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Management and Preservation of Physical-Format Digital
Publications
A National Library Position Paper on the Role of Australian Legal
Deposit Libraries
DRAFT, February 1998
Executive Summary and List of
Recommendations
- Introduction
- Ensuring Long-Term Access: Principles
and Issues
- International Developments in the Management
and Preservation of Physical-Format Digital Publications
- National Coverage, Legal Deposit and Collecting
of Physical-Format Digital Publications
- Access to Physical-Format Digital
Publications
- Preservation
- Cataloguing Physical-Format Digital
Publications
Appendix 1: Fields Specific to Cataloguing Physical
Format Electronic Publications and Relevant ABN Field Designation
Executive Summary and List of
Recommendations
There is an urgent need for Australian libraries and collecting
institutions to collectively address the management and preservation of
Australian physical-format digital publications which form part of the national
documentary heritage. While information delineating the problems of dealing
with digital publications is abundant, useful accounts of actual projects are
limited. Australian libraries need to invest some funding and effort on
practical investigations that will address preservation and access issues.
Australian participation in the development of international standards
relating to the preservation of physical-format digital publications is
important, and the National Library proposes to provide a continuing role in
co-ordinating Australian developments.
A co-operative approach to the collecting of Australian
physical-format digital publications by the legal deposit libraries is required
to make sure that this material is comprehensively represented in Australian
collections. As part of this, the designation of the National Film and Sound
Archive as a legal depository is an essential step. Increased reporting of
holdings to the National Bibliographic Database is another desirable
development.
Fair dealing and library provisions should apply equally to
physical-format digital publications, and legal deposit libraries need to find
a common position on the use and distribution of these materials. Licensing
arrangements should not be able to restrict or limit fair use.
Preservation efforts for physical format digital publications need
close co-ordination, funding support and will involve approaches to publishers.
Any work being undertaken on physical-format digital publications needs to be
informed by similar work on online digital publications with a view to
integrating both digital formats.
Recommendations
- That the National Library of Australia and the state libraries
co-operate in the development of a national model for a national digital
archive.
- That the National Library of Australia and the state libraries
co-ordinate funding proposals designed to establish the national digital
archive.
- That the National Library of Australia continue to provide the
necessary forums and venues needed to ensure the continuation of the
process.
- The National Library continue to develop and maintain contacts with
overseas institutions with a view to publicising Australian initiatives and
issues in the area of digital preservation, monitoring relevant work being
carried out elsewhere, and sharing experience and expertise.
- The National Library share this information with the Library
community via the PADI WWW site and the NATSTATLIBS
discussion list.
- State libraries share any relevant information they have on
international developments by the same means.
- That each state library accept responsibility for active collection
of their own state's output of physical-format digital publishing.
- That the legal deposit libraries formulate a set of guidelines
aimed at ensuring that as much of Australia's physical electronic publishing
heritage as possible is collected. In some cases this may be by sampling.
- That the National Library of Australia and the state libraries
support the designation of the National Film and Sound Archive as a national
legal deposit repository for physical-format digital publishing.
- That the National Library of Australia and the state libraries
co-operate in the drafting of a statement on the use of legal deposit
physical-format digital publications in libraries.
- That state libraries in those states with more than one deposit
library review policies for the deposit of physical-format digital publications
with a view to simplification.
- That the National Library of Australia and the state libraries
explore the development of a joint-use standard licence for situations where
libraries must enter a licensing arrangement for the use of physical-format
digital publications.
- That the National Library of Australia and the state libraries
accept the principle of preserving what they can in the best way they can at
the present time.
- That the National Library of Australia and the state libraries
investigate their research needs as decided at the National Consultative
Meeting in October 1997, identifying what is currently known, what gaps and
barriers exist, looking for relevant research work already underway, and
looking for potential partners for research and for research funding.
- That this activity be coordinated by a national working group
consisting of representatives from the preservation services sections of the
National Library of Australia and all state libraries, with other people
enlisted to help as necessary from other areas of these libraries or from other
organisations.
