissertation or a paper requiring a formal bibliography has encoun,tered this problem in a small way: an item that ~6 hard to categorize, that lacks an expected property, or one of whose properties is ambiguous. Cataloging is not just a matter of "reading oft" the properties items have but of normalizing or regularizing the material to conform to standard categories of description and thereby making the properties in the act of describing them. That books have definitive titles and authors, that volumes are unambiguously of certain types, is a good first approximation to the truth, and the work of cataloging is to maintain this first approximation as a useful and usable fiction. Cataloging appears to be routine work so long as one believes that the materials just have a regular structure which can be trivially read off. But on inspection, it appears that this regular structure is the output of the work of catalogers, not the input.

Digital Order In this century, the development of film, video, microfilm, and photocopying technologies have all required changes and accommodations in the law, in library practices, in publishing and distribution, in patterns of consumption and use.

244

ELBcra.Ol'llC

LmRARIES

IN

210T CENTURY

None of these developments. however. has produced the uncertainty. confusion. and anxiety that has been occasioned by the increasing adoption of digital technologies. for none of these earlier developments challenged the order of the book. the order built around one central type of physical artifact and its modes of production. conservation. and consumption. But now. virtually every aspect of this order is being questioned: How must publishing change when "publications" can be instantaneously distributed on the Net? What models of compensation are appropriate to these new modes of production and distribution? Whose interests must be given priority? What happens to the notion of editicn -- a set of "identical" artifacts produced by a publisher -when one-of-a-kind. customized documents can be produced on a large scale? What happens to the notion of author. and the distinction between author and reader. if hypertext documents become. as some suggest. fluidly modified. collaborative efforts? How must copyright change to accommodate these other shifts. or should it be replaced by a different regulatory system? Perhaps the greatest uncertainty. from the perspective of cataloging. is just what the new digital materials will be. Our current order carves up the bibliographic universe into discrete. stable. and long-lived units. But now. there is the potential at least for a great deal more variability and mutability of materials. and for a.less rigid boundary between items. New genres. new categories of description. new institutions and practices have not yet arisen to stabilize this material. All of this together would constitute a new order. or substantial changes to the old order. as yet unrealized. Currently there is no lack of visionaries willing to sing the praises of this new order. and to proclaim their vision of the future as good. right. and inevitable. Having ~amined aspects of cataloging and the larger order of which it is a part let us explore the question of cataloging materials on the Net. From a cataloging perspective. the Net is the wrong unit of analysis. for the

DIGITAL CATALOGUING

245

Net does not constitute a library in any interesting sense. th~ technological infrastructure which could support a library. but it is not a library - not in the sense of an institution which oversees and provides access to a collection. Moreover. the materials on the Net do not constitute a library collection - not in the sense of a selection of items organized to serV'e a particular clientele. Instead. we should probably talk about cataloging digital materials on the Net. There is of course a tremendous amount of activity jn this area at the moment: Relatively large scale catalogs of and indices into Internet resources have been created and are being extended. Yahoo and Alex. each with thousands of entries. are but two of the many catalogs now coming 'into existence. There are ongOing experiments and feasibility studies in cataloging digital documents. such as the Catriona project funded by the British Library and a project organized by OCLC. called "Building a Catalog of Internet Resources." New standards are being created. and existing ones modified. to represent digital documents and "metadata" about digital documents. The Text Encoding Initiative (TEl). for example. has created a standard for the digital encoding of texts in the humanities. which includes a proposal for an electronic text "header" for documents. permitting the equivalent of title page information to be represented. as well as other forms of meta-data. The Working Group on Document Identifiers within the Internet Engineering Task Force (IETF) is working to standardize Uniform Resource Characteristics (URCs) to represent metadata. A number of conferences and workshops have been organized to explore cataloging and related issues. These include the CETH Workshop on Documenting Electronic Texts in May. 1994; the Seminar on Cataloging Digital Documents held at the Library of It may be part of

246

ELECTRONIC

LmRAIm:s

IN 21" CENTURY

Congress in October. 1994; and the Metadata Workshop organized by OCLC in March. 1995. A great deal of information about approaches to cataloging digital documents is appearing on the Net. The Cataloging Services Department of the University of Virginia Library. for example. has a Web page with pOinters to many cataloging related resources. Individuals. groups and institutions are creating their own home pages. These often contain lists of "favorite" Net resources that visitors to their home page may want to view. Using Web browsers such as Mosaic. people are also creating and maintaining "hotlists" of Net resources to which they can have easy access.

Digital collections will need to be organized and maintained if they are to remain stable and usable. To those within the library community this point may seem too obvious to make, since it is one of the central premises on which the modern library movement has been built. Yet it is not widely understood outside this community, to judge for example from the way the Web is often talked about. There seems to be a fairly widespread presumption, tacitly held, that materials can maintain their identity and their currency without continual intervention, without continual work. Moreover. it seems certain that the work of stabilizing and maintaining digital collections will require a great deal of systematic hunian activity. Certainly. powerful technologies will be involved as well as human labor. as is the case now. Again. this is obvious enough to librarians; technologists. by contrast. tend to see the technical infrastructure but not the "invisible" social infrastructure by which most things. not just library collections. are maintained. There can be no doubt that people will continue to make lists of digital resources which they will want to make available to others. Some of these will have broad

247

scope and utility (e.g. Yahoo and Alex). while others will be of limited scope. Whether we call these lists "bibliographies" or "catalogs."there will be an ongoing need to maintain them. to keep them current and stable; and whether or not we call this ongoing maintenance work "cataloging." it will no doubt be supported by a complex. and largely invisible. sociotechnical infrastructure. Of course to say that there will continue to be catalogs still leaves open many important questions. What sorts of materials will be cataloged? How will digital catalogs differ from those we have today? Will they be maintained by professional catalogers or by laypeople? What skills will be needed to create these new catalogs? How will such skills be acquired? To what extent will these catalogs be based on existing standards. such as MARC and AACR? Will there. or could there be. a universal catalog of digital materials? There can be no answers to most of these questions at this time; they will emerge in relation to. and will partly constitute. a stable digital order. Some. however. may already be amenable to analysis and may yield at least partial results. but they will require to bring knowledge from multiple work communities. Take the question of a universal catalog of digital materials. While there is something quite appealing about this vision. research in anthropology suggests that there is an inevitable tension between the desire to generalize. to make universal. and the need to tailor to local conditions. The current use of OCLC and RUN displays both tendencies: these utilities proylde sharable catalog records which are then copied and modified for local use by member institutions.

Digital Library Collection As with any new technology-based idea. there has been

considerable controversy over the definition and possibilities of the term "digital library." To the computer

248

ELECTRONIC LmRARIES IN

21ST CENTtlRY

science community, the new technical possibilities beckon enticingly. However, as traditionalists in the library community might point out, important issues are being ignored. According to Levy and Marshall, there is the "digital library" narrowly-construed and more broadly-construed. They argue for the broadly-construed digital library. Their vision argues for rich access to a variety of materials, all of which can be used in an interpretive and collaborative manner: We argue ... that the design of digital libraries must take into account a broader range of materials, technologies, and pradices - transient as well as permanent documents, fluid as well as fixed materials, paper as well as digital technologies, and collaborative as well as individual practices. Miksa and Doty argue for the narrowly-construed digital library. This view idealizes the role of the collection and the additional indexing above the raw material: ... the idea of the library includes the construction of a set of arrangements that overcomes the disparateness of the individual sources by relating them to one another in terms of a single, operational, intellectually structured whole. Both of the arguements attempt to confront the boundaries of the collection, and those boundaries are in different places for the two papers. Miksa and Doty emphasize the collection and intellectual access to it. Levy and Marshall's emphasis is on access and use of the collection by a community, and since their emphasis is on practice, the collection is used in conjunction with other information sources. The apparently dichotomous nature of the digital library architecture has broad consequences for its maintenance. However, most technical architectures will be some combination; it will be argued below that this is likely for institutional reasons. In this section, we show that some technical architectures muddy the question of

DiGITAL CATALOGUING

249

broad versus narrow. It is entirely possible to have both types of libraries Simultaneously. The library community has been very successful in maintaining traditional libraries and has developed many practices and ideals to do so. Among them are the ideas of unified collections and access methods. In fact. one could argue that many core library activities. such as circulation. technical services. and even shelving. were created by the library to maintain access to its collection over time. It is essential to note that this set of practices and ideals maintain the traditional library as institution and as community of practice together over time. This equilibrium is in the process of being disturbed or destroyed with the intrusion of new technical possibilities. Only some of the practices of the traditional library Will carry into the digital world. perhaps only for a narrow conception of the digital library. Furthermore. the hypertext and computer science communities have no such traditions and practices for the broadly-construed library. If we Wish either vision to be successful, the above question must be answered. Some of the answer will be institutional and some of it will be technical. The mix that is possible. however. will be dependent on the types of desired collections as well as the potential control mechanisms for those collections. In the management of most resources. managerial control can play many roles. In the digital library. different control mechanisins over the collection are possible. and these control mechanisms will influence the possibilities and necessiti'es for maintenance. These control mechanisms are influenced by collection types. as an examination of different collection types demonstrates.

Types of Collection Ubraries have always managed their collections. selecting and removing items from their shelves. This has been viewed as a critical function of library management.

250

According to the collection management literature. the practices of collection management are dependent on the type of libraxy collection. For example. Drew and Dewe distinguish ephemera in special collections from other items. and Kovacs distinguishes among types of libraries. We will argue here that new types of collections in the digital library will len~ themselves to new types of maintenance issues. In a traditior.al. or paper-based. library. there is considerable control over the collection. Versions of publications are stable. More importantly. because the collection is physically contained. there is considerable control over the collection. Libraxy staff can decide what is and w~at is not in the collection. Maintenance of the collection -IS-within the purview of the institutional members. At one opposite is the World Wide Web. The Web nodes often change. in content. location. and even existence. On the other hand. the content in a location does not shift rapidly; it tends to remain relatively stable. There is no control by any given individual over the entire Web. An individual has control only over his nodes and the selection of pOinters to others' nodes (URLs) that provide the capability for extended collections. At another opposite is Usenet or similar computer-mediated communication (CMC) systems. The locations do not change. but the contents of any given location change constantly. The control over the collection for this type is also very low for any given individual. In the middle of both dimensions is the organizational information repository. Since the information resides within an organization and since the organization generally provides a sanctioned organizational member to manage the system. there is considerable control over its collection..' Nonetheless. organizational memories tend to be more dynamic than traditional libraxy collections; for example. they may include informal irtformation. timesensitive information. or bulletin board mechanisms.

DIGITAL CATALOGlJlN(!

251

Collection Maintenance The variation in collection control determines the type of institutional and technical maintenance possible. Collections that are closer to those in traditional libraries can use more traditional control and maintenance mechanisms. Digital libraries that incorporate more individualistic, dynamic, and informal information may need to find new maintenance mechanisms. Digital libraries, if self-contained in a manner similar to traditional libraries will be able to draw upon traditional methods and practices. Traditional libraries, as noted above, have developed methods for maintaining their core set of institutional ideals, their community of practice, and their collections of materials. Although many maintenance practices will need to be adapted such as preservation and circulation control as extreme examples - the existing practices can serve as the bases for new norms and practices. We have argued above that such norms and practices are required for the long-term viability of the digital library as institution. Therefore, if the adaptation of current practices is successful, then the narrowly-construed digital library will stand a much greater chance of success in the long run. These traditional practices, however, have had their limitations. They were based on a constrained collection; . i.e., a selection from the bibliographic universe. A traditional library could never cope with much ephemera; it would require too many resources. To adequately index, catalog, and otherwise conform to the institutional ideals for the broad range of ephemera would be overwhelming. In the past, there were strong institutional reasons to constrict the bibliographie universe. Going digital, however, changes the cost structure, and collection and maintenance costs need to be reVisited. It is not necessary, for example, in a digital universe to handindex all materials; there are other methods of access. There is considerable evidence that this change in the cost structure is affecting organizational memories.

