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Working Party on Legal Deposit

Summary of Report

1. The Secretary of State for Culture, Media and Sport set up a Working Party under the chairmanship of Sir Anthony Kenny with the following terms of reference:

(i) to advise on how an effective national archive of non-print material might be achieved, taking into account the need to minimise the burden on publishers, the need to safeguard deposited material from unauthorised use, the archival value of the material, and the scope for making deposited material available among legal deposit libraries through secure IT networks;

(ii) to draw up and agree a voluntary code of practice to achieve deposit of electronic and microform publications until such time as the Government may decide to introduce legislation;

(iii) to ensure that such arrangements are compatible, where appropriate, with the existing arrangements for the voluntary deposit of films and sound recordings;

(iv) to advise on the scope for developing the existing arrangements for the deposit of printed publications with a view to ensuring greater co-operation between the different legal deposit libraries, encouraging greater selectivity in the material claimed from publishers, and the scope for developing IT networking solutions which can in the longer term be used to reduce the statutory burden on publishers in complying with the deposit arrangements.

2. The Working Party contained representatives of publishers and other producers as well as of the legal deposit libraries. It presented its report to the Secretary of State on the 16th day of July 1998.

3. The Working Party was convinced that only a system of legal deposit will be adequate to secure a comprehensive national published archive. Agreement has been reached on the following general principles for such a system:

(1) legislation should empower the Secretary of State, after appropriate consultation, to declare, from time to time, publications in specific new media to be subject to the obligation of legal deposit;

(2) whenever an item in a specified medium is published, the rights owner should enable the national published archive to hold that item both for purposes of archiving and of access to that archive;

(3) in the case of items published in more than one medium, the publisher's obligation to any repository of the national published archive shall be satisfied by deposit only in a single medium, but the choice of the medium of deposit should be made by the repository;

(4) once a work has been deposited in a repository of the national published archive, access should be given to authorised users of that repository, unless it belongs to a category for which it has been determined that access will be temporarily restricted;

(5) the dissemination of the work in whole or in substantial part beyond the confines of the national published archive shall be permitted only (a) after the expiry of copyright or (b) by agreement with the rights holders;

(6) the Secretary of State, in declaring a medium to be subject to the obligations of legal deposit, may exempt certain categories of material whose deposit would place an unreasonable burden on their publishers;

(7) applications from publishers for additional material to be excluded or embargoed, and points of dispute about the application of the obligation of legal deposit should be determined by a standing committee, responsible to the
Secretary of State, containing representatives both of publishers and repositories and their users.

4. These principles are deliberately general and abstract, so that they can apply to publications in different media, including media not yet invented. Appendices to the report spell out how they are to apply to particular media currently in existence. In the case of microforms, it is proposed that deposit, with a single repository, should become mandatory after the sixth sale in the UK. For sound recordings, two copies should be deposited with the British Library National Sound Archive, one for access and one for back-up. In the case of films, the aim of the system should be to protect an original master version for permanent preservation, and to hold a premiere-version reference copy for study and screening. Every CD-ROM which has sold more than twelve copies should be deposited, with access restricted to a single user in a single location. Legislation should be drafted in such a way that on-line publications are brought within the scope of legal deposit, when this is the primary form of publication, though only some forms of such publication, in particular monographs and journals, would be included from the introduction of deposit arrangements. More work on the technical and economic issues involved would be necessary before bringing other forms of on-line publications such as databases into the system.

5. The national published archive will be a distributed one, made up of a number of distinct repositories, including, but not restricted to, the six current legal deposit libraries and the British Film Institute. The deposit libraries believe that the system should provide for controlled networking of electronic material between the different repositories of the national archive, including a new node in Northern Ireland. Publishers, however, consider that access at more than one location could allow control of the data to be lost, and in some cases would endanger the commercial viability of a publication particularly in cases in which alternative arrangements were being negotiated for the use of items in networks. Material deposited with the national published archive, in whatever medium, should be placed in the most appropriate location, to be determined by agreement among the repositories making up the archive.

6. No change is proposed by the Working Party in the number of repositories currently entitled to the legal deposit of printed publications. However, further measures are proposed for the streamlining of the existing arrangements for the deposit of printed publications.

7. In the absence of a statutory legal deposit system for non-print materials, arrangements are already in place whereby publishers and producers have the possibility, but not the obligation, of depositing material free of charge with the legal deposit libraries, British Film Institute, and other repositories. But the Working Party does not believe that such voluntary arrangements will ever be adequate to constitute a representative, much less a comprehensive, national published archive.

Report of Working Party on Legal Deposit

1. Introduction

1.1 Under existing legislation, deriving from the Copyright Act 1911, a copy of each book which is published in the United Kingdom is required to be deposited, free of charge, in the British Library. Under the same act five other libraries (the National Libraries of Scotland and Wales, and the University libraries of Oxford, Cambridge, and Trinity College Dublin) are entitled to receive, on request, gratis copies of any book published. This is known as the system of "legal deposit" of books.

1.2 While virtually all publication was as print on paper the system created by the 1911 Act was adequate for the creation and preservation of a national published archive of texts. But with the development of new media and the growth of publication in non-print forms, the existing legislation has ceased to be adequate to ensure the continuation of a comprehensive archive of the nation's published material. The Act does not apply to texts published in microform, or electronically, or in any other non-print form.

1.3 Moreover, neither recorded sound nor moving images in the UK have been subject to any form of legal deposit. The British Library National Sound Archive (opened in 1955), through the co-operation of the British Phonographic Industry, has built up a substantial collection of sound recordings through a system of voluntary deposit. The government-funded British Film Institute has assembled materials for preservation and study, but the resulting collection is haphazard and incomplete, and it estimates that as much as 80% of all silent cinema and up to 50% of all sound films have been lost or remain outside archival protection.

1.4 A first attempt to establish legal deposit of films was made in 1969 through the Films (Statutory Deposit) Bill, which received all-party support, but failed on financial grounds. In 1976, the report of the Prime Minister's Working Party on the future of the British film industry recommended a statutory deposit scheme. And in 1978, the report of the interim Action Committee on the Film Industry presented to Parliament endorsed a similar recommendation. In 1980 a UNESCO resolution recommended the safeguarding of moving images by national government intervention on an international scale, and more recently, general acceptance has been given to the Council of Europe's Convention for the Protection of the European Audio-visual heritage.

1.5 In January 1996 the British Library, in consultation with the other legal deposit libraries, the British Film Institute and other interested parties, presented to the then Department of National Heritage a proposal to extend legal deposit to cover non-print materials, including audio-visual and electronic publications. Following this, the Government published "Legal deposit of publications: a consultation paper" in February 1997, which invited respondents to submit their views on a number of specific questions relating to the existing system of legal deposit as well as to options for extension to electronic publications, sound recordings, film and video recordings and microform publications.