- That the National Library of Australia and state libraries
contribute to a fund to support a modest but focused research effort aimed at
addressing the highest priority research needs.
- That the National Library of Australia and state libraries formally
ask publishers and software providers to discuss practical ways they could
assist the preservation effort by means such as the level of information
provided with publications, the supply of "preservation-friendly" versions, and
the maximum use of backwards and forwards compatibility standards. This
assistance would be requested in the context of bona fide respect for
publishers' commercial interests.
- That institutions contribute data, at least at the minimum level
prescribed for physical format electronic publications, to the NBD in order to
provide a source of copy cataloguing and holdings information for these
resources.
- That the ABN field Actions Note (NTA) and at least subfields a and
5 (preservation action and NUC symbol of institution) be used to record
information on intent to permanently retain and/or reformat for continued
access.

1. Introduction
For a number of years electronic publishing has been providing both
opportunities and challenges to writers and publishers as they attempt to take
advantage of this new medium to express and communicate ideas. It has also
provided libraries with an unparalleled opportunity for increasing access to
library materials, as well as challenges in collecting and preserving digital
publications.
Physical-format digital publications are part of the broader category
of digital publications. Many of the recommendations in this paper relating to
physical-format digital publications will also apply to online digital
publications. Much work on managing and preserving online digital publications
is being carried out in parallel with the work described here.
Physical-format digital publications need to be reflected in the
nation's documentary heritage collections. Libraries which have accepted
responsibility for preserving Australia's published output will need to play a
major role, as neither publishers nor other organisations are likely to be in a
position to take on a long term preservation responsibility. However, long term
accessibility will require ongoing cooperation between libraries, publishers
and others to overcome the significant technical, legal and economic
challenges.
In attempting to work out the implications of electronic publishing
for libraries, a number of key events and initiatives have taken place over the
last few years. In 1995, the National Preservation Office organised the
Capturing the Rainbow conference which
examined a range of issues associated with multimedia preservation. One of its
main outcomes was the development of a set of principles for the preservation
of and long-term access to Australian digital objects. These principles were
accepted by conference participants, archivists, librarians, publishers and
several relevant peak body organisations, forming the basis for future
action.
In 1996 the National Library of Australia released a discussion paper
entitled National Strategy for Provision of Access
to Australian Electronic Publications. The purpose of the paper was to
initiate debate on the many issues raised by electronic publishing, both
physical format electronic publishing and online publishing. A major emphasis
of the discussion paper was that of guaranteeing current and permanent access.
Specifically, the paper addressed legal deposit, access conditions including
copyright and fair dealing, resource discovery, development of technical and
descriptive standards, and the organisation of virtual resources. Comments were
invited and were received from a wide range of individuals and organisations.
These comments were positive and indicated to the National Library that it
should continue to progress these issues at a national level.
The National Library was convinced that solutions to many of the
difficulties inherent in handling and preserving Australian electronic
publications could only be achieved through collaborative action by libraries,
with deposit libraries playing an important role. However, the precise nature
and form of that collaboration remained unclear, and one of the objectives of
the discussion paper was to raise this issue. Among its conclusions, the
National Strategy paper noted that libraries would need to forge new
relationships and understandings with publishers of electronic
publications.
It was therefore a major development when forty publishers and deposit
library representatives met in Canberra on 27 and 28 October 1997 at the
First National Consultative Meeting on
the Management of Australian Physical-Format Digital Publications. The
purpose of the meeting was to seek agreement on key principles and an
understanding of responsibilities related to the provision of long-term access
to digital publications in physical form, and the meeting concluded with the
formulation of an action plan designed to put in place agreed strategies to
further these objectives. While the emphasis of this meeting was on digital
publications in physical formats, further workshops in 1998 will focus on
online and hybrid digital information.
This paper, 'Management and Preservation of Physical-Format Digital
Publications: A National Library Position Paper on the Role of Australian Legal
Deposit Libraries', is an outcome of the National Consultative Meeting. It
attempts to define a National Library of Australia position on roles and
responsibilities for the management of Australian physical-format digital
publications. Specific issues addressed are national coverage and collecting,
including legal deposit issues, access and copyright, preservation and control.