252

ELECTRONIC LmRARIES IN 2111T CENTURY

However, the dynamism and volatility of organizational memories tend to be close to that of traditional libraries. That is, organizational members can reliably return to the same location in the organization's information repositories to find the same materials. However, the widespread interest in Lotus Notes, which combines electronic messaging and document storage, argues that combining formal organizational materials with informal is valuable. Nonetheless, because institutional adaptation is much more manageable and amicable than extreme change, we expect that there will be pressure to have digital libraries as discrete and contained collections. The resource limitations of any social institution argue for defining a discrete collection as well. Of course, it will be possible to incorporate these narrowly-construed libraries in architectures that promote broad access. In addition, the broadly-construed digital library lacks practices that will maintain itself over the long run. The same incentive that promotes use of the Web or of Usenet - namely that there is no intervening institution between the author and his potential audience - also brings its own disincentives to systematic use. As discussed, both the Web and Usenet have high levels of volatility. The location of Web nodes can change without notice. Usenet groupsdo not change locations, but the message traffic changes constantly. The individualistic orientation of both the Web and Usenet argues against easy control over the collection. Without institutional control, each individual using the collection must deal with the maintenance issues himself. If the informal materials are dynamic or volatile, then there is a constant maintenance problem. Requiring every user to provide for collection maintenance raises the costs considerably. Users must determine whether materials will 'continue to be available, accessible, and even understandable.

CHAPTER 9

ELECTRONIC LIBRARY SERVICES The Digital Millennium Copyright Act of 1998 (DMCA) legally implemented United States treaty obligations under the World Intellectual Property Organization actions se"'lking to facilitate worldwide electronic commerce. communication. research development and education. Congress deemed the language of the US Copyright Act. previously updated in 1976. insufficient for information activities in the digital age. The enactment of the DMCA began what must remain an ongoing evaluation of the tension between crea~ors and users of information in the technologically changing information environment. Currently. the library community believes that fundamental rights of fair use and first sale have not received adequate consideration. The seeming inability of the library community to convince the US Copyright Office of the potential negative impact of certain provisions of the DMCA on public research may have long lasting and problematic repercussions. At the most basic level. the contention is that the DMCA and licensing practices may deny lawful library research support activities such as interlibrary loan. the creation of preservation copies. off-site accessibility. longterm availability of works and the use of digital information donated or gifted to the library. There is a fundamental lack of agreement whether or not such activities are lawful under the current Section 109

254

ELECTRONIC

LmRAlUES IN 21.... CEl'ITORY

language (with its lack of specificity) or whether "digital first sale" language should be adopted. Among sections of particular concern are those quoted below-excerpted from the Executive Summary of the Digital Millennium Copyright Act Section 104 Report. Section 109(a) and the First Sale Doctrine The common law roots of the first sale doctrine allowed the owner of a particular copy of a work to dispose of that copy. This judicial doctrine was grounded in the common-law principle that restraints on the alienation of tangible property are to be avoided in the absence of clear congressional intent to abrogate this principle. This doctrine appears in section 109 of the Copyright Act of 1976. Section 109(a) specified that this notwithstanding a copyright owner's exclusive distribution right under section 106 the owner of a particular copy or phonorecord that was lawfully made under title 17 is entitled to sell or further dispose of the possession of that copy or phonorecord. Section 117 Computer Program Exemptions Section 117 of the Copyright Act of 1976 was enacted in the Computer Software Copyright Amendments of 1980 in response to the recommendations of the National Commission on New Technological Uses of copyrighted Works' (CONTU). Section 117 permits the owner of a copy of a computer program to make an additional copy of the program for purely archival purposes if all archival copies are destroyed in the event that continued possession of the computer program should cease to be rightful, or where the making of such a copy is an essential step in the utilIzation of the computer program in conjunction with a machine and that it is used in no other manner. There were concerns raised about the potential adverse effects of sections 1201 and 1202 (of the DMCA] on the traditional concepts of first sale, fair use, and the archival and preservation exemptions. It was argued that these prohibitions are likely to diminish, if not eliminate, otherwise lawful uses. It was asserted that copyright management information may also have the capacity to

256

reveal user information in a manner that would chill legitimate uses of copyrighted works. Another prevalent concern was that licenses are being used increasingly by copyright owners to undermine the first sale doctrine and restrict other user privileges under the copyright law. These commenters argued that this trend is displacing the uniformity of federal copyright law with a wide variation of contract terms that must be evaluated and interpreted. This poses a particular challenge to large institutions, such as universities and libraries, in determining legal and acceptable use in any given work. A number of commenters argued that federal copyright law should preempt such license terms. Other commenters argued that Congress did not intend copyright law broadly to preempt contract provisions. They argue that the freedom to contract serves the interests on both copyright owners and the public by allowing greater flexibility in determining pricing, terms and conditions of use, and other options. We hope and expect that the marketplace will respond to the various concerns of customers in the library community. However, these issues may require further consideration at some point in the future. Libraries serve a vital function in society, and we will continue to work with the library and publishing communities on ways to ensure the continuation of library functions that are critical to our national interest. The inadvertent pitting of creators of information against users and the champions of users, of information is a sad chapter in our national research agenda.

uelTA In US, many states the discussion surrounding the Uniform Computer Information Transactions Act (UCITA) proposed by the National Conference of Commissioners on Uniform State Law (NCCUSL) engages both sides on these issues. It is important to note that non-negotiated licenses are the particular focus of UCITA-not the

256

ELECTRONIC LIBRARIES IN

21ft CEN'I1JRY

millions of contracts for online infonnation that libraries and others negotiate with a wide variety of vendors. UCITA recognizes that non-negotiated contracts (shrink-wrap and click on licenses) are a reality and seeks to codify these transactions. UCITA offers some benefits and protections in the areas of non-negotiated licenses, but librarians insist that the importance of fair use should be stressed by inclusion directly into the language of the law itself rather than being merely mentioned in the NCCUSL written comments. Under current UCITA language, a library accused of violating fair use of a computer infonnation product because a click-on or shrink wrap license prohibited such legally permissible use, must first prove that in the particular example in question, the fundamental public policy of fair use outweighs the fundamental public policy of right to contract. AND, if successful in convincing a court that this is the case, the library must go on to prove that its actions fell within the legal proviSions of fair use. Libraries believe that fair use is a right, not a privilege and is carefully crafted in the law to protect copyright owners. (See the appendix for testimony and suggested language changes for UCITA.) Four factors must be considered for actions to constitute fair use: 1) purpose and character of the use of the copyrighted work, 2) nature of the copyrighted work, 3) amount and substantiality used in comparison to the work as a whole, and 4) effect on the potential market for or value of the work. Publishers and producers of copyrighted works often believe that fair use is only a defense to misuse or infringement and therefore should be a privilege to be exercised under certain conditions or for particular reimbursements ... in other words pay per use-as if one

ELECTRONIC

LiBRARY S£RVICES

257

were to pay for each episode watched on a cable television channel. In the born digital world it is easy to remove information from public access. as well as to trace who has used what information. Both have a chilling effect on research and product development. In the aftermath of September 11th. with a heightened concern about the threat of further terrorist attacks. the federal government quickly attempted to increase national security. Congress passed the USA Patriot Act to strengthen our federal information-gathering network. The Patriot Act widens the' scope of information federal law enforcement offiCials can legally access. as well as widening their means of access. For libraries. whose user information has had the same level of confidentiality protection as educational and medical records. the Patriot Act violates the libraries fundamental value of protecting user privacy. Providing a safe place for the community to exchange ideas is one of the fundamental prinCiples of the library. and is threatened by this new legislation that allows federal investigators to access the content of email on library computers as well as tracking what sites a user visited or what books and materials they used. And finally. a number of federal agencies responded to September 11 th by withdrawing previously accessible information from the public. Some have removed information from their websites. while others have requested through the Government Printing Office (GPO). that information held by Federal Depository libraries be pulled from public access. or destroyed or items on web sites indicated by GPO access tools are no longer available. The GPO has traditionally requested that information be returned or destroyed for inaccuracies. but since 9/11 information on waterways. nuclear sites. and other potential targets have been removed from access through a variety of ways peculiar to the digital environment. While there may be information there that is useful to

258

ELECTRONIC

LmRARms

IN

211ft CltRtvar

potential terrorists. the information being removed from public access also has many legitimate public uses. For evexy information resource that a libraxy handleswhether book. periodical. video. or electronic product. there is a life cycle that our educational. political, SOCial. and economic communities takes for granted. When information is created, or born. it is eligible for the full legal protection of our copyright laws to provide a fair profit to its creator. producer, or distributor. Historically, in the print environment, as that information piece aged. it went through phases of discounted market value. public use, and finally entered the public domain. That life cycle-information matures. is used. and enters the public domain-is critical to research and the production of a new generation of information. The preservation of information, whether in hard bound book or digitally born document, is the final step, and carries a significant cost to the preserving institution. There may need to be a repurposing of intellectual property guidelines and laws governing use of information for learning in the digital environment to ensure that we continue to have access to a full. robust life cycle. In the digital environment. information is first at risk because the market place does not plan well for long term capitalization or investment-especially in the absence of current profit. As libraries and information users seek to translate fair use and first sale principles into the digital information environment and ensure the right to share for research. they may have to learn new ways to coexist with fair profit. Similarly, creators and distributors of digital information may have to consider alternative business practices to coexist with fair use. The initial access to ~nfonilation may need to be Circumscribed, but that information in the digital world must age into the public domain to protect our capacity for new economic opportunities. product development. and reinvestment through use and research.

ELECTROl'IlC

I..mRARY

SERVICES

259

Currently, we lose many digitally born documents when their creators decide they lack sufficient further market value. At this time, libraries often cannot obtain the legal or the technical means to make even one preservation copy. Therefore, in the digital environment, short-term profitability determines the longevity of born digital information that our children mtgh~ need. Without a preservation copy the information will not exist. There are at least two challenges to be met. First, the information must acquire permanence-perhaps independent of the electronic environment, perhaps within it-that ensures that it has a chance for a robust long-term existence, and that it exists long enough to pass into the public domain. That permanence must not be constrained by market factors since it is impossible to predict what information will lead to research breakthroughs or new products in the. future. Second, there should be no cost access to the public domain irrespective of format-at least through libraries. Recognition and exploration of concepts including current practices, other cost models and issues of long term custody or stewardship could raise the level of debate as we work towards reconciliation between fair use and fair profit. Currently libraries respect and track fair use, pay in advance through higher initial licensing costs for multiple use, and reimburse for use beyond legal fair use gUidelines .. As institutions, libraries may pay more up front to make information available to multiple users and the doctrine of first sale allows us to share and lend those materials.

Information Highways The term 'information highway' gained prominence as a political vision. The information highway is not simply a matter of political will, however. In many ways the political will has been a bandwagon effort to tip national scales in favour of competing most successfully for the increasingly obvious and potent economic benefits of a

260

ELEcTaOl'fIC

LIBRARIES

IN

21ft CEl'ITVRY

whole range of groundbreaking. technological R&D which has taken place over several decades. Basically. the infonnation highway may be defined as the convergence of computer and communication technologies. Not surprisingly. given its complex array of components and transfonnative power. perceptions of what constitutes the infonnation highway differ. often according to vested interests. Academics. for example. tend to think of the infonnation highway and the Internet as synonymous. Some use the tenn 'infonnation highway' as a catchall to describe the technological revolution. the transformative process that is sweeping most of the globe. For others. the words 'information highway' identify the individual technological innovations that affect our everyday life: most prominently. the Internet. interactive television and electronic banking. Yet others view it as a massive infrastructure. constituting a 'seamless and transparent network of networks' capable of transmitting a full range of interactive. audio. video: and data services. No matter which component is emphasized. the phenomenon of the infonnation highway is massive. transformative and inevitable. given the enabling power of the technologies involved. As Al Gore (1995) has stated: New technologies that enhance the ability to create and understand infonnation have always led to dramatic changes in civilization. . . . There is no longer "any doubt that (these new) machines will reshape human civilization even more quickly and more thcroughly than did the printing press. Although the 'information highway' initiative was given its name in the United States. the phenomenon was recognized simultaneously in many places in the world. Developmental stages differ. however. Singapore was one of the first countries worldwide to perceive and capitalize upon the economic benefits to be gained from the development of an IT-based infrastructure.