1.6 3,000 organisations were consulted, mostly representing publishers and repositories, who were those most directly affected by any change in the legislation on legal deposit. 161 replies were received, and a summary of the replies has been published by the Department for Culture, Media and Sport.

1.7 On 11 November 1997 the Secretary of State, the Rt Hon. Chris Smith MP, wrote to Dr John Ashworth, the Chairman of the British Library Board, saying, inter alia:

We had hoped to introduce legislation to amend the provisions of the Copyright Act 1911 in order to reflect the outcome of the consultation exercise on legal deposit which this Department conducted earlier this year. In the event, it was not possible to include this legislation in the timetable this Session. As a result, I have had to look at alternative means of plugging the rapidly increasing gap that is developing in the national collections in respect of non-print material.

1.8 In the House of Commons on 28 January 1998 the Secretary of State announced the establishment of a working group, chaired by Sir Anthony Kenny, comprising representatives of the British Library, legal deposit libraries, libraries in Northern Ireland, the British Film Institute, and publishing sectors. The terms of reference of the working group were as follows:

(i) to advise on how an effective national archive of non-print material might be achieved, taking into account the need to minimise the burden on publishers, the need to safeguard deposited material from unauthorised use, the archival value of the material, and the scope for making deposited material available among legal deposit libraries through secure IT networks;

(ii) to draw up and agree a voluntary code of practice to achieve deposit of electronic and microform publications until such time as the Government may decide to introduce legislation;

(iii) to ensure that such arrangements are compatible, where appropriate, with the existing arrangements for the voluntary deposit of films and sound recordings;

(iv) to advise on the scope for developing the existing arrangements for the deposit of printed publications with a view to ensuring greater co-operation between the different legal deposit libraries, encouraging greater selectivity in the material claimed from publishers, and the scope for developing IT networking solutions which can in the longer term be used to reduce the statutory burden on publishers in complying with the deposit arrangements.

The Secretary of State also asked the Working Party to examine the scope for improved access in Northern Ireland to deposited material through IT networking. He asked for the report to be delivered within six months.

1.9 The Working Party contained the following members.

Sir Anthony Kenny (Chairman), Peter Fox, University of Cambridge
Rhodes House, Oxford

Ian McGowan, National Library of Norman Russell, Queen's University
Scotland of Belfast

Anthony Watkinson, Thomson Science Steven Hall, Chadwyck-Healey Ltd
and Professional

Clive Bradley, Publishers Clyde Jeavons, British Film
Association Institute

Andrew Lucas, Reuters Geoff Smith, British Library

Andrew Phillips, British Library Secretary: Stella Pilling, British Library

The Working Party met on five occasions and consulted widely, both through informal meetings and by means of an Open Day in the British Library on 2 June which was attended by representatives of many interested organisations, both producers and repositories.

2. The Archive of Non-print Material

2.1 In announcing the setting up of the Working Party, the Secretary of State affirmed: "The Government believes that it is extremely important to ensure that material published in this country is incorporated into our national archive irrespective of themedium used. The arrangements for legal deposit, which are concerned primarily with published material in print form, underpin the nation's academic, research, and educational sectors. We intend to ensure that these benefits extend also to material published in format other than print."

2.2 The Working Party believes that an effective national archive of published non-print material can only be achieved, in the long term, by an extension of the legal deposit system. It notes that many other countries, most recently the Republic of Ireland, have already set in place primary legislation to underpin a system of legal deposit for non-print material. It took as its first task, therefore, to establish how a statutory system could be introduced in the most efficient and cost-effective way with the minimum burden placed on the publishing industry.

2.3 It noted that almost all those who replied to the consultation document, whether librarians or publishers, expressed support in principle for the current system of legal deposit. Most respondents believed that a voluntary system would be unworkable. If a voluntary system would not achieve a satisfactory national published archive of printed material, there is no good reason to believe that it would be any more effective in the creation of a comprehensive collection of non-print publications.

2.4 The Working Party was given to understand that publishers were well aware of the real need for an archive of non-print publication, and would be unwilling, and in many cases unable, to provide an enduring archive of this kind on their own premises and from their own resources. Accordingly, they were in favour in principle of extending legal deposit to publications in new media: their concerns focused on the scope of categories to be included, the number of copies to be deposited and the security of control over any networking of deposited material. In particular, they objected to the proposal in the British Library document that rights owners should be obliged to deposit up to six copies of microforms or hand-held electronic texts. In many cases, they believed, this could do quite disproportionate economic damage to publishers.

2.5 The Working Party believes that a system of compulsory legal deposit can be devised which will suffice to secure the national published archive while respecting the legitimate concerns of publishers. The main features of such a system are as follows:

(1) legislation should empower the Secretary of State, after appropriate consultation, to declare, from time to time, publications in specific new media to be subject to the obligation of legal deposit;

(2) whenever an item in a specified medium is published, the rights owner should enable the national published archive to hold that item both for purposes of archiving and of access to that archive;

(3) in the case of items published complete in more than one medium, the publisher's obligation to any repository of the national published archive shall be satisfied by deposit only in a single medium, but the choice of the medium of deposit should be made by the repository;

(4) once a work has been deposited in a repository of the national published archive, access should be given to authorised users of that repository, unless it belongs to a category for which it has been determined that access will be temporarily restricted;

(5) the dissemination of the work in whole or in substantial part beyond the confines of the national published archive shall be permitted only (a) after the expiry of copyright or (b) by agreement with the rights holders;

(6) the Secretary of State, in declaring a medium to be subject to the obligations of legal deposit, may exempt certain categories of material whose deposit would place an unreasonable burden on their publishers;

(7) applications from publishers for additional material to be excluded or embargoed, and points of dispute about the application of the obligation of legal deposit should be determined by a standing committee, responsible to the Secretary of State, containing representatives both of publishers and repositories and their users.

2.6 These seven principles are meant to be of very general application. They do not specify particular media to be brought immediately within the range of legal deposit; nor do they specify which institution or institutions are to constitute the national published archive of non-print material. The acceptability of the principles is likely to turn on how they are implemented in detail. Appendix A discusses the specific issues concerning (1) microforms (2) recorded sound (3) audio-visual material (4) electronic publications. Appendix B contains a description of a possible distributed national published archive, and Appendix C concerns related issues about the archiving of broadcast material.

3. An Interim Voluntary Code of Practice

3.1 The Working Party was asked by the Secretary of State to draw up a voluntary code of practice to achieve deposit of electronic and microform publications until such time as the Government might decide to introduce a statutory system. There are three aspects to the operation of a voluntary system. First, there must be a repository capable of receiving, preserving, and giving access to material voluntarily deposited. Second, there must be sufficient willingness on the part of publishers to deposit their products free of charge. Third, there must be an agreed set of standards concerning the form in which material is to be deposited and the conditions under which it is to be maintained.