This initial draft is for consideration, comment and discussion by the Council
of Australian State Libraries (CASL). Throughout the paper, a short summary of
the current position is followed by identified issues requiring resolution, and
recommendations aimed at moving the process forward.
It is expected that this position paper can then be used as the basis
for further liaison with publishers. At present, information on the Australian
physical-format digital publishing scene is lacking. There is evidence that it
involves an extensive range of parties far wider than traditional print
publishers. Self-publishers are becoming more common, and for this reason it is
increasingly difficult to determine what is being published. A study of the
physical-format digital publishing industry to identify publishers of this
material has been proposed, and a brief for a consultancy is being developed by
the State Library of Victoria.

2. Ensuring Long-Term Access:
Principles and Issues
The aim of the National Library of Australia is to work with others to
find practical, cost effective ways of ensuring the same level of preservation
guarantee for this category of publication as for any other.
The National Library seeks to preserve long term accessibility to all
the electronic publications it collects. However, there are technical and
resource constraints which mean that, even if legal barriers can be overcome,
it must set priorities for action. Libraries should take a leading role in
identifying the specific technical stumbling blocks to preservation, and in
seeking ways to deal with them. It is necessary to invest some effort in
practical investigations that can inform decision making. Because the National
and state libraries have a shared interest in preserving this kind of
publication, these investigations and the decision making should be undertaken
cooperatively.
As well as identifying research needs, libraries need to find
resources to carry out the research, and partners to supply the required
technical expertise. Even if technical and legal problems can be overcome,
preservation is likely to be resource intensive in the foreseeable future.
Libraries will need to know the scale of costs they are likely to be asked to
commit to, but they are also likely to need additional resources to meet their
preservation responsibilities for these publications while maintaining
responsibility for existing - and growing - collections in other formats.
Whatever work is undertaken should take account of the degree of
integration that can be achieved between physical-format digital and online
digital publications. The National Library's preferred strategy is one that
integrates both digital formats. Libraries need to consider options and
articulate their interests so that decisions and commitments can be made that
lead to a national model.
Recommendations
- That the National Library of Australia and the state libraries
co-operate in the development of a national model for a national digital
archive.
- That the National Library of Australia and the state libraries
co-ordinate funding proposals designed to establish the national digital
archive.
- That the National Library of Australia continue to provide the
necessary forums and venues needed to ensure the continuation of the process.

3. International Developments in the
Management and Preservation of Physical-Format Digital Publications
The National Library has been actively developing procedures to manage
the physical-format publications in its collections. Activities focussed first
on storage and security of the collections then moved on to research in a range
of associated preservation problems. In addition, the Library's PANDORA project
for archiving Australian online publications includes a prototype metadata
repository which will accommodate metadata on physical format publications.
The National Library is in contact with a number of overseas
institutions, expressly to monitor developments that might inform our own
initiatives in Australia, across the full range of digital archiving and
preservation issues and also share our own experience and expertise.
To date, reports from institutions have concentrated on the provision
of suitable storage and security but there are few practical examples of
institutions addressing the greater preservation problems of rapid hardware and
software obsolescence.
A number of European institutions, particularly in the Netherlands,
Norway, and the United Kingdom, have made a start. Building on earlier work,
most effort is now being concentrated on the
NEDLIB project which has been funded
to start in January 1998.
The NEDLIB project consortium is headed by the National Library of the
Netherlands (Koninklijke Bibliotheek) and includes eight other European
national libraries, a national archive and three main publishers. The main goal
is to find ways to ensure that both online and offline digital publications of
the present can be used now and in the future.
The British
National Preservation Office has proposed research into technology
preservation, technology emulation and information migration, but this work has
not yet been commissioned.
Canada and the United States have not yielded as much practical
research as might have been expected despite important papers that have been
published on electronic preservation issues by groups such as the
Commission on Preservation and
Access and the Research Libraries Group. In these countries it appears that
the major priorities for libraries are the digitisation of, and provision of
on-line access to, endangered printed materials, and the preservation of
on-line digital material such as electronic journals. The
Library of Congress is
studying the media deterioration of CDs but is apparently not yet examining the
systems and software obsolescence problems.