ELECTRONIC

LIBRARY

SERVICES

261

The incentives wer.e strong: upon achieving self-rule in 1959, Singapore was saddled with severe poverty and chronic unemployment of its poorly educated population. From 1965 Singapore switched to a development strategy of export production, first in the industrial and manufacturing sector and then in technological diversification, a strategy which met with exceptional success. . This remarkable result of high-tech leading to information highway development can be attributed to the activist policies of the government in creating macroeconomic stability (low inflation, positive real interest rates, sound fiscal management) and above all a liberal foreign trade environment. Europe, in the early stages of forming' itself as a world trading block, had reasons similar to Singapore's to seize upon the economic opportunities prOVided by the emerging information technologies. Seeking to bolster private sector growth, it did this particularly in terms of research and development. From the mid-1980s, the European Strategic Programme for Research in Information Technology (ESPRIT) has been a remarkable source of R&D funding. Convinced that information technology would be a large factor not only in the successful formation of the European Union itself but also in its effectiveness in global trade, the European Commission established the first ESPRIT programme with the aim of strengthening an already growing information technology indUStry. The overall objective is to contribute to the healthy growth of the information infrastructure so as to improve the competitiveness of all industry in Europe, n<,>t just the IT industry, and to help enhance the quality of life. Outlining plans for the Common European Information Area, it provided the impetus for the establishment at the 1993 Brussels Summit of a group of prominent persons to . prepare a report on the information society with concrete recommendations for action.

262

ELEcmomc LIBRARms

IN

21ft CEl'ITIJRY

Although thIs High-Level Group on the Information SocIety, chaired by Martin Bangemann, was not charged to advise on the information highway per se, nearly all of the recommendations of the subsequent report relate to its development. Overriding the specific recommendations of the Bangemann Report concerning competition rules, protection of Intellectual property, interconnection, Interoperability and other Information highway issues is the urge for the European Union 'to put its faith in market mechanisms as the motive power to cany us into the Information Age'. The report continues: This means that actions must be taken at the European level and by Member States to strike down entrenched positions which put Europe at a competitive disadvantage.' This should be done by fostering an entrepreneurial mentality and developing a common no:gulatory approach rather than using more public money, finanCial assistance, subsidies, dirigisme, or protectionism. The Group also proposed an action plan of concrete initiatives based on a partnership between the private and public sectors to carry Europe forward into the information society. The Bangeman Report, presented at the Corfu Summit, gave way in July 1994 to a European Commission Action Plan (1994) which urged activity in the following four areas: the required regulatory and legal framework for trans-European networks: basic services and content applications: social, societal and cultural aspects: and the promotion of the Information SOCiety. Within the European Union itself, several member countries have undertaken their own initiatives regarding national information highway development and related poliCies. France, in fact, can rightly be called the preinformation highway 'pioneer' with the development of Minitel by France Telecom in the early 1980s. Minitel, now an integral part of daily life for French people, both at home and at wQrk, currently offers a wide range of electronic directories including the International MinUel Directory covering over 200 million telephone

263

subscribers in Europe (Belgium. Germany. Portugal. Spain. Switzerland) and the United States. In addition to its directOries. popular Minitel electronic services have expanded to include banking. transport information. mail-order selling. tourist information. weather reports. classified advertisements. radio and television information. and various business services. With over fourteen years of online service experience. France Telecom made its apprOximately 25.000 Minitel services available on the Internet in May 1996 and is moving into multimedia applications. In February 1994 Gerard Thery. father of Minitel and former Djrecteur General des Telecommunications. was appointed to analyse and report on measures for the development of information highways in France. The Thery report. completed in October 1994. recommended four major actions: the deployment of fibreoptic networks; the launching of platforms for experimentation similar to those in the United States; the promotion of applications software and content; and the acceleration of high-speed transmissions on the I'\etwork. Other countries in Europe which have proceeded with government policies for information highway development at the national level include Denmark. Finland. Norway and Spain. The United States. meanwhile. was the first government to call for action and advice focused specifically on the information highway. An Information Infrastructure Task Force (IITF) was established by the White House Office of Science and Technology Policy and by the National Economic Council as part of the NIl Agenda for Action initiative. The Council was estab1ished by Executive Order 12864 in September 1993 to advise the IITF. Major issues for the Council were: the appropriate roles of the private and public sectors in NIl development; a vision for the evolution of the NIl and its public and commercial applications; the impact of current and proposed regulatory regimes on the evolution of the NIl;

264

ELECTRONIC LIBRARIES IN

210T

CENTURY

privacy, security and copyright issues; national strategies for maximizing interconnection and interpretability of communications networks; and universal access. In April 1994 the Council organized itself into three MegaProject Working Groups to explore: the vision and goals for the information superhighway;' access to the superhighway; and intellectual property, privacy and security issues. The purpose of the MegaProjects was to frame discussion and draft recommendations to facilitate the full Council's ability to reach consensus in these areas. The Council met across the United States from February 1994 to the end of 1995, receiving voluminous public comment. In March 1995 it published its emerging framework, an articulation of basic prinCiples, the first of which addressed five areas: universal access and service, privacy and security, intellectual property, education and lifelong learning, and electronic commerce. The Council concluded that the most efficient way to develop the information highway ('super-highway') in the United States was through community effort. Its KickStart Initia~ives document offered gUidelines for achieving universal access by connecting the nation's schools, libraries and community centres. In Canada, the Final Report of the Information Highway Advisory Council (IHAC), produced in September 1995, addresses many of the issues mandated to the United States Council. It also echoes to a large extent the policy stance recommended by the Bangemann Report. Established by the Minister of Industry Canada in May 1994, with McGill University Professor David Johnston as Chair, IHAC was a high-level group of twenty-nine Canadians from the private sector (telecommunication, cable television, computer and networking technologies), government, education, and other interested groups such as consumers, labour and libraries. IHAC was charged to advise the Canadian Government specifically on fifteen issues, including competitiveness, culture, access to learning, and research and development. The Council's deliberations were guided

ELECTRONIC LmRARY SERVICES

265

by three objectives: to create jobs through innovation and investment in Canada; to reinforce Canadian sovereignty and cultural identity; and to ensure universal access at reasonable cost. The Council also established five principles: an interconnected and interoperable network of networks; collaborative public-and private-sector deve]opment; competition in facilities. products and services; privacy protection and network security; and lifelong learning as a key design element of the information highway. In ASia. despite recent progress in China. the Republic of Korea. Malaysia and Thailand. no country compares with frontrunner Singapore in information highway development. However. it is also important to note the progress of Japan. Despite its history as one of the most 'informatized' societies of the world. Japan was in fact slower than the United States to progress toward formalizing its information highway development. This was due partly to the proliferation of government departments and other agencies which claimed responsibility. including the Ministry of International Trade and Industry (MITI). the Ministry of Posts and Telecommunications (MPT), Nippon Telephone and Telegraph (NIT). numerous cable television companies. telecommunication eqUipment suppliers and media owners. In June 1993 the Information Industry Subcommittee of MITI's Industrial Structure Council published a report on improving the social infrastructure for the information SOCiety. Later in 1993 NIT announced its grand plan. at a cost of US$400 billion. to install optical fibre throughout Japan by the year 2015. Also in 1993 the MPT was framing new regulatory poliCies for infrastructure development. A new vision for an advanced information society. with Japan taking the lead in Asia in the multimedia industry. was announced in September 1994 by Prime Minister Murayama's Advanced Information and

266

ELECTRONIC LIBRARIES IN 2111T

CEl'ITORY

Telecommunications Society Promotion Headquarters. In recent years the ministerial meetings and conferences of the G-7 member countries have provided a focal point for global information highway development by the industrialized nations. Following the Bangemann Report. the central theme of the G-7 Ministerial Conference in Brussels on 24-26 February 1995 was the information society transforming the quality of life for a growing number of peoples around the world. Global interconnection was discussed. with recommendations for worldwide co-operation. especially for the less developed countries. The outcome of this conference was the designation of eleven specific projects in selected theme areas. The themes. which offer a glimpse of the already incredible sweep and breadth of the information highway phenomenon. are: creation of a global inventory of information relevant to the development of the global information society; global interoperability for broadband networks; cross-cultural training and education; electronic libraries; electronic museums and galleries; environment and natural resources management; global emergency management; global health-care application; governments online; a global marketplace for small and medium enterprises (SMEs); and maritime information systems. The projects were assigned to the various G-7 countries. The Organization's programmes in this area are designed to assist all Member States to respond to the new challenges of the information society. More particularly. they aim to ensure that all sectors of society benefit from the potential of information and communication technologies to support development processes. At the centre of the challenges posed by the emerging information society is the concept of universal access and how a 'right to communicate' will evolve in an increasingly digital world. Access in this context involves not only physical availability and cost. but also ensuring that the user can

267

benefit from the services concerned. with a minimum level of 'digital literacy'. In the increasingly competitive and commercial world of information and communication. the risks of excluding disadvantaged populations are substantial. both within and among societies as well as among developed and developing countries. An important facet of the 'right ,to communicate' concerns access to telematics facilities at affordable cost by the 'intellectual' sectors - education. science. culture. media. libraries and archives - which have a crucial role to play in the development of national information infrastructures. Another important issue is the maintenance of linguistic and cultural diversity in the information society. Technology-induced globalization is seen by many as a threat to local customs. values and beliefs. as exemplified by the fact that. today. a large majvrity of the data on the Internet is in English. Increased access to interconnected networks and databases raises major ethical and legal issues. These include: privacy of information and the right of individuals to check data pertaining to themselves; regulation for the content of information circulating through information highways; computer piracy and other informatics crimes; and copyright. where effo,rts are required to extend legitimate intellectual property protection 'while maintaining access to information. At the twenty-eighth session of the UNESCO General Conference (1995), a joint meeting of the PrograJJl::ne Commissions discussed the 'educational. scientlfk and cultural challenges of the new communication and information technologies'. The General Conference also adopted 28C/ Resolution VII.I5. which stressed the societal problems of information technologies and potential dangers of infcrmation highways to developing nations.

268

ELECTRONIC LmRARIES IN

21 0T CEN'nJRY

UNESCO has undertaken a wide range of activities which may be described under three headings: Overall societal impact, at the global level, of new information and communication technologies. Co-operative links have been established with the International Telecommunications Union (lTU) and other IGOs and NGOs; and various meetings have been or are being organized: Copyright in the Information Society; Education and Informatics; and Ethical, Legal and Societal Aspects of Digital Information. In 1994, in the framework of their Joint Programme on Promotion of Telematics for Development, ITU and UNESCO completed a study entitled The Right to Communicate - At What Price: Economic Constraints to the Effective Use of Telecommunications in Education, Science, Culture and in the Circulation of Information. This defined a new strategy for ensuring access to modern telematics facilities at affordable cost for users in UNESCO's fields of competence in the developing countries. More recently, a United Nations system-wide, Special Initiative on Africa was launched 'Harnessing Information Technology for Development' - for which ECA, the World Bank, UNESCO, the lTU and UNCTAD are identified as the lead agencies. A large number of projects are under way, in many areas related to new information technologies and information highways. Examples are the linking of African countries to the InterI).et, improved access to telematics services in the Caribbean, the application of electronic information technologies to distance education, safeguarding Internet use by journalists and the media, and the Memory of the World Programme.

Telecommunication Technologies The essence of the information highway revolution lies in the co'nvergence of information processing and telecommunication technologies. This has eroded the

ELECTRONIC LmRARY SERVICES

269

traditional distinction in. communication between carrier and content, resulting in several profoundly new challenges, not least of which is regulatory turmoil. Clearly, the technological issues related to the development of the information highway infrastructure are complex, the costs are immense, and with convergence the stakes for the major carriers are extremely high. Whereas the governments of Singapore and others in East Asia have intervened strongly to ensure the benefits of a strong infrastrncture for their countries, Western governments have attempted to stimulate private sector development. In the countries of the West, where the private sector is expected to drive information highway development, deregulation currently holds centre stage. There is widespread agreement that the United 8tates has taken the lead, beginning with the break-up of the AT&T monopoly in 1984 and culminating to date in the signing by' President Clinton of the Telecommunications Act of 1996. In one sweep, the new Act ends United States Government regulations that have maintained barriers between local and long-distance telephone services, cable television, broadcasting and wireless services. In the age of digital communications, those regulations have become anachronistic. The microchip is placing all forms of communication - from satellite-television images and long-distance telephone calls to e-mail and World Wide Web pages. Finland, Sweden and the United Kingdom have already at least partially opened their markets to carrier competition. Fifteen EUIopean Union countri,-s together with Switzerland and Norway, face a deadline to do this formally on 1 January 1998. In anticipation, new players are already investing many millions of dollars in networking and building alliances; for example, Olivetti of Italy has a joint venture willi Bell Atlantic Corporation, with plans to team up with France Telecom and Deutsche Telekom to challenge the monopoly of Telecom Italia.