3.2 The British Library and other repositories are already willing to accept voluntarily deposited microform or electronic publications, which will be dealt with wherever practicable in the same way as their holdings published in other physical forms. Such deposited items will be subject to selection criteria similar to those for their print counterparts. They will be processed and recorded through the repositories' mainstream acquisitions and cataloguing systems, and stored so as to be accessible for use. Their contents will be made available to readers, and, in the case of the British Library, with the agreement of the publishers, to users of remote document supply services. The preservation of the content of the publications will be assured within the constraints of existing knowledge and technical possibility.

3.3 The legal deposit libraries already acquire a significant number of electronic publications in CD-ROM format, primarily through the purchase of items required for use by readers or (in the case of the British Library) to support document supply services to remote users (for example, for bibliographic checking). Types of publications acquired include reference works such as indexes, bibliographies, directories, and encyclopaedias, and full text databases of material such as newspapers, journals, literary and archival compilations, patents, standards, and law reports. The libraries are experienced in the processing, recording and storage of such items and in the provision of access to their contents. They are willing to accept by voluntary deposit CD-ROM titles published in the United Kingdom, while reserving the right to collect some categories only selectively or on a sample basis. While collecting all material appropriate to scholarly, scientific, technical, business, or other research use they would wish to exclude, or collect only on a selective or sample basis, material such as computer games and computer software.

3.4 In the absence of statutory provision, it is desirable that a code of practice for voluntary deposit should approximate so far as possible to the regulations which would obtain under a legal deposit system. Thus, the conditions under which the repositories will accept material for voluntary deposit should be the same as the regulations which would be in force under a statutory system; and the obligations which the repositories undertake on receipt of voluntary deposit should be the same as those which would fall upon them in the event of the extension of legal deposit. The repositories accepting material on voluntary deposit should agree policies of selectivity among themselves, and also standards for acceptance and maintenance which could continue undisturbed in the event of the present legal deposit libraries forming part of a single national published archive for non-print materials under a statutory system. The standards currently adopted by the British Library in respect of document format, physical format and operating systems, and the connected questions of library storage, access and archiving, will be found in Appendix D.

3.5 A number of publishers have already approached the legal deposit libraries about the possibility of depositing some of their electronic publications, primarily journals, on a voluntary basis. The Copyright Agency has also received approaches from publishers offering to deposit books made available over the Internet. The Ordnance Survey, while maintaining that it now has no obligations to the legal deposit libraries since it no longer issues publications but instead operates a main database only, constantly updated, has offered to provide those libraries with mapping on CD-ROM under carefully controlled arrangements.

3.6 While these developments are to be welcomed, the number of publishers who have come forward for voluntary deposit are only a very small proportion of those active in this market, and it must remain doubtful whether the spontaneous desire to have one's products archived centrally will be sufficient to generate a representative, let alone a comprehensive, national published archive. Short of legislation, it is difficult to see what incentive can be offered to publishers to deposit material with a national repository. Among other countries, only the Netherlands has found it possible to build up a satisfactory archive of printed material without statutory provision. The electronic publishing industry does not lend itself to a system of voluntary deposit.

3.7 Publishers who are willing, in the interests of a comprehensive collection, to accept the burdens which a statutory system would place upon them, are not willing to make voluntary contributions to an archive which would be random and spotty in its coverage. If a voluntary system is one in which it is possible, but not obligatory, for publishers to deposit their products with a national repository, then a voluntary system is already in operation with respect to all non-print media except on-line publications. Notwithstanding this, a large and growing gap has been created in the national published archive.

3.8 The most successful voluntary system so far is that operated by the sound recording industry. The major membership of that industry is now willing to countenance statutory deposit because it accepts the need for a national published archive and the fact that gaps cannot be plugged sufficiently on a voluntary basis.

3.9 The problems with a voluntary system are most clearly illustrated by the experience of the British Film Institute. In the 63 years since the founding of the National Film Archive the Institute has been operating voluntary procedures, and they have been unable to secure full co-operation from the industry and what co-operation has been received has been at best shifting and haphazard. Copies voluntarily handed over have often been in poor condition; damaged goods, in fact. In the opinion of the BFI voluntariness has been exhaustively tested and found wanting.

3.10 Though the Working Party believes that only a statutory system will be satisfactory in the long term, all possible steps should be taken during the period before legislation is introduced to prevent an already substantial gap in the national published archive from growing larger. The Working Party recommends that the British Library, in consultation with the other legal deposit libraries, and the British Film Institute, should draw up a code of practice and secure the endorsement of the Department for Culture, Media and Sport and the major publishing trade associations. Copies of the code should be sent to all the principal publishers of appropriate non-print material.

3.11 In the case of microforms, the procedures for voluntary deposit should accord with the principles proposed for statutory deposit in Appendix A. In the case of sound recordings, the existing arrangements for voluntary deposit should continue in force. In the case of hand-held electronic publications, publishers will be asked to deposit at least one, and preferably six copies, of each publication. The repositories should undertake to ensure the physical security of CD-ROMs and accompanying software, to permit physical handling only by repository staff or contractors under their control, and to give access to their contents only on a computer screen at a stand-alone workstation, on their own premises for private research and study purposes. For these purposes, repository patrons may print search output on a printer in hard copy form, and to the extent authorised download insubstantial portions of it to a computer diskette supplied by the repository for temporary storage. (These are the principles operated by the Library of Congress for CD-ROMs deposited with it on a statutory basis.)

4. Current Arrangements for Legal Deposit of Printed Books

4.1 The Working Party would not wish to see any change in current legislation governing the legal deposit of printed material. It would not, for instance, call for a reduction in the number of deposit libraries. At a time when devolution of government to Scotland and Wales sets in relief the importance of local educational and cultural traditions, it would be wholly inappropriate to deprive the National Libraries of those countries of the deposit privilege. The special position of the university libraries of Oxford and Cambridge in the higher educational system of England has been confirmed by the Higher Education Funding Council for England which provides special factor funding to enable those libraries to maintain their copyright collections as part of a regional strategy to rationalise university library provision. Now that it has been decided not to proceed with the proposal for a legal deposit library in Northern Ireland it is important to maintain the one library of deposit in the island of Ireland and to ensure that its holdings are made no less readily available to residents of the island who are citizens of the UK than to those who are citizens of the Republic.

4.2 All the legal deposit libraries recognise, however, that there is scope for streamlining the existing arrangement for the deposit of printed publications. They have been taking active measures to this end through their standing committee on legal deposit (SCOLD).