Recommendations
- The National Library continue to develop and maintain contacts with
overseas institutions with a view to publicising Australian initiatives and
issues in the area of digital preservation, monitoring relevant work being
carried out elsewhere, and sharing experience and expertise.
- The National Library share this information with the Library
community via the PADI WWW site and the NATSTATLIBS
discussion list.
- State libraries share any relevant information they have on
international developments by the same means.

4. National Coverage, Legal Deposit and
Collecting of Physical-Format Digital Publications
Current Situation
- At present the collecting of physical-format digital publications
by libraries in Australia is uncoordinated, and national coverage in collecting
is far from complete. A survey conducted by the National Library in 1997 found
that only 35% of Australian physical format digital publications were being
collected and recorded on the National Bibliographic Database (ABN), an
unacceptably low coverage figure for deposit libraries concerned with the
collection of national heritage material.
- Legal deposit of this component of the nation's publishing output
is essential to ensure its comprehensive collection. While some states have in
place appropriate legal deposit provisions, there is no legal deposit
legislation for physical-format digital publications at the national level.
There is no designated national repository for films and sound recordings which
are increasingly being produced as physical-format digital publications. In the
absence of legal deposit legislation at the national level, the National
Library has established a voluntary deposit scheme for physical-format digital
publications. This is an interim measure only, and the Library does not regard
voluntary deposit as a satisfactory alternative to legal deposit
legislation.
Issues
- To improve the collecting situation for physical-format digital
publications, a co-operative approach among legal deposit libraries and other
collecting institutions is essential. Collecting policies for this material
need to be articulated, agreed and published. Cataloguing onto the national
bibliographic database would benefit resource discovery and data sharing.
- A co-ordinated national approach by libraries to the collecting of
physical-format digital publications is required, to ensure that all categories
of this material are represented in collections, and that early examples of
these publications do not vanish.
- There is a need to establish a national repository for films and
sound recordings, including film and sound material in physical-format digital
form. The National Film and Sound Archive would be an obvious choice as a legal
deposit repository for Australia's heritage in this area.
- There is a need for libraries to reach agreement on the conditions
for the use and distribution of legally deposited, and voluntarily deposited,
physical-format digital publications. Such a document would address library
concerns for access as well as copyright owner concerns on protection of their
intellectual property. This agreement would form the basis for discussions with
publishers.
- There may be advantages in reducing the complexity of demands on
depositors. Where there is more than one depository library at state level, it
may be desirable to designate a particular library as the single point of
deposit for physical format electronic material. A simple uniform deposit
regime of one copy to the national depository institution, and one copy to the
relevant library at the state level would be simpler and less confusing to
depositors, and the deposit of two copies in two different libraries provides a
safeguard for the survival of material in case of disaster.
- That each state library accept responsibility for active collection
of their own state's output of physical-format digital publishing.
- That the legal deposit libraries formulate a set of guidelines
aimed at ensuring that as much of Australia's physical electronic publishing
heritage as possible is collected. In some cases this may be by sampling.
- That the National Library of Australia and the state libraries
support the designation of the National Film and Sound Archive as a national
legal deposit repository for physical-format digital publishing.
- That the National Library of Australia and the state libraries
co-operate in the drafting of a statement on the use of legal deposit
physical-format digital publications in libraries.
- That state libraries in those states with more than one deposit
library review policies for the deposit of physical-format digital publications
with a view to simplification.

5. Access to Physical-Format Digital
Publications
Current Situation
- The National Library of Australia believes that information should
be accessible regardless of format. The Library considers the fair dealing and
library provisions of the Copyright Act to be as applicable in the digital
environment as they are in the print world.
- The National Library of Australia, together with other Australian
libraries, is committed to complying with all applicable laws concerned with
intellectual property. This commitment includes the full exercise of rights
accorded to the Library and its users in the Copyright Act under the fair
dealing and library copying provisions which are essential to the functioning
of all libraries. The National Library takes all necessary precautions to
ensure that Library staff and users are made aware of the requirements of the
Copyright Act, but can accept no responsibility for infringement of copyright
by its users.