270

ELECTRONIC LmRAlUES IN

21'"

CEfnUKf

Meanwhile, amid fears that the 1998 liberalization agreement will be a case of 'too little too late', new competitors in Europe will be permitted as of July 1996 to lease telephone lines from cable compan~, railways and utilities, bypassing the monopoly of national operators and paving the way for a billion-dollar transEuropean backbone network. Meanwhile, liberalization of trade in basic telecommunication services is currently being negotiated at the international level through the General Agreement on Trade in Services (GATS). In the midst of all this activity, encouragement of standards becomes a crucial governmental role. The key to an effective and effiCient global information highway. for competition as well as for SOCiety as a whole. is interoperability. Most obviously, open (as opposed to proprietary) technical standards are required for the infrastructure, but because of digitization this infrastructure increasingly includes content as well as the carriers. Accordingly, international content/carrier standards are necessary for digital c'Ompression, data transmission protocols, software, consumer eqUipment, etc. The development of international standards in such a fast-moving area of activity is not without risks; at best, flexibility is required to avoid the costly mistakes of going down wrong developmental paths, technical myopia and monopolistic pressures.

Multimedia Production Growth Because development of content and applications on the information highway depends upon the infrastructure, this latter aspect initially captured attention. In North America and Europe, too, content and applications have come more sharply into focus - both through reoriented, newly-allied carriers and through the new multimedia players. Within Europe, the INF02000 initiative illustrates the push for multimedia production growth. In a

ELECTROIlIC LIBRARY SERVICES

271

Communication to the European Parliament and Council in 1995 the European Commission defines the content industry as involving the creation, ·development, packaging and distribution of content-based pro1ucts and services, and describes the different segments of the industry as follows: Print publishing (newspapers, books, magazines, corporate publishing). Electronic publishing (online datab&.ses; video-tex, audiotex, fax- and CD-based services; video games). The audiovisual industry (television, video,. radio, audio and cinema). The INF02000 initiative has three action lines to facilitate the transition by the private sector to electronic publishing and interactive multimedia: stimulating demand and raising awareness; exploiting Europe's public sector information; and triggering European multimedia potential. In general, the [information highway] will be driven by the content carried over the network - services, applications and information. According to consumer surveys, likely areas for success are: entertainment, including a broad variety of interactive, user-driven arts, music, video and games; information sharing, such as news groups and bulletin boards; medical databases and consultation; interpersonal communication, such as voice, video, fax and electronic mail; news gathering and research; educational applications; banking, insurance and securities trading; and monitoring services, including home security, fire protection and home environment regulation. Although many of these products are not new, to succeed, the new mode of delivery over the [information highway] must provide additional value to the consumer. While many carriers have targeted entertainment, videoon-demand in particular, as the top choice of consumers, recent surveys reveal different priorities. Four key areas of consumer demand for content and new· services have

272

ELECTRONIC LIBRARIES IN 2111T

CENTlJRY

been identified in order of priority as: education and training; health care; leisure and entertainment; and government information. Education is clearly an area where traditional structures are crumbling. To begin with. 'facilitated by the power of information technology. classroom learning now extends beyond a single campus to distant sites across the country'. Beyond that. dramatic changes in student demographics. the current knowh~dge explosion. new tools for accessing. creating. displaying and assessing information. and many other factors. are transforming the nature of the learning process itself. Educational software and CD-based products abound. as do videoconferencing. audiotex and other technologies for distance delivery. The drive for multimedia products extends to all ages and levels of education. from preschoolers to pensioners. Huge markets exist. for courseware and other curriculum delivery products for students from primary schools to universities. In addition. there is growing demand for training packages in the workplace to increase skills. and for upgrading and retraining programmes for workers displaced by redundancies. early retirements. etc. Indeed. as in all areas of life affected by the information highway. the ability to access these products from home has exacerbated the loss of boundaries between home and work and school (and allied institutions such as libraries). transforming the consumer's living room into a 'virtual' school. office or library as required. This blurring of distinctions profoundly increases the overlaps between education and entertainment. between work and play. Much of the current market for homebased learning and training involves cable vendors and/ or the Internet. causing direct competition in the United States. for example. between current online service providers. Telecommunications Inc.. another United States cable giant. has announced plans for a trial next year of its

ELEcrROl'lIC LIBRARY SERVICES

273

home online service. and Netcom. the largest American Internet access provider. has plans to meet Bell Canada's new Sympatico Internet service head-on. Meanwhile. Le Groupe Videotron. a Canadian-based cable company. already has an operational home service available by subscription in Montreal and in the United Kingdom. offering an array of services on cable television including banking. video-on-demand. and fast food ordering; the only additional equipment required is an IBM-designed modem and a card swiping device for payment. The growth of electronic payment systems is a concomitant feat~re of the new content services -indeed. all forms of commerce - on the information highway. The shift to electronic 'cash' is a further instance of the general transition from paper to electronic documentation. Sophisticated financial transaction systems based on direct payment. payroll. electronic data exchange and credit card transactions are being developed. The development of payment/ credit systems for electronic commerce on the information highway. secure against counterfeiting and fraud. is big business in itself. Currently Visa and MasterCard are at a standoff. Visa working with Microsoft to develop a Secure Transaction Technology Protocol and MasterCard working with Netscape and other vendors on a Secure Electronic Payment Protocol. Beyond matters of payment. however. is the development of smartcards that include a wealth of personnel data that can be used in transactions ranging. from user verification to insurance purchase to health care. For example. Motorola. the world's leading supplier for smartcards. has recently announced major contracts with two new European government health and social security projects. Spain will take delivery of 7 million card chips as part of an eventual countrywide social-security-linked smartcard programme; and the Czech Republic will take 10.000 chips for a pilot scheme as part of a countrywide

274

ELECTRONIC

LmRARms

IN

210T CEl'ITVRY

health project to reach 10 million people and provide vital health-care information. Health care on the information highway is an explosive development area, with services from distance diagnostics to consumer health information. Telemedicine is appearing in areas of the world where distance is a factor; in Canada, for example, a system links rural doctors in Alberta with. specialists in the city of Calgary. Still in early stages of delivery-, this system is estimated to have significantly decreased health-care costs, including the wear-and-tear, travel and accommodation costs of patients. Soaring health-care expenditures, driving the trend to hospital closures and increased emphasis on community care, have made the potential benefits of telemedicine particularly attractive. Coupled with the smartcard phenomenon that enables patients to access their entire medical records, the possibilities (and pitfalls) for electronic health-care delivery- are still in their infancy. ,It is evident that, along with convergence and restructuring on a massive scale in the information technology industries, the new content industries (multimedia, imaging, etc.) are bringing about the global de-institutionalization of schools and hospitals. Sweeping changes are being brought about by the information highway revolution in other institutions, too. 'One of the first pieces of evidence that this is a "big one", as far as revolutions go, is that three of the oldest institutions of human civilization schools, hospitals and libraries - are undergoing this sort of fundamental, structural change'. Indeed, the concept 'library', difficult enough to define in the traditional sense, has become almost impossible to define today. It has been a long time since a library was ,merely a collection of books. For centuries libraries were essentially archives for the storage and preservation of recorded thought. Not until the early twentieth century-, in fact, did libraries emerge as distinct from archives, with an emphasis upon information retrieval and use.

ELECTRONIC

LIBRARY

SEKVICES

275

In other words, although the revolution brought about by the invention of the printing press had a direct and profound impact upon libraries, its ramifications were slow to develop fully. In contrast, the impact of the current information revolution is happening with breathtaking speed. It has heen said that, increasingly, new nurses are getting jobs not in hospitals, but as partners in health-care delivery. The same can be said for librarians who, as libraries close, are beginning to be placed more strategically as knowledge workers within organizations. There is a vast array of opportunities for librarians, who adopt new names like data analysts, information managers, information consultants and the like, in today's knowledge-intensive organizations (for example, consulting firms, software companies and other SMEs). In the public sector, the Freenet phenomenon in North America has opened possibilities for the 'wired' public library. Some librarians, not yet grasping the speed of the transformation, still mount their catalogues on the Internet so that people will come to the library. With remote access to library catalogues, electrOnic publication and document delivery, that walk to the library is becoming irrelevant. The virtual library is in the consumers' offices, classrooms and homes. As electronic communication grows, the need for the traditional intermediary skills of librarians lessens. Long the facilitators between people and information, today's librarians face not just the crumbling of their institutions but the more positive cognitive task of seeing themselves as information highway 'content people'. In other words, their professional future lies within the multimedia and content provision industry as a whole. Preserving and providing access to 'the cultural memory' in today's global village is at least as important as it has been in centuries past; the stakes for all content providers -librarians and archivists included - are as high as the opportunities. The race toward global

276

ElECTRONIC LIBRARIES IN

21 wt CEl'fI'DJlY

interconnectivity and content deliveIY brings with it the important issue of cultural sovereignty. Cultural and linguistic aspects of the information society are of particular relevance. The nature and operation of the global information infrastructure must respect cultural and linguistic diversities. The content of new networked applications, especially in the spheI:e of education and entertainment, is likely to become as essential as the traditional media as a vehicle for shaping cultural values. Audiovisual programmes are a key component of content. Encouraging the circulation of diversified content is highly desirable in order to promote mutual understanding and cultural enrichment. However, it is also very important to preserve and promote cultural and linguistic specificity, whose importance as an objective is justified by the contribution diversity makes to human progress and mutual enrichment. Cultural diversity and the appropriate presence of indigenous cultural products and services will be facilitated by the impressive potential of low cost deliveIY of multimedia content over the information infrastructure. Linguistic minorities find themselves especially vulnerable in a world increasingly connected by information in the English language. Strong public cultural policies have become extremely important in non-English-speaking or bilingual countri~s. Equally important are the legal and ethical aspects of electronic content control, the most vexing (and unresolved) of which have to do with intellectual property, privacy and security. 'Browsing' js a particular thorny copyright issue: authors, on the one hand, fear loss of control over their works in an electronic environment, and on the other hand consumers, readers especially, fear loss of their traditional. right to browse through a document (book, newspaper, etc.) before photocopying~ borrowing or buying it.

ELECTRONIC

LiBRARY

SERVICES

277

The latter has become especially critical in the light of at least one recent court decision. in the United States. that the act of browsing a work in a digital environment (that is. viewing it on a computer screen) constitutes an act of reproduction. The twin issues of privacy (confidentiality) and security (protection. authentication and verification) of data are significant enough to have spurred the growth of entire new industries. . Privacy is of deep personal concern to consumers. particularly with the advancement of smartcards. Data security is crucial for today's individuals and organizations wholly dependent upon electronic databases for accurate (often sensitive) information free from the threat of 'computer crime' such as tampering or 'hacking'. fraud and unauthOrized deletion. Interconnection of networks is dramatically increasing the number of electronic transactions. credit ratings. financial accounts. education records. medical and driving records. etc .. that can be amassed in individual or company profiles. These masses of data cross national boundaries (an aspect of the disturbing issue of transborder data flow). and are often resold. re-used, or integrated with other databases - often without knowledge. consent or remuneration. Databases of health information and credit card spending habits. two areas of most concern to indiViduals. are of conSiderable commercial value to insurance companies. etc.. and 'the incentive to sell such information is high'. With few exceptions. the current privacy laws of countries are underdeveloped. out-of-date or otherwise ineffective. An important part of guaranteeing security on the information highway will be the development of a Public Key Infrastructure (PKI). It is likely that broad-based security will be achieved through several PKIs. to be built by different public and private entities. But an unfragmented 'electronic market' on the information highway. offering maximum consumer choice. will be possible only if PKI interpretability standards issues are fully dealt with.