4.3 In the first place, the categories of works to be taken in under the legal deposit privilege need to be further restricted in the light of the recent proliferation of many forms of ephemeral publication. The Smethurst review of the legal deposit of printed materials outlined for the British Library a number of ways in which the burden which legal deposit places both on publishers and on libraries might be reduced without damage to the national published archive. Appendix E suggests ways in which these proposals can be taken forward

4.4 Second, it is no less important to identify ways to eliminate any unnecessary duplication in the collections of the different deposit libraries. This is most easily addressed with respect to material of largely regional interest (eg Scottish and Welsh publishing), where it is usually more obvious which is the most appropriate repository for a single deposited item. But there would also be scope for the deposit libraries to agree between themselves areas of concentration, appropriate to their individual missions, where they might be the sole, or one of only two, national repositories for material of a specialised kind.

4.5 In order to avoid an unreasonable burden being placed on publishers, the legal deposit libraries should continue to agree partial exemption from deposit for some items which would otherwise be claimed for deposit in multiple copies. The features of the current system adopted by the Agent for the Copyright Libraries are:

(i) exemptions from claim are sought rarely, and are treated by the Agent as exceptions on a case by case basis;

(ii) when exemption is sought by a publisher, usually on the basis of a perceived threat to the viability of a publication from deposit in multiple copies, the Agent will first discuss the matter informally with the publisher to clarify the grounds for exemption;

(iii) if it is not possible for the Agent to reach agreement with the publisher, the matter is referred to the Copyright Agency Advisory Committee, which is chaired by the Librarians of the Agency libraries in rotation and on which all the Agency libraries are represented as well as the British Library;

(iv) after discussion by the Advisory Committee in consultation with the British Library, the Agent may be authorised to accept deposit in a single copy, which is allocated to the most appropriate library, and a discount on the retail price of the item in question is sought for any other Agency library wishing to purchase a copy. All the legal deposit libraries consider that in practice the test of reasonableness applied to exemptions has worked well to ensure that the interests of publishers producing specialist works with very small print runs and high costs are protected, while allowing the integrity of the distributed archive of published material to be maintained.

Appendix A (i)


1. Microform publications normally appear either on microfilm, a high-resolution film supplied on a reel, or on microfiche, A6-size sheets of micro-images forming a grid.

2. They are analogous to printed publications insofar as they generally constitute definable and discrete entities and their deposit would be a single event. However, any further analogy between printed publications and microforms is misleading.

3. Microform publications are often highly specialised publications intended for a very limited market. A best-selling microform collection might sell fifty copies. Few microform sets now sell more than twenty five copies and some sell fewer than ten. All have high unit production costs. The five principal purchasers of microform publications in the UK are the three national libraries and the university libraries of Oxford and Cambridge. Some very large and expensive microform publications are even more specialised, having a tiny world-wide market and only a single UK purchase. Deposit of such a publication with even a single repository in the UK would not be viable. The production cost alone would probably exceed the total annual deposit costs of even the largest book publisher, and the loss of revenues from the lost sales would be several times the production cost.

4. Despite these caveats, however, it is agreed that, in principle, microforms should be subject to legal deposit and be held within the national published archive. The Working Party, therefore, supports the option of deposit with a single repository provided that exceptions are made for microform publications already deposited with any of the legal deposit libraries through a publishing agreement; microform publications which simply duplicate printed publications which have already been deposited; and microform publications which sell fewer than six copies in the UK. (The initial production run is no guide to the number of copies to be sold, as microform publications are generally only duplicated on demand, as orders are placed.) The requirement to deposit would be triggered by the sixth sale in the UK.

5. It should be recognised, however, that the long term preservation of the content of microforms can only be assured through the storage of archival quality master negatives in environmental conditions as defined by the appropriate standards for archival storage of the medium. While the publishers' master negatives would themselves be out of scope of deposit, it is recommended that agreement should be sought between publishers and the national published archive on appropriate arrangements to ensure the long term preservation and availability of those negatives.

Appendix A (ii)

Sound Recordings

1. Background

The British Phonographic Industry (BPI) represents all the major record producers in the UK and includes the majority of smaller UK companies in its membership, thereby accounting for the great majority of recorded sound output. The BPI membership has long collaborated with the British Library National Sound Archive (BL Sound Archive - opened in 1955) by depositing on a voluntary basis new recordings, often in two copies, with the BL Sound Archive. The recorded sound industry has recognised the building up of a national sound archive for present and future users to be an important manifestation of the diversity and significance - national and international - of recorded sound publishing in the UK.

2. Proposal

The BPI has now signalled its agreement to a proposal for statutory deposit of two copies of each recorded product provided that its members only have to deal directly with one repository (the British Library National Sound Archive).

3. Principles

The following principles are proposed as being key to, or desirable for, an effective legal deposit system for recorded sound:

(i) the system should be comprehensive in scope and include all recordings irrespective of carrier;

(ii) no organisation or body which publishes recorded sound should be exempt in principle from the legal deposit system;

(iii) recorded sound materials requested under the terms of the system should be deposited at no cost to the repository;

(iv) all recorded sound products deposited should be complete and in a physical condition acceptable to the repository (this would also cover the standard packaging in, and with, which items are sold and issued) and in the appropriate format as determined by the repository;

(v) the system should give the repository the right to permanent and uninterrupted physical possession of deposited materials;

(vi) notwithstanding any provision of the 1988 Copyright Designs and Patents Act, the repository should have a legal right to copy (in digital or analogue form) materials in its care for the purposes of continued preservation and permitted access;

(vii) the repository should have the right to show or play materials on its own premises for cultural, educational or research purposes;

(viii) repositories which are assigned the privilege of legal deposit accept responsibility for the publications and for meeting required standards of storage, maintenance, preservation, bibliographic control and public use facilities;

(ix) items deposited under the provisions of legislation would form part of the collections of the designated repository which would ensure that they were preserved and made available, appropriately, for research purposes. Ownership of the physical materials should be vested in the repository: this would not alter the copyright protection in force;

(x) publishers would deposit two copies of each published item of recorded sound, one for access and one for back-up security and preservation. The two copies should be delivered to a single designated repository in the UK: the British Library National Sound Archive. Publishers should also deposit all published catalogues of their product with the repository;

(xi) repositories should have the discretion not to accept material offered for deposit in specific cases: within the context of established criteria and guidelines.

(Many of these principles reflect understandings which currently apply to the arrangements between the British Library National Sound Archive and the recorded sound industry.)

4. Coverage

The overall coverage resulting from the present voluntary arrangements is estimated at 85% of all UK published product, 30% of which is also received in second copies. If statutory arrangements apply it is estimated that the intake on current trends would be about 26,000 products pa. (with an equivalent number of second copies).

5. Procedures

Intake of new sound recordings into the British Library National Sound Archive would follow similar accessioning, processing and checking procedures to those which operate currently and the present safeguards of rights and limits on access and playback. In the light of extension to statutory provision, the scope is also being examined with the National Libraries of Scotland and Wales for meeting their collecting requirements and responsibilities concerning sound recordings and to identify an arrangement that meets respective needs of repositories and producers as far as possible. An outcome being reviewed at present would result in the British Library National Sound Archive reassigning second copies of products published in Scotland and Wales to the respective national libraries.