- Many of the physical format electronic products purchased by the
Library are received with licences which place restrictions on the users and
permitted uses of the product. In particular, printing, downloading, copying
and inter-library loan functions may be restricted or disallowed. The Library
holds that these restrictions should not be allowed to override the fair
dealing and library provisions of the Copyright act.
Issues
- Where licensing agreements must be entered into by libraries,
development of a standard form incorporating library requirements is desirable.
The present practice of individual libraries negotiating with publishers over
terms and conditions of use for physical format electronic publications is
costly and time consuming. A common approach by the legal deposit libraries of
Australia would also give them more bargaining power.
Recommendations
- That the National Library of Australia and the state libraries
explore the development of a joint-use standard licence for situations where
libraries must enter a licensing arrangement for the use of physical-format
digital publications.

6. Preservation
Current Situation
The National Library has been receiving Australian physical format
digital publications since 1983. Until recently, preservation efforts have
focussed largely on storage and security of these collections. Since the
appointment of an electronic preservation officer, a more active program of
testing preservation options has been instituted.
There are two critical characteristics that demand an active
preservation response: the instability of the media and changes in technology.
These characteristics also affect online publications. Many of the distinctions
between publishing formats blur in a digital environment, creating the
challenge of recognising where similar responses can be used, and where
differences need to shape the response.
Issues
There are many issues needing to be resolved in providing a reasonable
guarantee of ongoing accessibility. The major issues appear to be:
- Finding appropriate preservation pathways. At present it is
still not feasible to do more than transfer publications from less stable to
more stable carriers. However, to ensure ongoing accessibility, research work
is needed on a variety of other options including migration to new hardware and
software environments with minimal losses, new software that emulates the
operating environment of superseded publications, maintenance of the required
hardware and software once it has been superseded, or a combination of these.
Research work is needed on all of these options, and on any others that emerge
which have the potential to contribute to the available preservation pathways.
Libraries also need to maintain current awareness of other relevant activities
and to apply information as it becomes available, to assist evolving decisions
about the most appropriate pathways to pursue.
- Facilitating forwards migration beyond current software
dependencies. At present migration appears to be the best solution,
supported by other options for selected items. However, widespread migration is
still constrained by problems such as inconsistent transfer and recording of
information about collection items; physical and legal restrictions on copying;
poor use of standards that would support backwards and forwards
interoperability, even where they exist; and the practical difficulties of
re-writing some programs to work in a different environment.
Recommendations
- That the National Library of Australia and the state libraries
accept the principle of preserving what they can in the best way they can at
the present time.
- That the National Library of Australia and the state libraries
investigate their research needs as decided at the National Consultative
Meeting in October 1997, identifying what is currently known, what gaps and
barriers exist, looking for relevant research work already underway, and
looking for potential partners for research and for research funding.
- That this activity be coordinated by a national working group
consisting of representatives from the preservation services sections of the
National Library of Australia and all state libraries, with other people
enlisted to help as necessary from other areas of these libraries or from other
organisations.
- That the National Library of Australia and state libraries
contribute to a fund to support a modest but focused research effort aimed at
addressing the highest priority research needs.
- That the National Library of Australia and state libraries formally
ask publishers and software providers to discuss practical ways they could
assist the preservation effort by means such as the level of information
provided with publications, the supply of "preservation-friendly" versions, and
the maximum use of backwards and forwards compatibility standards. This
assistance would be requested in the context of bona fide respect for
publishers' commercial interests.

7. Cataloguing Physical-Format Digital
Publications
Current Situation
- On a national level, many libraries are cataloguing CD-ROMs and
other physical format electronic publications. The National Library provides
access to physical format electronic publications in the same way as it does
for print and other types of material in its collections. Catalogue records are
created on the National Bibliographic Database (NBD) to provide both a source
for copy cataloguing data and location information to these resources. These
records are then added to the Library's catalogue.