278

EucTRom:c I..mRARJEs

Dr

21"" CEl'mJIlY

Library Service Programming In this century, library users have changed, the information tools available to them have changed and, perhaps most significantly, the way in which users interact with libraries has changed. Service programming at most academiC libraries has been impacted by these changes. To effectively serve 21st Century librruy users, librarians must strongly challenge their current assumptions about patron needs, service programming, and about their own roles as information profess(onals. Several Indicators suggest that a disconnect is developing between libraries and their users. Users are seeking and finding alternate Information resources. Remote and around-the-clock access to library services is Increasingly the norm. Providing assistance to information seekers at the point of need is increasingly challenging because the' point of need is becoming ever more broadly defined. As fewer patrons avail themselves of traditional deskbased reference service, increasing numbers of users are taking advantage of remote-access library services that are often served with no option to seek librarian help. Librarians must be pOSitioned to deliver services to this new generation of academic library users whose service expectations and use patterns differ markedly from those of their predecessors. Complicating the resolution of these issues is the fact that many students are arriving at libraries quite defiCient in information literacy skills. Traditional library service models often lack both flexibility and focus to respond to these circumstances, but librarians can embrace a new view of their role and work toward positive solutions of these issues. Central to the development of an appropriate response to current circumstances is a change in perspective, a fundamental change in the way librarians view their role as partiCipants in the educational and research process. The traditional content, or object-centered, view of library

ELECTROl'OC LIBRARY SERVICES

279

service posits that librarians are to acquire books and other information resources. and engage in a variety of activities designed to make them available to users. This view is reflected in many traditional measures of libraries- number of journal subscriptions. number of volumes owned. the gate count of patrons. Indicators such as these are viable 'measures of the library. but they often do not reflect a true measure of library service. In the face of changes such as noted above. this traditional view of library service becomes increasingly difficult to support. Libraries should strive to view their service mission from the perspective of the patron. A patron-centered view of library service addresses modern patron needs and alternative ways of using the library. and it respects the time-related user needs that have evolved along with remote access and the increasing number of busy nontraditional students who cannot adhere to a traditional schedule. Importantly. a patron-centered view of the library mission suggests that academiC library service programming must endeavor to directly impact the specific learning and research outcomes of the student ,or researcher. Such a focus will lead the librarian into closer alliances with teaching faculty and researchers as courses are developed and research teams are formed. Rather than build~ng collections against broad goals. collections can be developed to optimize impact on a focused set of outcomes that are germane to the interests of particular library clientele groups. Users will benefit as librarians implement programming that reflects a philosophical change from a content view (number of books. type of subject matter addressed) to a competency view (what students will be able to do having utilized library resources). If librarians choose to adopt this view of service programming. they will be in an excellent posi~on to remain relevant in a changing information environment

280

ELECTRONIC LmRARIES IN

21ST CEIn"URY

and embrace a leadership role in making these changes successful. An effective implementation of this approach to library service programming will address changes in user patterns, provide human service at the point of need, and accommodate instruction in the information literacy skills needed to use these resources. In a rapidly developing environment with limited resources, it is also essential that libraries assess programs, ongoing and under development, and continue that assessment to ensure that changes remain effective. In this new environment of changing services and logistics, users have developed different informationseeking habits. This clientele can often best be served by programming a, mix of traditional and modern services. Librarians are, however, truly challenged to assist users in the effective use of electronic resources when the majority of users are beyond reach of the librarians. These remote users may be found both inside and outside of the library. Patrons working in the library, accustomed to doing many tasks online, are increasingly hesitant to approach a librarian for assistance. Students often attempt to confer inconspicuously with neighbors or attempt trial-and-error rather than draw attention to themselves by asking for help. A user may be working in a part of the library remote from the reference staff, or may not want to risk losing access to a workstation while going to a reference desk. In a survey conducted by a major library systems vendor, students indicated that they would prefer studying at home but "at home there is no one to help". Human assistance may be presented in several forms: the traditional staffed desk service pOint; consultation by appointment in the office of either the patron or the librarian; or a virtual presence via a chat or online/ telephone connection. Information literacy has been defined in several ways, but many agree on the basic definition that library information literacy is the ability to access, evaluate and

ELECTRONIC LIBRARY SERVICES

281

apply creative thinking in the use of information from a variety of sources. Students arriving at college are often ill-prepared to grapple with the information resources presented by the modem academic library. Compounding the problem is the fact that many students have come to believe. that accessing and using information is simple, a belief supported by commercial marketing practices and popular usage of the Internet. In part because the Internet is so often billed as easy to use, even patrons working in the library hesitate to ask librarians for help. Popular usage may be easy, but effective research usage is not. Librarians often presume that students have grown up with computers but, in many cases, students arrive at college with no significant training in information literacy as defined herein. Many secondary schools claim to integrate information technology into the curriculum but, in fact, this training is often neither monitored nor evaluated. Only in rare instances have educational standards been established for such skills. Information literacy training can and should be adapted to local needs, and academic libraries and librarians are most often the best choice for developing and delivering such training. Evidence of this is found in US, Association of College and Research Libraries (ACRL) Information Literacy Standards for Higher Education, where student learning is viewed as a joint responsibility of the university and the library. When the library changes the focus of its mission from a content view (making available material to support particular subjects) to a competency view (ensuring that students will develop course-indicated competencies) the library can actively contribute to achievement of learning outcomes. Most libraries will find that constructing a new service model must be done without the benefit of additional staff. While staffing is always a challenge, it can be turned into an opportunity to begin the development of new staffing patterns, a new mix of services, and to develop new roles for existing librarians.

282

Whether or not librarians choose to embrace the fact. new roles have already been created for them. Many libraries are now pursuing initiatives that are deliberately structured to emphasize direct contact between library subject specialists and academic departments. This results in the enhancement of muchneeded consultative services. but at the expense of librarian hours available for either traditional desk-based or "virtual" seIVice. Even proponents of increased library electronics note that traditional seIVices are an.integral part of any future reference service model. Response to the need for traditional interaction between patron and librarian should not, however, be limited to the reference desk. Remote users may need as much, or more, librarian assistance as in-person users. Technology now allows the implementation of virtual reference services, either chat or voice-based, that can be quite effective in extending library resources to distant users. Increasingly, librarians are finding themselves employed as content developers- i.e., contributors to or developers of a variety of information resources served to patrons across the Web, often through a digital library setup. Web tutorials, specialized "non-acquired" databases, and specialized subject assistance Web pages are representative examples. Librarians should be paying attention not only to improving library-use instructional resources, they should also be improving the user (electronic) interface so that less instruction is necessary. At some point, it becomes necessary to make the transition from operational theory to actual practice. It is hoped that the suggestions outlineq here are sufficiently representative to be used in the development of a seIVice model·for academiC libraries. Changing user habits and the increased use of remote-access information resources have, in some libraries, coincided with the development of a digital library project. This situation can proVide the opportunity

E1.&cTRONlC

LIBRARY

283

SERVICES

to experiment with new roles for the librarians while tailoring the mix of services to accommodate user needs and staffing realities. Subject specialist librarians can be assIgned responsibilities for interacting with teaching and research faculty. Digital library projects can create roles for librarians as content developers-those who identify and/or create unique content for incorporation into the digital libraxy. While it is always difficult to fmd room in the curriculum for library literacy instruction, librarians can be both creative and aggreSSive in developing alternate means of promoting information literacy. College administrators should recognize the need for this type of instruction in specific areas of their respective curricula and accept librarians as partners in course development or as members of research teams. If local circumstance indicate the need for virtual, or "chat", reference service, an opportunity is presented to reexamine the role of the traditional reference desk, and rebalance the allocation of librarian hours. Chat reference can also serve as an excellent forum in which to develop inter-library partnerships. These suggestions represent only the beginning framework of a service model. Each library must construct a model of tailored service based on local circumstances. In the future, the most effective academic libraries will likely provide a tailored mix of both traditional and new library services, while developing new roles for librarians that focus on information literacy and personal service to both local and remote users. An effective assessment program can provide feedback to ensure that the mix of tailored resources remains effective. With these elements in place, academic libraries and librarians will continue to be relevant and effective into the 21st Centuxy. LIBRARIES IN

MOD~RN

SOCIETY

The information society development demands to redefme the position and objectives of all the institutions which

284

ELECTRONIC LmRARIES IN

21"" CEN"n1RY

work with information. knowledge. and culture. Of these. media and education have been discussed in the European Union actively. Libraries bave been a marginal theme. The situation is changing. Libraries have been identified as one of the key elements for open access to information. which is crucial to democratic information society development. In October 1998 the European Parliament adopted an own-initiative report The Role of Libraries in Modern Societies. the first library policy paper in the EU. It defines the need for the most important pan-European actions on library field. First. the general development of the information society is pushing to re-evaluation of all the institutions which work with information. data. and knowledge - indirectly also with culture. In this connection the role::> of education and media have been discussed already quite largely also in the European Union. But libraries - as well as other memory institutions like archives and museums - have not been conSidered. Still. there is a clear need in the information society to maintain an institution which is concentrating in collecting and organizing information and offering general access to it. Libraries are especially important now when the whole idea of education is streSSing more and more independent learning and acting. All citizens must be able to find and use information. It is the key raw material - but it is a zero resource. if there are no access pOints to it and if documents are in chaotic order. The unique function of libraries is to acquire. organize. offer for use and preserve publicly available material irrespective of the form in which it is packaged (print. cassette. CD-ROM. network form) in such a way that. when it is needed. it can be found and put to use. The challenge to modern societies is that the basic resource. knowledge. is developing from information in very individual. capricious and unpredictable process. Still. societies can support this development. e.g. by

ELEC1'RONIC

I..mRARY

SERVICES

285

offering acces to cultural and knowledge treasures. This can even be translated into economi~ language: to get out the best from the human resources in Europe, this resource must be feeded up with rich and' various cultural and information contents. The Amsterdam Treaty in 1997 declared Citizenship as an important theme. A significant part of this are a.o. granting information skills and access to information to every European. In addition to this, the European future strategies need to meet the democratic aspects of the information society development. One of the crucial pOints is again general access to information. Libraries, especially public libraries, are a good tool in all of these new areas. But the European union does not support whichever cultural or citizen concentrated projects in Europe. In the interests of the European Union there is always to find the European element. In the European Union, there have bt:en some efforts to mobilize "the treasures of the European libraries" since the mid-BO'ies. These discussions and resolutions led to two special library programs under the 3rd and 4th Framework programs of research and development. The later program has been known as' "Telematics for Libraries". They have been strongly concentrated in IT, because it has been seen as a good tool to produce better access to the existing, underused library resources. These programs have had a clear impact in the European library co-operation and development. Behefits of this work come to public libraries indtrectly: common standards and working methods help in the end all kiLd of libraries. But a fact is, that nearly all the libraries active in these EU projects are national libraries or big research and university libraries. In short, when adopting the own-initiative report, the EP was calling the Commission and/or the member states to following actions: Libraries must be taken in account in national and EU information society strategies apd in the respective budgets.

286

ELECTRONIC LmRARIES IN

21ft CItN'nJRY

Libraries need more resources for acquiring expensive books. The Green Paper on libraries by the Commission must be completed. The EU cultural and information budget should be opened to· libraries as well, . libraries and their cooperation should be taken in account in planning new programs. Problems of legal deposit in international and multinational materials, especially in electronic materials should be solved. Literacy has a special role in guaranteeing the basic citizen competence to everybody. It is in general interests of the society to offer possibilities to all people for maintaining and developing their literacy. In library work new technologies offer new possibilities to raise service level, too. Good examples can already now be found all over the world, mainly of course in those countries where Internet is used largely. Library catalogues are available via Internet, the patron can check her/his loaning data from Internet, and even renew the loans a country/areawide information service via Internet and e-mail; there are versions for link libraries or virtual libraries, where libraries collect and describe high-level link-ups discussion lists of librarians, whre they can share their professional skills and knowledge, even take part in developing the library policy of the country/area. There is one special comment concerning Internet which I have heard both from small libraries with rejected printed collections in Finland and from Mrican libraries: In case you got reach in Internet, the resources your library can offer to the patrons are suddenly multiplied. All of once we have exactly the same resource as British Library or the Library of Congress. In the complicated modern society libraries have many kinds of answers to many demands of the society, as well as those of the citizens. They have potential means to seIVe both the information society development and their traditional humanistic tasks.