The arrangements being proposed between the British Library National Sound Archive and the National Libraries of Scotland and Wales could form the basis of a similar agreement between the British Library National Sound Archive and Trinity College Dublin in respect of the reciprocity of deposit between the United Kingdom and the Republic of Ireland.

6. Off Air Transmission

The provisions of the Copyright Designs and Patents Act 1988 give sufficient scope for the British Library's National Sound Archive's present off-air recording of radio broadcasts. (See also Appendix C, Television Broadcasting.)

Appendix A(iii)

Audio Visual Materials (Films and Videos)

1. It is of fundamental importance that a legal deposit scheme for audio-visual materials recognises their innate physical characteristics and vulnerability and the need to acquire them in new condition. This is to ensure that they are preserved at minimum cost to the taxpayer, and can be studied and enjoyed in the future in the pristine form their creators intended. It is also a benefit to the depositors themselves when they seek renewal and re-use of their materials for future commercial purposes.

2. A legal deposit system for audio-visual materials should also be as comprehensive and non-exclusive as for any other published materials and embrace all forms of moving image media now and in the future, whether or not selectivity is applied in practice.

3. The following principles are proposed as being key to or desirable for an effective legal deposit system for audio-visual materials:

(i) the system should be comprehensive in scope, allowing for consideration of all published audio-visual production and media, known and yet to be invented;

(ii) deposit should not necessarily be automatic. The system should provide for the obligatory notification to the repository of all audio-visual works shown or played or published, and for the repository to request materials within the context of established selection criteria and guidelines;

(iii) the repository should have the right to request copies of materials to be delivered within a designated time frame;

(iv) no organisation or body - public, commercial or otherwise - which publishes audio-visual materials should in principle be exempt from the legal deposit system, whether or not acceptable alternative statutes or procedures exist which fulfil its aims;

(v) physical materials requested under the terms of the system should be deposited at no cost to the repository unless formal provision has been made to allow for exceptions (in accord with para 2.5 (6) of this report);

(vi) all audio-visual materials deposited should be complete and in a physical condition acceptable to the repository, and in the appropriate format as determined by the repository;

(vii) audio-visual materials selected for preservation should, where requested, be accompanied by an appropriate selection of complementary related materials (e.g. stills, posters, publicity materials, etc.);

(viii) the repository should have a legal right to copy materials in its care for the purposes of continued preservation and permitted access;

(ix) the system should give the repository the right to permanent and uninterrupted physical possession of deposited materials, and any copies they may choose to make from them, in the interests of their continued preservation; and the right to determine the conditions under which they may be made accessible to depositors or authorised third parties. The depositor would continue, as at present, to have authorised access to deposit material;

(x) the repository should have the right to show or play materials on its own premises for cultural, educational, or research purposes, and to make materials available to other designated repositories for the same purposes;

(xi) the system should enable gaps to be filled in the existing archival holdings by giving the repository the right to request access to known material from the past on loan for the purpose of copying it for future preservation, but at no cost or penalty to the owner or possessor.

Terms of Deposit

4. The aim of a fully effective legal deposit scheme for audio-visual materials should be to protect an original master version of the film or video for permanent preservation and to hold a premiere-version reference copy for study and screening.

5. In the case of films shown or published in the UK, it is proposed that the following materials be deposited:

a) British films (however defined): (i) A mint print of the authorised premiere version, to be delivered to the repository within 30 days of the first showing. (ii) After three years (or other agreed period), the original negatives or acceptable alternative pre-print materials.

b) Other films shown or distributed in the UK: A best copy of the film in the form first shown in the UK.

6. In the case of videos, the deposit materials should consist of a mint-condition duplicate original and new reference copy (if British); a new-condition reference copy (if imported).

Industry Benefits

7. Some sectors of the audio-visual industry have become aware of the advantages of preservation and have begun to espouse preservation practices. Archives have become more confident and more open, not least to the industry itself. Both sides are aware that the premature demise of film materials can be averted by preserving them at the time of first production, and the enormous future costs of restoration work eradicated accordingly. But implementation of an efficient deposit system can only be realistically achieved by statutory means. The industry will discover that, at minimal cost within the scale and context of most production and promotion budgets, it is not only depositing good artefacts for future preservation and study, but also making a practical investment in the benefits of secure storage, free maintenance and continued access.

8. The following are some of the benefits to the industry of an effective legal deposit system:

good-condition preservation and reference materials are secured at minimal cost;

materials are stored permanently at no charge in optimum conservation conditions;

materials are expertly examined and maintained, again at no charge;

producers and copyright owners continue to have access to their materials for the making of new copies;

materials and rights get best protection: there is a minimum risk of loss, deterioration, or illicit copying;

creativity is secured: there is the knowledge that work will survive for future generations to appreciate and enjoy.

Appendix A (iv)

Electronic Publications

Electronic publications are published documents which are produced, distributed, stored and used in electronic form.

1. Publication Types

It is necessary to define specific types of publications for inclusion in deposit arrangements. The following overview, though not exhaustive, indicates the most important types, with comments on their appropriateness for inclusion within the scope of deposit.

1.1 Electronic books and multimedia publications.

For certain categories of publications, notably reference and educational works, the traditional printed publication with its rigid, sequential structure has certain limitations which can be overcome by using electronic media. This has led to the appearance of 'electronic' books and 'multimedia' publications, which may be published on off-line media such as diskettes, CD-ROM and CD-I, but which are increasingly also distributed over the Internet. These new publication types can contain not only text and pictures, but also sound and moving images. In addition, they can contain powerful search mechanisms, interactive browsing modes, learning tools etc. The publications are often a complex combination of 'information content' and software. They are a parallel to works which traditionally would have appeared in print and would have been deposited. In principle they should be treated in the same way as printed books and should be deposited accordingly.

1.2 Electronic journals.

There are different types of electronic journal:

(i) titles which replicate in electronic form an existing printed publication;

(ii) those which replicate in part an existing printed publication but which take advantage of the electronic environment to include or point to additional information, links or multimedia capabilities;

(iii) those which exist only in electronic form, and which make use of the functionality of the Net to provide multimedia components and links to other information, but are in themselves defined as publications which have a permanent form;

(iv) those which exist only in electronic form, and which do not have a permanent form, but are totally dynamic and subject to change through continued interaction with users.

Where the electronic version is simply a replication of the print version, only one version should be deposited, the choice of version being with the depository.

Electronic journals which have additional information content beyond the print original, and those which only appear electronically, but are defined as publications which have a permanent form, should fall within the scope of deposit. Journals which do not have a permanent form and are totally dynamic, but which can be defined as publications, should be subject to deposit on a 'sample' or 'snapshot' basis.