- The National Library generally receives CD ROMs and other physical
format electronic publications either as individual publications or as material
accompanying print publications. Cataloguing of individual publications follow
AACR2 rev. Chapter 9, rules for the description of computer files; while print
publications with accompanying CD ROMs or other physical-format digital
publications are primarily described in terms of the print material, with
system requirements and related information included in note fields.
- In cataloguing physical format electronic publications, the
standards followed in creating data for the NBD are the ABN recommended
standards for computer files. These standards support a range of cataloguing
levels, with required elements described for both a minimum standard record and
a high level record. This provides a degree of flexibility in the amount of
information included in such catalogue records.
- These ABN standards prescribe mandatory fields, for both minimum
and high level records. Apart from a small number of coded data fields, they
are: Title, Imprint, Collation and System Requirements. The General Material
Designation (GMD) is also mandatory and [computer file] is used for all
electronic materials. For other fields specific to cataloguing physical format
electronic publications see the Appendix at the end of this document.
- Cataloguing standards used in descriptive data creation
specifically for electronic publications are:
AACR2 rev.
ABN Data Preparation Manual. Part 2:
Description and Integrated Tags
ABN Cataloguing Manual
ALA Guidelines for Bibliographic Description of Interactive Multimedia
Other useful bibliographical tools are:
Olson, Nancy B. Cataloguing Computer Files.
ISBD(ER) international standard bibliographic description for electronic
resources : revised from the ISBD(CF): international standard bibliographic
description for computer files, recommended by the ISBD(CF) Review Group.
Issues
- Good quality, timely cataloguing of physical format electronic
publications is essential for library operations such as acquisition by others,
and preservation.
- A survey of the current situation with regard to the cataloguing of
this material indicates that rates of cataloguing onto the National
Bibliographic Database may be low. A higher rate of reporting to the NBD would
benefit both resource discovery and data sharing.
Recommendations
- That institutions contribute data, at least at the minimum level
prescribed for physical format electronic publications, to the NDB in order to
provide a source of copy cataloguing and holdings information for these
resources.
- That the ABN field Actions Note (NTA) and at least subfields a and
5 (preservation action and NUC symbol of institution) be used to record
information on intent to permanently retain and/or reformat for continued
access.

Appendix 1
Fields specific to cataloguing
physical format electronic publications and relevant ABN field
designation:
General material designator (TIL subfield h)
This AACR option followed for both minimum and high level records.
Use [computer file]
(note: ALA Guidelines for Bibliographic Descriptive of Interactive
Multimedia specifies the use of the GMD [interactive multimedia] for this
type of CD ROM. This has not been generally adopted by other libraries)
File characteristics area (FCA)
Contains the file characteristics of computer files, including type of
file and number of records, etc. when available
Physical description area (COL)
ABN follows the optional practice in AACR2, 9.5B1
Option, if the GMD [computer file] is used, the term 'computer' can be
omitted from this field.
Otherwise use the specific material designation (SMD) terms:
- computer cartridge
- computer cassette
- computer disk (magnetic storage devices)
- computer disc (optical storage devices)
- computer reel
- computer card
AACR also carries the instruction to be able to indicate the specific
type of physical medium:
- computer optical laser disc
Notes
Nature and scope (NOG)
eg. Game, Word processor
System requirements (NOG)
Mandatory. Provides information
on equipment required in order to access the item. Begin the note with
System requirements:
Include, when readily available, in the order listed: make and model
of the computer required for access; the amount of memory required; name of
operating system; software requirements; peripherals (eg. game paddles)
Actions note (NTA)
Recommended. Use at least subfields a,
and 5 (preservation action, and NUC symbol of institution).
eg. NTA |a5|Permanent preservation/reformatting|ANL
Other notes specific to physical format electronic publications
include:
Organisation and arrangement (OAR)
Case file characteristics
note (NTC)
Technical details note (TED)
Documentation note (IFD)
Chronological coverage note (GEC)
Technical details access note (TDF)
Related computer files note (RDF)
Last updated 18 February 1998