:&I.EcTRoIIIC

I..onwn-

SERVICES

287

Modem Public Libraries Modem public libraries are widespread, popular and of enduring importance to social justice and the maintenance of a democratic society. The public library has become a mUlti-purpose agency with multiple roles covering the areas of information and life long learning, recreation and leisure, culture and research. The new Information and Communication Technologies (ICT) do not threaten the existence of public libraries but offer an opportunity to provide increasingly valuable and effective services for users. Because of their importance, public libraries are at the heart of both the Department for Culture, Media and Sport (DCMS) and broader Government poliCies: they underpin education, providing essential support for school children, students and lifelong learners; they enhance public access tQ the world's storehouse of knowledge and information; they promote social inclusion, by helping to bridge the gap between those who can afford access to information and those who cannot, and by facilitating access to information for socially excluded people; they are a vital conduit and access point for the main principles of modernisation and delivery of public services; they provide information and learning opportunities which underpin creativity, economic regeneration, urban renewal and rural development. In addition, their traditional roles in support of literacy, reading and personal and community growth are undiminished. In US, there are two relevant pieces of legislation; the Public Libraries and Museums Act 1964, and the Best Value provisions of the Local Government Act 1999. The Public Libraries and Museums Act 1964 makes it the duty of the Secretary of State for Culture, Media and Sport: "to superintend, and promote the improvement of,

288

ELECTRONIC LIBRARIES IN

218T CEN'J'UK1'"

the public library service provided by local authorities in England ... and to secure the proper discharge by local authorities of the functions in relation to libraries conferred on them as library authorities by or under this Act". Library authorities have a duty to allow access to their libraries to all comers. but their obligation to lend extends only to those who live or work or study full-time in their areas. The terms "comprehensive and efficient" are not defined within the 1964 Act. However. under the 1964 Act. a library authority should pay particular regard to: securing that facilities are available for the borrowing of. or reference to. books and other printed matter and other materials "sufficient in number. range and quality to meet the general requirements and any special requirements both of adults and children." This may be done by keeping adequate stocks of such books and other materials. by arrangements with other library authorities and by other appropriate means. Where there appears to be a failure to meet the provisions in the Act. the Secretary of State can institute an inquiry. issue a direction and ultimately order the transfer of library functions of a library authority to himself. The Secretary of State is also given power to hold an inquiry into any matter relating to the functions of a library authority under the Act. The duty of Best Value for local authorities. as enshrined in the Local Government Act 1999. requires each Best Value authority to "make arrangements to secure continuous improvement in the way in which its functions are exercised. having regard to a combination of economy. efficiency and effectiveness." The Act also contains a wide range of powers for the appropriate Secretary of State to intervene where local authority services within their remit are conSidered. as a result of the Best Value audit and inspection process. to be fatling. These powers are exercised by the appropriate Secretary of State. which. in the case of public iibrary

ELECTRONIC

Lm1tARY

SERVICES

289

services, would be the Secretary of State for Culture, Media and Sport. In order to fulfil its statutory responsibilities for public libraries, the Government is setting out to make available for users and their service providers - ie library authorities - a framework, which will both encourage and ensure an effective development strategy for each library service. Annual Library Plans were an important step on the way. The next, and very important, step in the process is the introduction of standards to guide the continuous improvement of services. The standards will assist everyone concerned with providing good and improving library services: library service managers gain the appropriate guidelines within which to formulate realistic plans; individual library authorities have the opportunity of establishing a target against which service levels can be properly reviewed; the Audit Commission is assisted in their Best Value inspections of library services; and users and the Government will have a means to make more informed judgments about the quality of services being received and provided, and what can be expected from library authorities in the future. The standards relate to key areas of service delivery in libraries and are defined by reference to the top quartile of performance on distributions measured by reference to available data at the beginning of each three yeai' planning cycle, starting in April 2001. The Department for Culture, Media and Sport (DCMS) will monitor library authorities' performance against the standards through the Annual Library Planning process. In monitoring and assessing authorities' performance against the standards, therefore, DCMS accepts that improvements in one area of the service may be difficult to make without regard to priorities in other areas. In consequence, an authority will not necessarily be judged

290

ELECTRONIC

LmaAluEs

Jl'f

21ft CEl'ITURY

on the basis of performance against one standard alone; a public library service is a complex and integrated operation. and any assessment by OCMS will take account of the whole range of standards. In reaching a' balanced assessment of an authority's performance. OCMS will also take into account whether the authority has met its own local targets for services to children. the socially excluded; ethnic minority communities and people with disabilities. and whether proposed targets are adequate. If assessment of an authority's performance against the standards raises concern. financial resources (especially those relating to expenditure on books and other materials) will be taken into account when making recommendations for improvement. Library authorities are reminded that. in its response to the Culture. Media and Sport Select Committee report on public libraries. the Government said: "Ensuring that book stocks remain up-to-date and attractive is central to keeping public libraries alive and is the magnet that draws users to the multitude of other services that we have all come to expect". The population served by any library authority Is not homogenous but comprises numerous large and small minority interest groups. In order to "provide a comprehensive and effiCient library service for all persons desiring to make use thereof', it is necessary to undertake a community profiling exercise: to identify the different market segments; and to adapt or develop existing services to better meet the needs of the different segments. Public libraries have an important role to play in helping to combat social exclusion within the communities they serve. The OCMS policy document. Libraries jor All. recommends that library authorities adopt a strategiC approach based on the following sixpoint plan: Identify the people who are socially excluded and

291

their distribution; engage them and establish their needs; Assess and review current practice; Develop strategic objectives and prioritise resources; Develop the services. and train the staff to provide them; Implement the services and publicise them; Evaluate success. review and improve. Libraxy authorities are strongly encouraged to adopt and implement these principles through their Annual Libraxy Plans. Most of the specific objectives in the standards can also be linked to objectives aimed at tackling social inclusion and set out in Libraries for All. When they are considering service provision. particularly in relation to convenient and suitable access. opening hours. electronic access. encouraging libraxy use. user satisfaction. and choice of books and materials. libraxy authorities should take into account the needs of socially excluded people. The particular social or economic characteristics of socially excluded people will vary from authority to authority. and consequently their information needs will vaxy. Adopting the methodology set out above will help to establish their service requirements. Throughout the following measures. a 'libraxy' means a staffed service point in a dedicated building. room or vehicle. It excludes. book-borrowing facilities in other premises - for example. shops or post offices. 'Larger libraries' are those with a catchment area of more than 40.000 resident population. broadly equivalent to 200.000 expected visitors each year. Exclude mobile libraries. The target for the three year planning cycle commencing in April 2001 will be the top quartile for all authorities - to be calculated using survey data yet to be collected. Seven authorities in England provided static service points open for 60 hours or more per week at the beginning of the three year planning cycle commencing in

292

ELECTRONIC LIBRARIES IN

21ST

CEN'I1JRY

April 2001. Authorities with libraries known to provide the service point of first choice for resident populations in excess of 150,000 persons will be asked to report on the merits of extended opening hours in their Annual Library Plan. 'On-line catalogue' means the catalogue for the whole authority. Exclude mobile libraries. It is expected that all static service pOints. which are open for 10 hours or more per week. will have on-line access to a catalogue by the end of the three year planning cycle to commence in April 2001. Total number of electronic workstations aVailable to users per thousand population. 'Electronic work station' means a computer terminal with access to an on-line catalogue and/or the Internet. It is expected that the total number of work stations aVailable for public use will equal or exceed 6 per 10,000 population by the end of the three year planning cycle to commence in April 2001. Library authorities which do not provide a reservation service, place arbitrary restrictions on it. or seek to levy high charges which act as a barrier to access, are likely to place themselves in breach of their statutory duty. In addition, in order to meet the requirements of the Disability Discrimination Act 1995, an authority should allow requests for items in alternative formats which meet the needs of people with disabilities. Although up-to-date and attractive bookstoeks are central to keeping public libraries alive, the above indicators provide a limited. perspective on the choice of books and other materials available for consultation or loan. Therefore. where the Secretary of State has cause to be concerned than an authority appears to be performing poorly on any of the above measures, a further analysis will be made to assess whether the level of investment in books and other materials is likely to lead to improvements .. The target is for each authority to provide the appropriate numbers of staff with information management qualifications, and with ICT qualifications.

ELECTRONIC LIBRARY SERVICES

Information

293

Socie~es

At the end of the twentieth centwy. societies allover the world are changing. In countries of many different kinds information now plays an increasingly important part in economic. social. cultural and political life. This phenomenon is taking place regardless of a country's size. state of development or political philosophy. Developing countries like Thailand are striving to build information-intensive social and economic systems just as hard as countries like the United Kingdom or France. And the goal of creating an information society is shared by the capitalist states of North America as well as the communist states of China and Viet Nam. Information SOCieties have three main characteristics: First. information is used as an economic resource. Organizations make greater use of information to increase their efficiency. to stimulate innovation and to increase their effectiveness and competitive position. often through improvements in the quality of the goods and services that they produce. There is also a trend towards the development of more information-intensive organizations that add greater amounts of value and thus benefit a country's overall economy. Secondly. it is possible to identify greater use of information among the general public. People use information more intensively in their activities as consumers: to inform their choices between different products. to explore their entitlements to public services. and to take greater control over their own lives. They also use information as citizens to exercise their Civil rights and responsibilities. In addition. information systems are being developed that will greatly extend public access to educational and cultural prOvision. The third characteristic of information societies is the development of an information sector within the economy. The function of the information sector is to

294

ELECTRONIC LIBRARIES IN 21" CEl'fl'VltY

satisfy the general demand for information facilities and services. A significant part of the sector is concerned with the technological infrastructure: the networks of telecommunications and computers. Increasingly. however. the necessity is also being recognized to develop the industry generating the information that flows around the networks: the information-content providers. In nearly all information societies. this information sector is growing much faster than the overall economy. The International Telecommunications Union (lTU) estimates that in 1994 the global information sector grew by over 5% while the overall world economy grew by less than 3%. The creation of individual information societies i!'\ taking place within a much greater. international process of change. Partly this is because the developing information systems are global. or at least international. in their reach: satellite broadcasting systems do not reco~nize national boundaries; telecommunication networks provide connections between countries and continents. while the Internet is perhaps the ultimate example of a global system. Both developed and developing countries are being transformed into information societies. Most of them are concelTl.ed to use information to improve their relative competitiveness or. at least, to retain their position in an increasingly competitive global market. As part of this. countries of all kinds. from Australia to Zimbabwe. are actively developing their local information industries so that they can participate in the growing international market for information. But it goes beyond international trade. The development of information societies represents a series cf attempts to achieve more general economic and social advance. Countries as diverse as Singapore. Sweden and South Africa are building economies that encourage information-intensive companies. And they are creating information systems that will raise levels of education. strengthen community links and

ELECTRONIC lDRARY SERVICES

295

stimulate public participation in decision-making. There is a concern. however. that the shift towards information societies will increase the gap between the developed and the developing countries. To counter this. the World Bank. has recently launched its Information for Development init!ative. The origins and causes of information societies lie in two interrelated developments: long-term economic development and technological change. In the long term. the structure of economies changes. It begins with a reliance on the primary sector: agriculture. forestry and mining. Gradually. the secondary sector - manufactUring industry -becomes more important, contributing a larger proportion of Gross Domestic Product and usually also contributing to exports. The rise of the secondary sector is then followed by an expansion of the tertiary sector. The commercial and service sector grows and makes a greater contribution to the national income. At each stage in' this progression, the productivity of labour grows. more value is added by each worker. capital investment increases and the economy expands. Just as significantly. the relative importance of the different sectors of the economy changes. The effect of this is shown quite clearly in the United Nations Development Programme (UNDP)'s Human Development Report (1994). This shows that in economies as diverse as Singapore or Senegal. Hong Kong or Hungary. the service sector accounts for more than 60% of the nation's economic activity. Even in the world's least developed economies. the share of the service sector is higher than agriculture or industry. These changes have been taking place throughout the world for the last thousand years. Over the last fifty years. however, as economists like Fritz Machlup, Marc Uri Porat and Daniel Bell have shown, the tertiary or service sector has become ever more concerned with processing information in different forms. Technological change is a major contributpr to this process of economic development. Certainly in recent

296

EUtCTRONIC LmRAIUES IN

218T CEl'ITIlRY

years. the rapid development of information and communication techhologies has vastly increased our capacity to process information and in so doing has undoubtedly accelerated growth in the informationintensive tertiary sector. Some economists claim that in addition to relatively short-term economic cycles it is possible to identify periods of sustained economic growth that are triggered by technological change. The development of steam power. it is argued. triggered the expansion of economies in Europe and America during the Industrial Revolution. Electricity and the internal combustion engine accounted for the dramatic economic expansion during the midtwentieth century. And now we have information and communication technologies. The impact of infonnation technology arises from three of its characteristics. First. it is an enabling technology. It can be applied in a wide range of different circumstances and can itself contribute to further technological change. Second. the capacity of the technology has been increasing at an exponential rate for nearly twenty years and shows no sign of slowing down. Finally. and perhaps most important. the cost of the technology has fallen rapidly over the same period and. again. seems likely to continue to do so. These three factors have led economists like Chris Freeman to reason that information and communication technologies will trigger a new long wave of economic growth stimulating the development of information societies. . ~ The structural changes that continue to take place in the economies of different countries have an enonnous effect on the patterns of employment. bringing with them displacement. unemployment and social disruption. Throughout the world there has been a steady shift in the pattern of employment: from the primary to the secondary sector. and again from the secondary to the tertiary. In each case. however. capital investment has

ELEcTRoNIC

LIBRARY

SERVICES

297

meant that. even though the labour input has declined. output has grown. In the primary and secondary sectors. labour was displaced by machines. It is now possible to see the same thing happening in the emerging information societies. Large numbers of clerical and administrative workers are losing their jobs as work is automated. In developed countries. for example, the introduction of electronic financial transactions is causing substantial reductions in the riumbers of people employed in the banking sector. It is likely that many of these people will find other jobs in new information-intensive industries as the structure of the economy evolves. but for others there will . be a very uncomfortable period of disruption. As well as structural change. there is a great deal of change in the nature of employment. Many jobs are quite simply becoming more information-intensive - that is. they require workers to spend a greater proportion of their day processing information and working with information technology. This information-intensive way of working brings both benefits and disadvantages. Working arrangements become more flexible: for many it is even possible to spend part of the time working at home. But the price of this is a conSiderable blurring of the boundary between work and home life. Employers also want more flexibility and greater power to hire and fire their employees as the nature of their business changes. This is introducing a much higher level of insecurity into the labour market. The technology makes it easier for staff to keep in contact with their workplace - notably through mobile communications - but many are becoming concerned about the level of stress that comes with never being offline. We have seen that it is possible to identifY some common characteristics of information societies. but it is not at all easy to go beyond generalized definitions. such as: an information society is one in which information is used intensively as an aspect of economic. social. cultural and political life.