1.3 Databases.

Databases are in general large collections of items of a specific type. These may be secondary materials such as bibliographic records, abstracts or citations, or primary materials such as product descriptions, statistical data or the full text of journal or newspaper articles, literary works etc. Databases may be static (ie once compiled they are either not updated, or if updated are reissued in complete cumulated form to a regular schedule) or dynamic (ie updated frequently, whether daily or constantly within the course of the day).

The distribution form is either through off-line media such as CD-ROM (usually on a subscription basis) or on-line through a database host or provider (usually on a pay-peruse basis). For the purposes of deposit, a distinction between off-line and on-line products should be made:

a) Off-line databases are usually published in periodically updated editions. These updates are often relatively frequent, typically between two and twelve editions per year. The overlap between successive editions is often significant. Such databases should be subject to deposit. For databases which cumulate either all editions should be deposited, with the previous version being discarded on receipt on the next cumulation, or the cumulation should be deposited less frequently, such as once a year. The patterns of cumulation and supplement will often be similar to those for print publications, and similar practices for deposit and retention should be adopted.

b) On-line databases present a different and more difficult case. Since they are often updated on a continuous basis, it is impossible to identify discrete 'editions'. Either a 'sampling' approach (e.g. based on a yearly deposit of the full database) or an 'audit trail' approach (based on a deposit of the first instance and all additions and corrections) would have to be taken. A further problem is that special (and often very expensive) software is needed in order to access the database content. Such software is usually not a product of the content publisher and therefore cannot legally be deposited by the publisher. A requirement to provide database content in a standard, software independent format for purposes of deposit could lead to high costs for the content publisher and would be likely to be unacceptable to them. The scale of many major databases would make their transfer for deposit impractical and difficult to achieve. It could be argued in many cases that databases are not publications in the strict sense, but information services not required to be deposited. Where on-line databases fall within the agreed definition of electronic publications they should not be ruled out in principle from the scope of deposit arrangements. However in reality it is assumed that in the early years of the deposit of electronic publications it unlikely that the deposit of large scale dynamic on-line databases would take place. There should however be dialogue between depositories and publishers to ensure that the issues of long term archiving of and access to such materials are addressed.

1.4 Internet documents.

Recent years have seen an explosion of material made available over the Internet via the World Wide Web. A recent estimate suggests that worldwide there are some 320 million pages currently on the Web. Most of this would be out of scope of UK deposit arrangements, either because the material falls outside the definition of 'publication' (eg company and institutional sites, entertainment material), or is a foreign rather than UK publication. In addition much is ephemeral, or of little or no long term research significance. UK documents which do fall within the definition of 'publications' should be considered for deposit, with depositories having the right to select and retain only that material considered to be of relevance and significance for the national published archive.

1.4.1 Internet documents often contain hypertext links between different documents, images, sound files etc., often stored on computers in different geographical locations. The documents are created using the Hypertext Mark-up Language (HTML). Here, the concept of a 'document' or 'publication' is extremely fluid. A document created in HTML on the Web can consist of a 'home page' (the top level of a document, cf. a kind of contents page) linked to the various components (cf. chapters) of the document. But it can also contain links to other WWW-documents anywhere in the world, which themselves can contain links to yet other documents. In these cases, it is impossible to define the boundaries of an individual document, and any WWW document can in theory be a partial subset of any other document. Such documents tend to be dynamic, and can easily change in minor details, such as the reference to an image or bibliography. Over time they may deteriorate (if not disintegrate), when references to documents outside the control of the author of the hypertext document are removed from the location specified in the document.

1.4.2 These distributed hypertext documents defy traditional concepts of what constitutes a publication, even if by other criteria they can be regarded as publications in the formal sense. For deposit the likely practical option would be to acquire only the core hypertext document itself, i.e. containing the links (references) but not the referenced documents from other sources, since if these are outside of the UK they would not be in the scope of deposit, or would not be under the ownership or control of the publisher of the core document. For these documents there would be no guarantee that the hypertext references would remain valid over time. The integrity of the document would diminish, and eventually it might become meaningless. It is possible, in the time-frame of introducing deposit arrangements for appropriate Web documents, that the developing use of Digital Object Identifiers as permanent identifiers for individual digital objects (eg journal articles) with separate locating information for them may help in overcoming this obstacle.

1.4.3 In summary, there are technical and legal reasons which will make it difficult to bring dynamic, virtual documents such as distributed World Wide Web publications systematically and fully under physical deposit arrangements, despite the fact that they may constitute a modern form of publication worthy of preservation. It has therefore to be recognised that society is capable of developing information products which are not physically depositable and which therefore cannot be preserved in their integrity for future generations. In some cases the best a depository would be able to do would be to provide some kind of bibliographic control and perhaps also to ensure access for as long as the virtual document exists on the network. It is known that the issue of archiving the Web is being looked at by national libraries in some other European countries, and it is suggested that further research into the technical, preservation and research value issues should be carried out in future through collaboration between the British Library and the national libraries concerned.

1.5 Public communications.

The Internet has resulted in many new modes of public communication. Important examples of this are NetNews and List servers. These are mechanisms for distributing communications from individuals to groups of people interested in a certain topic and who have subscribed to a specific 'newsgroup' or 'list'. There is no reason to regard these modes of communication as an act of publishing, and they should not be included in deposit arrangements.

1.6 Software.

It can be argued that computer software is not a publication in the sense used within deposit regulations and is therefore not required to be deposited. In general, therefore, software would be outside the scope of deposit. There may however be certain categories of software which should be considered for deposit, such as expert systems, which although often regarded as software products, also contain a knowledge content and can be regarded as 'intelligent' electronic reference books. Other examples of a specialised type appropriate for deposit are collections of scientific and technical algorithms sold for practical purposes as a book.

1.7 Computer games.

These are products which in general would not be regarded as information products or publications, though which may be of relevance for an audio-visual archive. There is no clear borderline between educational products and computer games. There are likely to be some specific products which should be deposited on a systematic, selective or sample basis.

2. Publication Medium

As is clear from the description of publication types given above, electronic publications are produced and distributed on a variety of media or carriers. The basic types which are relevant in the context of legal deposit are listed below.

2.1 Off-line /'hand held'/portable media.

Publications on off-line media are distributed on a physical data carrier such as diskettes or, more commonly, on optical disks of some kind. Of the latter, there exist various types, such as CD-ROM and CDI. Such media are highly suitable for interactive and multimedia publications. Since off-line products are distributed as individual, physical objects, they resemble printed products in a practical sense. This facilitates the deposit process, since the object of deposit can easily be identified and handed over to the deposit library. The publications should be deposited in the form in which they are made available to the public, together with any associated software, manuals and material which are also made available to the public to enable them to be used.

2.2 On-line media.

With on-line media, no physical information product is created and distributed to users. Rather, the product resides on a computer system ('host') to which the user obtains access. One has to make a distinction between traditional 'on-line hosts' offering a collection of databases (generally of a bibliographic or reference nature) and the current public computer networks (especially the Internet) which offer access to a regional or world-wide collection of computer systems, services (e.g. electronic mail) and information sources. It is assumed that deposit of on-line publications will entail the transfer of electronic data between the publisher and the depository concerned, whether by file transfer on a physical medium or by on-line file transfer. All 'digital objects' which make up a given publication (eg text, photographs, graphics, sound), should be transferred at the point of deposit. However where a publication contains hypertext links, it is assumed that the digital objects to which the links point which are outside of the publication itself (eg citations of / links to articles in other publications) will not be deposited.

2.3 Parallel publications.

Given the variety of media to choose from, there has been an emergence of hybrid publications, i.e. publications on more than one medium. There are two varieties of these. One is the parallel publication, i.e. a publication both in printed and in electronic form (with identical content), or available both on-line and off-line. It is assumed that in these cases there will only be deposit of one version, with deposit libraries having to decide which version they prefer to obtain. The other variety is the hybrid publication proper, i.e. a publication consisting of complementary parts on different media. Examples are combinations of printed media and diskettes or CD-ROMS, and of CD-ROM publications to which up-to-date information is added from an on-line database. When an off-line medium is an integral part of a printed publication, both media should deposited together. When one of the components is an on-line source, this may be more difficult, depending on the publication type (see above).

3. Place of Publication

Publications should be deposited where the publisher or distributor is based in the UK, or has a UK address (either physical or electronic) from which they publish or distribute the publications. In cases of on-line publications where the publisher of a document cannot be identified, the distributor on the network, as identified through the home page address of the server through which the material is made available, should be regarded as the publishing source.


The above is based on extracts from "Appendix 1. Overview and definitions of electronic publications" in "Deposit collections of electronic publications" by J.S. Mackenzie Owen and J.v.d. Walle, published by European Commission, DG XIII-E/4, 1996.

Appendix B

A Distributed National Published Archive of Non-print Publications

1. It is recognised that no single institution or repository could provide the appropriate home for the deposit of all non-print material. Therefore a distributed national published archive is recommended as the mechanism for acquiring, storing, and making available the national collection of non-print material. The repositories forming the national published archive would include, but not necessarily be limited to, the present legal deposit libraries and the British Film Institute.

2. For some material, for example microforms, there is general agreement that deposit in a single copy and access at a single location would provide continuity with the historic development of existing collections and meet most needs of the existing research community.

3. For recorded sound, two copy deposit with the British Library's National Sound Archive is envisaged. It could then be agreed among the British Library and other institutions that one copy should be transferred to one of the other institutions: for example, transfer to the recorded sound collection of the National Library of Wales or Scotland or Trinity College Dublin in the Republic of Ireland of a recording for which those libraries would be the appropriate repository by virtue of the recording's relevance to those countries.

4. For film, while the British Film Institute's National Film and Television Archive is seen at present as the principal proposed repository for audio-visual materials under a legal deposit system, the Working Party recognises the status and validity of certain other moving image archives in the UK, most notably the Imperial War Museum Film and Video Archive, the Scottish Film and Television Archive, the National Library of Wales, and the Wales Film and Television Archive. These bodies, and others like them, acknowledge the BFI's role as main repository and negotiator of legal deposit items. It is mutually accepted however that there may be established a network of designated or recognised regional/national repositories qualified to possess or share and make accessible legal deposit materials under agreed conditions, without compromising the principle of a single archive.

5. With regard to other information media, such as CD-ROMS, the Working Party is unanimous in believing that the minimum form of deposit which would enable a national published archive to be created is the deposit of each item in a single location, with access restricted to a single user at that location at any one time. The Working Party accepts that some "hand-held" electronic publications have high unit production costs, and are aimed at a very limited specialist market. In this respect they share some of the characteristics of microform publications (see Appendix A(i)). It is proposed therefore that the obligation of legal deposit, on the terms described in this paragraph, should be operative only after the twelfth sale of such an item in the UK.

6. Beyond this minimum requirement, the Working Party has not been able to reach a unanimous conclusion about the most desirable form of the distributed national published archive. In the opinion of the publishers' representatives on the Working Party, an effective national published archive of these information media can be created by deposit in a single location, with access restricted to a single user in that location at any one time. They consider that deposit in multiple copies, or networked access at more than one location, would be unacceptably burdensome, could allow control of the data to be lost, and in some cases would endanger the commercial viability of a publication.

7. In the view of the repositories, it is important that items should be generally available for consultation in the context of the historical research collections in each of the legal deposit libraries that together form the distributed national archive of printed publications. They agree that, regardless of the electronic medium of publication or deposit, access within each of these libraries should be restricted to one single user at any one time. Any wider access should be allowed only with the agreement of the relevant rights holders on licensing, which might include the payment of a royalty to rights holders. But with these restrictions, they believe that "hand-held" electronic publications, such as CD-ROMS, once they have achieved a sale of more than fifty in the UK, should either be deposited in up to six copies if claimed by the libraries, or deposited in a single copy in one legal deposit library with access over a network provided to a single workstation in other legal deposit libraries, and a designated node in Northern Ireland.

8. It is desirable for some forms of on-line publications, in particular monographs and journals, to be included in deposit arrangements and preserved in an appropriate repository, with categories of exemption and restrictions on access such as are necessary to safeguard the viability of publication and avoid compromising the rights of rights holders. However there are problems of definition and complex technical and commercial issues relating to other forms of on-line publication such as databases and internet publications other than journals and electronic books/monographs and it is recommended that these should be excluded initially and left for further consideration in future. Primary legislation should be framed in terms which are broad enough for on-line publications to be within the scope of the system, but which allow the inclusion of some types of publication and exclusion of others to be defined and to be modified over time.

9. It is essential that if networked access is permitted for any form of information, publishers and other rights holders can have confidence in the security and monitoring of any such network among the legal deposit libraries. They must be satisfied that adequate monitoring procedures have been put in place to safeguard their concerns about the risk of unrestricted access to deposited publications and their unauthorised duplication and use. It may be possible to restrict access to a single user at any one time across the whole network, which would help further to address the concerns of rights holders about unrestricted access to deposited publications. A standard set of terms and conditions governing the use of networked material and services by users should be drawn up by the repositories in collaboration with publishers. The repositories should undertake to indemnify publishers for any breach of the terms and conditions by users which results in a publisher incurring a legal liability.

10. Whatever arrangements are agreed for the deposit of non-print media, they must include provision for copying for the purposes of preserving information and allowing continued access to that information in the event of the obsolescence of the original hardware and software platforms and data formats.

Appendix C

Television Broadcasting

1. In the opinion of the BFI, the national published archive should as a matter of principle include broadcast material. In its view, there is no logic in the exclusion of television production from a legal deposit system; its omission both contradicts the aim of comprehensiveness and threatens a huge and anomalous gap in the maintenance of an audio-visual national archive. Some might argue that television output has become the most vital and important part of our moving image heritage in terms of contemporary culture and historical record-keeping.