298

EutcmOlUC LIBRARIES IN

21" CDTURY

This presents a major problem for statisticians who have to collect the data that governments need for economic management. The question they face is quite simple: if it is not possible to define and to measure the information sector. which we know is such an important contributor to the economy. how can we really know what is happening in our economy? The question is simple but the answer is far from obvious. It is possible to define the information sector of the economy. Broadly it consists of the organizations. in both the private and public sector. that create the information content. or intellectual property; those that provide the facilities to deliver the informations to the consumers; and those that produce the hardware and software that enable us to process information. It is more difficult. however. to define and measure the information activity that takes place within organizations outside the information sector. The matter is further complicated by the intangible nature of information. It is a good that does not easily fit into the economists' scheme of things. Its value can vary widely. particularly over time. which makes it very difficult for accountants to value it for company balance sheets. Also, the value of information, unlike most other goods, does not decrease as it is consumed; indeed. the value may increase as one piece of information is added to others. It has other interesting economic characteristics: for example, the cost of creating information is usually very high, but the cost of reproducing an extra copy is very low -an encyclopedia or a dictionary costs a great deal to compile but an extra copy on a compact disc costs less than a meal in a Paris brasserie. The globalization of the information sector poses further problems. Someone working in Mrica can use the Internet to obtain information about a firm operating in Europe that has been compiled by an American-owned information company based in Switzerland using a

ELECTROl'l1C

I..mRARY

SERVICES

299

database that was compiled by Eurostat. the statistical arm of the European Commission. A defining characteristic of an information society is an emerging or developing information industry. A few countries rely on external organizations to supply all the information systems and services that are required. but such cases are rare. Most countries are actively encouraging the development of an indigenous information industry to meet the country's needs and. in many cases. to enable the country to participate in the rapidly expanding international information market. It is useful, when considering the development of the information sector. to divide it into three distinct segments: the first concerned with the creation of information - the content sector; the second concerned with the delivery of the information; and the third concerned with information pro<;essing. The informationcontent segment comprises the organizations in both the public and private sectors that produce and develop intellectual property. The information originates from writers. composers. artists and photographers. assisted by editors. filmmakers. t ~levision producers. animators and a host of allied occupations. These information creators sell their work to publishers. broadcasters. distributors and production companies that take the raw intellectual property· and process it in different ways so that it can be distributed and sold to the information consumers. In the past. the work of creation and publication took place in quite separate organizations. Authors worked with publishers and rarely had much contact with video- or filmmakers. But now that it is possible to present the different types of information in a common digital format. the boundaries are breaking down and it is possible to identify multimedia companies that bring written. audio and visual material together in the same information package. In addition to this genuinely creative information. a large part of the information-content

300

ELECTRONIC LmRARIES IN

21 0T CENTlJRY

segment is concerned not so much with the creation as with the compilation of information: the compilers of reference works. databases. statistical series and 'realtime' information services that supply constant flows of information about things like share and commodity prices. These information providers account for a very significant proportion of the total revenues of the information-content sector. It is here that the public sector plays a key role. Governments 'of all kinds are major collectors and compilers of information. They hold. use and in some cases publish large amounts of information. In recent years a number of countries have encouraged the private sector information providers to exploit this information. partly to stimulate the dissemination of the information itself but also as a means of supporting the development of the information sector. Linking all this is an important subset of the information-content segment that is concerned with the management of and trading in intellectual property rights.

Information Industry The information industry is concerned with delivery. that is the creation and management of the communication and dissemination .networks through which we communicate information. This includes the telecommunication companies. many of which are still state-owned enterprises; companies that provide cable television networks; and satellite broadcasters. cellular telecommunication companies. and radio and television stations. Allied to these organizations is another set that is concerned with the use of these and other channels to distribute the information content. This is where we find the booksellers. libraries. broadcasting companies and the providers of what are known as value-added network

ELECTRONIC LIBRARY EEllVlCES

301

services - these are services provided through the telecommunication networks, but which offer more than basic voice telephony:. anything from information about the weather to traffic news. The information-processing industry can be conveniently divided into two parts: hardware producers and software producers. The hardware producers design, develop, manufacture and market computers, telecommunications equipment and consumer electronics. T.o.ey tend to - be concentrated in the United States and East Asia, deal in very high volumes and are operating in a market where unit prices have been falling steadily for over twenty years. The software producers provide us with operating systems like UNIX, DOS or Windows, applications packages like spreadsheets and wordprocessors, and increasingly computer games. In recent years most of the software industry has been concerned with producing software for mass consumption. There is still, however, a Significant element that produces custom-built software systems for use in individual organizations.

Digital Convergence The three segments of the information industry -content, delivery and processing - are about the same size in Europe, although in the United States the informationcontent segment is estimated to be larger. While the lack of reliable statistics makes it difficult to reach firm conclusions; it does appear that the information-content segment is growing in value and economic importance. The growing appreciation of the significance of the information-content segment accounts for much of the restructuring that is taking place in the information industries. The 1990s have seen a dramatic series of mergers, acquisitions and joint ventures as companies try to r.:position themselves a long the value chain. It is likely that this flurry of activity will continue for several years until a new pattern of corporate ownership emerges.

302

ELECTRONIC

LmRARJES

IN 21" CEl'ITURY

The technological changes and the wider developments in the information industries are having a big impact on the information professions: librarians, information sCientists, archivists and publishers. These professions are facing two complementary pressures. First. the technology of information work is vastly extending the scope of their work. It is now possible to gain access to and process much greater quantities of information than was possible only five years ago. Second. user expec,tations are rising constantly. creating a demand for eve!r more sophisticated. high-quality information services. These pressures call for more highly qualified professionals who not only understand the underlying principles of information work but also possess the technical skills needed to exploit 1;he full potential of the technology. The result is a demand for high-level. initialqualification courses. usually at the Master's level. But initial education is not enough. It needs to be supplemented throughout a professional career with continuing education and training that enable professionals to develop and refine their skills. In the 1960s professional education was largely provided on the job and was controlled by professional associations. Perhaps as a consequence. the education tended to focus on the development of practical skills. In the 1970s and 1980s responsibility for initial education passed to academic institutions. The link with professional associations became weaker and emphasis shifted from skills towards a theoretical understanding of information work. In the 1990s these initial a.cademic qualifications now are being complemented by a wide range of training courses. Technical skills are once again important and much of the training takes place while people are at work. The focus is on high-level conceptual ability as a foundation for the rapid acquisition of a changing set of skills. aiming for flexible competency.

ELEcTRONIC

LiBRA:RY

SERVICES

303

The convergence of technologies and in particular the widespread use of digital information are blurring the distinCtions between subgroups within the information professions. It is becoming increasingly feasible. for example. for authors to become their own publish~rs; indeed. many organizations now use desktop publishing facilities to produce a wide range of publications. The new technologies are also creating demands for people with new sets of skills. Very many organizations. for example. have developed a presence on the Internet by creating their own pages on the World Wide Web. This alone has generated a need for a group of information professionals who possess a combination of skills and understanding that was not previously thought necessary.

Organizational Resource Infm mation is now seen as a valuable resource within organizations. a resource that if properly managed and used can stimulate innovation. speed product development. raise levels of productivity. ensure consistent standards of quality and .. through all these means. raise the relative level of competitiveness. Much of the interest in the use of information as a resource is concentrated in the private sector. where productivity and competitiveness can determine the success or failure of individual companies. It can also determine the overall health of a country's economy. In manufactUring industry. information can make a contribution to economic success in a number of different ways. It is an important element in the process of research and innovation. For many years companies have recognized the need for their R&D departments to have access to the most up-to-data information. Good products alone. however. will not ensure a company's success. They need to be developed and designed to meet the requirements of the market. This implies a high level of market intelligence and an understanding of the ways in

304

ELECTRONIC

LmRARIES

IN

21" CENTURY

which consumers respond to different products. The market-research industry has grown dramatically in recent years in an attempt to meet these needs. Information also makes a significant contribution to the management of manufacturing processes. Indeed. many modem approaches to manufacturing - just-in-time production. for example depend on the processing and communication of substantial flows of information. All this calls for a strategiC approach to the management of information in manufactUring industry. and many have argued that to achieve significant productivity gains in industries like car manufacturing it is necessary first to develop a radically different approach to the management of information. The impact of information on the commercial part of the private sector is possibly even greater than in manufacturing. Commerce generates large quantities of clerical and administrative work. and it is this work that is most open to automation. The introduction of automated reservation systems revolutionized the airline industry. and in so doing created a set of global systems that now makes it easy and cheap to book air travel. car hire and hotel accommodation. Similarly. the electronic transfer of money is transforming retailing and the banking system. In both these cases. the introduction of automated systems has dramatically reduced costs and caused the loss of many thousands of clerical and administrative jobs. In retailing. for example. information systems are being used to improve stock control. Information is collected when goods are sold. the shop's inventory is automatically updated and, when the level of stock becomes low. additional stocks can be ordered from suppliers. Some highly effiCient retailers have developed these stock-control systems to the point where they no longer need warehouses - stock is delivered directly from the suppliers to the shops where it is sold. Information systems are also making it much easier for companies to balance supply and demand. Ticketing systems on

305

airlines, for example, monitor the rate at which seats are sold on each flight and adjust the number of discounted tickets made available to travel agents. Similarly, many car-hire firms no longer have published hire rates: the rate is constantly adjusted to ensure that the supply of cars always balances demand. In other areas, decision-support systems are used to reduce risk. An application for a loan used to be considered by a middle manager in a bank or finanCial institution who would review a range of factors before deciding whether or not to lend the money. Now this is all done automatically by computers that construct what is known as a credit score. Applicants who score above a certain level receive the loan. Systems also exist to monitor credit card use, alerting the credit card company to any Significant changes in the behaviour of the cardholder. By adopting these systems, financial institutions can greatly reduce the level of risk in their business. Extensive use is made of information in marketing. Shops and supermarkets provide customers with discount cards or their own credit cards. This enables retaile;rs to monitor the customer's shopping habits and to build this into their marketing strategy. Some use the information to promote different products for different kinds of customers. The long-term success of many commercial organizations will be determined by their capacity to use and manage information to reduce costs, to extend their range of services, to reduce risk and to become more sensitive to customer demands. Information is even making an impact on the traditional professions like law and medicine. Lawyers now have access to sophisticated legal information systems and they make extensive use of computers to monitor their work and to account for their time. Similarly doctors are now able to keep much closer track of their patients through sophisticated records management systems.

306

ELECTRONIC

LmRAIm:s

IN

21" CEl'f'l'DRY

Information is having a similar impact on the pubUc sector. Public authorities at national and local levels are beginning to find that information can change quite dramatically the way they work. At one level it enables them to improve their general efficiency in ways similar to those used in commercial organisations: through the automation of clerical and administrative tasks. through the use of decision-support systems and through the development of electronic payment systems. Some are also beginning to develop electronic transactions services so that people can access departments. filling in forms and processing claims electronically. We have yet to see the full impact on democracy and participation. There have been a number of experiments. usually at a local level. where the local authority has set up electronic voting systems and explored the scope for public partiCipation in decisionmaking. The results are inconclusive. It seems difficult to retain sufUcient levels of public interest in the issues. and politicians are understandably waxy about opening the door to a form of participation that might ultimately undermine the very democratic institutions it sought originally to support. There does seem to be greater potential. however. for using cable television to generate more interest and participation in local community affairs. It is now possible to allocate broadcasting channels for use by quite small communities. and in this way it becomes possible to broadcast live events like school governors' meetings. Where this has been done a surprisingly high level of interest has been shown by members of the public. One of the features of information societies is their emphasis on education. A recent report on the information society in Europe has emphasized the need to create a learning society. UNESCO's report from the International Commission on Education for the Twentyfirst Century underlines the impact of the information SOCiety on education and studies some of its consequences.

ELECTRONIC

LmRARY SERVICES

307

Certainly. technology has revolutionized our ability to deliver education in ways that were not previously possible. A wide range of training courses is already available in the form of multimedia CD-ROMs. and schools and universities are experImenting with the electroniC delivery of distance learning courses. Such developments are likely to make a real impact on rural areas. very specialized courses and adult learners. Health is the other public service likely to be greatly affected by information. Indeed. advances in the provision of health information are likely to raise the level of public health considerably. They will do so in three ways. First, doctors and other medical staff will simply be better informed. They will know more about their patients and they will have ready access to much more information about diseases and their treatments. They will also be able to gain access· to medical speCialists in other towns or even other countries. consulting them on unus~al cases. Second. there will be much better systems for epidemiology the SCience of tracking diseases - so that we shall be able to trace many of the environmental causes of disease more easily. lmprc led medical records will also make it much easier to track and monitor patients, alerting them, for example. to new treatments as they become available. Finally, improved consumer health information will enable us all to take better care of our own health. There is now much more information available on the causes of heart diseases and illnesses like lung .cancer. All these developments are generating new demands for information in organizations. In most organizations, whether in the public or private sector, the initial focus tends to be on information technology, and often this has resulted in a great deal of expenditure for only modest results.

308

ELECTRONIC

I..mRARms

IN

210T CE1'fT1JRY

There is now a growing awareness that befpre investing in the technology it is first necessary to understand information flows and requirements. Many of the organizations that are successfully using information as a resource began by analysing the ways in which information could contribute to business. From this it becomes possible to develop an information strategy which sets out how the information will contribute to the achievement of business goals. It is then possible to develop an information systems strategy that specifies the ways in which information will be collected and processed and how it will flow around the organization. Only then does it become possible to define an information technology strategy which sets the framework for the acquisition and use of the technology. There is also a growing recognition that technology alone is seldom the answer. Effective management of information calls for people who understand information, how it can be collected, processed and used for different purposes. This is leading in many organizations to the redefinition of company libraries and information services, many of which were originally establisred to serve a research and development department. It is also causing a reassessment of the organization's archives and records management functions. An interesting development is the emergence of a new category of information professional -researchers and information analysts. Their task is to wqrk with managers and others, collecting and processing information on particular topics, analysing it and producing a synthesis that can be understood easily by someone who would otherwise be too busy to undertake the task. Such positions are now common in many organizations and reflect a general desire to make more constructive use of information as a corporate resource. As well as ~sing information when we are at work or studying. we all use information as part of o.ur daily lives. We use information as consumers of products and

ELECTRONIC LIBRARY SERVICES

309

services. whether provided by the private or the public sector. We also use information in our roles as citizens. Here we use information when we are exercising our rights and responsibilities.

Market Economies

~.

At a vety basic level people need information so that they 'can choose which products and services to consume. Most of us live in market economies and those markets only function effectively if consumers are well informed. People need to know about the full range of products and services that are available so they can allocate their resources wisely. Many governments have begun to introduce the consumer principle ·into the provision of public services. In the United Kingdom. for example. schools are required to publish their examination results so that parents can make an informed choice about schools for their children. As well as simple consumer chOice. people need information so that they can exercise their rights and entitlements to services. This is particularly important in countries that have well-developed welfare systems. In such cases individuals are entitled to a wide range of benefits and. consequently. need to be well informed if they are to claim what is due them. Information can also help people take charge of their own lives. As was mentioned above. health information helps us all take more control over our lives. In many countries people are considered to be more than just passive consumers of goods and services produced by the public or private sector. Consumer groups have developed the notion of active consumption. where consumers hold producers and service providers to account for their products. Information plays an important part in this. Whether it is a company being forced to publish information about its pollution record. or nutritional

no

ELECTRONIC LmRARIES IN

211ft CENTURY

information listed on a tub of margarine. it is all information that helps to make producers accountable to the people who consume their products. As citizens we possess a range of rights. although the range varies from society to society. We have basic human rights: to be treated as a human being with intrinsic worth. We have civil rights: freedom of speech. assembly. religion and the right to justice. We have political rights: the right to vote. We also have a range of social rights. usually interpreted as the right to a minimum standard of life. We also play a role as members of a community and as citizens of a nation-state. In some parts of the world individuals are beginning to develop a further set of citizenship rights and responsibilities as members of a regional grouping of nation-states. like the European Union or the Association of South-East Asian Nations (ASEAN).·

But there is a great deal of difference between having a right and being able to exercise it. Poorly informed people are often denied their rights because they lack the power to exercise them. Because of this. some have argued that we can define a further set of rights - the right to information and advice. If we had this additional right. then we would be in a much stronger pOSition to exercise all the other rights. This is the rationale that underlies the concept of freedom of information. Freedom of information legislation gives citizens the right of access to information about what is happening in government so that they can make better judgements about those who govern them. This principle of freedom of information is deeply embedded in some national constitutions. notably those in France. Sweden and the United States. In other cases the principle has been adopted more recently. while in yet others it is still a matter of considerable debate. The need for citizenship information. however. extends beyond a right of access to government information. It should include access to all the information that people need to exercise their right as

EI&CTROl'QC LmaAaY

SERVICES

311

citizens. They should not be denied. fpr example. access to information about the legal system because. if they are. they cannot fully exercise their legal rights. And this right of access should not be dependent on an individual's ability to pay. language skills. level of literacy or on any other factor that can impair an individual's ability to obtain information.

Accessing Information Resources The list of factors that can reduce an individual's access to information is long. There is growing concern that in creating our information societies we may be' creating a further division in society: the divide between those who have access to information and the ability to use it and those who do not. More particularly. the concern is that such a division would deepen other divisions that exist in most societies: the division between rich and poor; between the educated and the inarticulate; between the majority and minority ethnic. linguistic or religious groups; and between the physically and mentally able and disabled people. All these factors place barriers in the way of gaining access to information. and slowly people are beginning to recognize the need to develop services that will overcome these barriers. In some cases we need to raise basic levels of literacy and numeracy. and this can only be tackled successfully through educational programmes. In other cases it is necessary to provide information and advice services that meet the particular needs of specific groups within the community. Public libraries have traditionally provided access to information for a wide range of people. and in many countries efforts have been made to meet the needs of particular minority groups. But general information services alone are insuffiCient. Disabled people. for example. have particular needs that require special provision. First. tJ:1ey need information on particular subjects that relate to their

312

EI.EcrRONlC

L!BRARms

IN 2111T

CENTURY

disability. Second, they have particular access problems that call for special provision. Third, many would argue that for the information and advice to be fully effective it should be delivered by someone who has personal experience of what it is to be disabled. Life is increasingly complex. None of us can expect to understand fully all the information we need to manage our lives in these complex societies. We need to be able to turn to speCialist advisers who can interpret information and relate it to our individual circumstances. This is not a new idea - people who could afford it have always turned to lawyers, accountants and other advisers to help them through the intricacies of life. Many countries now recognize that they need to make access to advice accessible to everyone. The problem, of course, is one of cost. Acceptance of the arguments for a public information and advice service implies also acceptance of the prinCiple of information being free at the point of use. And that implies public expenditure at a time when, in many countries, there is pressure to reduce governmtnt expenditures in general, including public libraries and information services. It is possible, however, to make a strong case for public information. The citizenship argument suggests that access to information is a right to which we are entitled like justice, and that in common with other public services it should be provided free. The efficiency argument reasons simply that society functions better when everyone is well informed. UNESCO has played an important role in laying the foundations for the development of information poliCies. The work of its General Information Progr~me was built upon the twin foundations of the National Information Systems (NATIS) and UNISIST, both of which in the 1970s actively encouraged the development of information poliCies at the national and international levels.

BIBLIOGRAPHY Bivens-Tatum, Wayne, "Expert services on the Web: the commercial competition for libraries", College and Research Libraries News, 62(7), 714-716, July/August 2001. Bristow, Ann, and Jian Liu, "Academic Reference Service in the Web Environment", article presented at IOLUG Fall Program, October 1999, and at CIC Online Reference Services Workshop May 2001. Crawford, G. A., and G. W. White, "Migrating to Internet-based reference services: issues for the smaller academic library", Internet Reference Services Quarterly, 3(4), 3-18, 1998. Devine, Sean, and Daniel Woods, "Internet-based reference services and community libraries: A need for new models and strategies", Electronic Library, 14, 299-302, August 1996. Esler, Sandra L., and Michael L. Nelson, "Evolution of Scientific and Technical Information Distribution", Journal of the American Society for Information Science 49 (January 1998): 82-91. Folger, Kathleen M, "The virtual librarian: Using desktop videoconferencing to provide interactive reference service assistartce", Paper presented at 1997 ACRL Annual Conference. Huwe, Terrence K, "Being Organic Gives Reference Librarians the Edge over Computers", Computers in Libraries, 24(5), May 2004. , Irwin, Kenneth· R, "Professional Reference Service at the Internet Public Library with "Freebie" Librarians", Searcher, Oct 1, 1998, 21.

314

ELECTRONIC LIBRARIES IIf

21 n

CDTURY

Janes, Joseph, "The Internet Public Library: an intellectual history", Library Hi Tech, 16(2), 55-68, 1998. Kisly, Dave, "Libraries, the Internet and resource sharing', Paper presented at the Eastern Indonesian Universities Development Project workshop on library development, October 1998.

INDEX Advancement of Librarianship (ALP) 170 Asian computer network 65 Association for Computing Machinery (ACM) 2 Association of College and Research Libraries (ACRL) 281 Association of Latin American Archives (ALA) 110 . Audiovisual collections 116 Born digital material 8 Charge-Coupled Device (CCD) 17 Commission on Archival Development (CAD) 88 Digital archiving 38 Digital image quality 215 Digital preservation 216 Digitization project 10 Document Type Definition (DID) 158 Electronic photograph 16 Encoded Archival Description (EAD) 44

Global System for Mobile Communications (GSM) 143 Government Printing Office (GPO) 257 Highway Advisory Council (lHAC) 264 Information and Communication Technologies (lcn 287 Information literacy training 281 Information-intensive fields 3 International Association of Sound Archives (IASA) 88 International Council on Archives (lCA) 66, 79, 95 International Records Management Council (IRMC) 79 Interna~onal Records Management Trust (IRM'O 91 International Telecommunications Union (ITU) 294 Internet Service Provider (ISP) 39 Korean Archives Conservation Association (KACA) 64

316

ELECTRONIC LmRARIES IN

Microfilming technology 65 Modulation Transfer Function (MTF) 23 Multimedia techniques 76 Multipurpose community telecenter (MeT) 151

21 0T CENTURY

School library services 177 Selection policy 9 Small and medium enterprises (SMEs) 266 Spatial Frequency Response (SFR) 24 Standard Generalized General Markup Language (SGML) 27

Optical Character Recognition (OCR)41

Uniform Computer Information Transactions Act (UCrn 255 United Nations Development Programme (UNDP) 67

Pervasive literacy 4 Power management unit 29 Pre-electronic distribution . methods 3 Public Key Infrastructure (PKI) 277

Web-based resources 35 Word processing software 230 World-wide information 2

Quality control programme 22

-,