2. Television is not, in any case, an alien or separate medium; it is simply another means of publishing moving images - be they films, documentaries, dramas, serials, soap operas, game shows or news stories - most of which have been produced, quite conventionally, on film or videotape. Even "live" television is, for the most part, recorded so that it exists as an audio-visual artefact. All this, it can be argued, is as much part of our national heritage as any theatrical film or home video.

3. The Working Party regarded its terms of reference as restricted to the extension of legal deposit as at present enshrined in the Copyright Act. Statutory provision for the archival acquisition of some television by off-air recording is made by the 1990 Broadcasting Act. However, the BFI, while welcoming this, regards it as inadequate: television production itself in all its forms - including those areas currently not covered by the Broadcasting Act, such as the BBC and cable and satellite channels - should, it believes, be part of a comprehensive legal deposit system.

Appendix D

Formats for the Acquisition and Maintenance of Electronic Publications

1. Electronic publications are produced in a variety of formats for structuring and encoding their content. The format used for an electronic publication defines the type of software necessary for accessing the information content and its transferability to other formats. The issue of format is not highly relevant for off-line products such as CD-ROM, unless one wishes to convert their content to a standard format. For on-line networked publications, the issue of format is essential, since it defines transferability, typographical quality, and usability of the publications.

2. The most commonly used types of formats include the following:


This is the most basic, standardised coding of information which does not allow for typographic elements (e.g. bold, italics) or the inclusion of non-text elements (e.g. images or sound). Access to a document in ASCII-format does not require specific software such as a word processor. Although many 'non-official' documents are available on the Internet in ASCII-format, it is not of value for publications containing a normal level of typographical sophistication, nor for interactive, multimedia publications. However, some other formats (e.g. structured documents) encode textual elements in ASCII-format, although they need special software (editors and 'viewers') to access and present their content in the way intended by the author.

b) Database formats.

Database publications contain information entities called records, each of which has a similar basic structure. Although each database system has its own proprietary record structure, exchange formats do exist which facilitate the standardised exchange (and therefore deposit) of database records.

c) Word processor formats.

Many documents are produced by means of a word processor and are publicly distributed through networks in their 'native' word processor format. Such documents require either the native word processor software in order to access them, or software which can convert the native format to another (word processor) format. Most popular word processors are nowadays capable of converting documents in other formats, although the end-result is often not typographically identical to the original. As with ASCII, word processor formats (increasingly standardised on Microsoft Word for exchange purposes) are often used for 'non-official' publishing, but not as the preferred format for serious 'official' publishing.

d) Print formats.

Print formats have been developed in order to allow files containing electronic documents to be printed in identical form on a wide range of printers. The most common standard is nowadays PostScript. The basic idea is to be able to distribute documents in electronic form which are subsequently printed for user access. However, PostScript viewers exist which allow a document to be read on the computer screen instead of being printed. Print formats provide a certain level of integrity protection because the documents cannot easily be manipulated or converted into a processable form. PostScript is one of the currently preferred formats for distributing documents over the Internet.

e) Portable document formats.

The general problem that confronts anyone wishing to make typographically sophisticated documents available in a distributed, networked environment, is how to ensure that a recipient of the document can view it exactly as intended by the supplier, irrespective of that user's hardware and software configuration. This problem is addressed by a number of software products based on the concept of 'portable documents', i.e. documents which can be used in a wide variety of environments. This is achieved by special formatting software and by providing a viewer adapted to the user's specific environment. A number of such products now exist of which the current de facto standard is Adobe Acrobat.

f) Image, sound and video formats.

Traditional formats for text document exchange have been based on character coding. This is, of course, not adequate for other data types such as images, sound and video. Special data formats have been developed for these types of data. These data formats generally include some kind of data compression in order to reduce the volume of data. In order to access the information, special software is needed to decompress the data and reproduce the sound or images. Such software can consist of dedicated programs (e.g. viewers for images, video display programs for moving images), or of software embedded in other applications such as word processors or navigation tools (network browsers).

g) Structured document formats.

While traditional document formats concentrate on character and typography encoding, publishers have felt a need for encoding the structure of a document as well. This makes it possible for software to identify structural elements (e.g. chapters and paragraphs, chapter titles, footnotes, captions, references etc.). A further development is based on the concept of hypertext, which allows disparate elements (e.g. text elements, images, sound) to be linked together to form a composite document, and which allows the user to define which elements are presented and in which order. The current standard for structured documents is SGML (Standard Generalised Mark-Up Language). The de facto standard for structured hypertext is HTML (Hyper Text Mark-up Language), which is based on SGML. HTML is used primarily for structuring information within the World Wide Web on the Internet. SGML and HTML documents are in practice multiple data type formats, since they include or provide links to data in other formats (e.g. images or sound) and even links to or embedded software (i.e. the document contains software which will be run when the reader reaches a certain point in the document).

h) New formats.

Formats will continue to evolve, and new formats will be developed to replace existing de facto standards. An example is the development of XML (Extensible Markup Language), designed to overcome weaknesses of existing HTML.

i) List of formats for deposit.

Because of the multiplicity of formats used in the creation and publication of documents and the evolution of these, it will be necessary for depositories participating in the national published archive to make arrangements to keep abreast of the changes in technology used by the content providers, and to issue and update regularly a list of those formats in which they are able to accept and process material to be deposited with them.


The above is based on extracts from "Appendix 1. Overview and definitions of electronic publications" in "Deposit collections of electronic publications" by J.S. Mackenzie Owen and J. v.d. Walle, published by European Commission, DG XIIIE/4, 1996.

Appendix E

Current Arrangements for Legal Deposit of Printed Publications Following the Review of Legal Deposit in the British Library (the Smethurst Review)*

1. The recommendations of the Smethurst Review complemented the statement in the Department for Culture, Media and Sport's (DCMS) Consultation Paper on Legal Deposit of Publications** that the Government is looking to the six legal deposit libraries to expand their cooperation and their work on selectivity of deposit and retention of printed publications.

2. The directions of the Smethurst Review are being taken forward by an implementation programme, which is due to conclude formally at the beginning of 1999 by which time the programme's work will have been built into the British Library's operational structure, and by the Standing Committee on Legal Deposit (SCOLD) which is representative of all the legal deposit libraries.

3. The Smethurst Review emphasised three directions. First, the need to create a more collaborative concept of a National Published Archive among the legal deposit libraries and working with other institutions where appropriate. Second, the necessity to cooperate further in managing proliferating areas of publication: of which 'massmarket leisure journals', newspapers and 'local publications' were among the most urgent. Third, the requirement for a cooperative National Published Archive to further encourage bibliographic databases and national bibliography which make visible the coverage and location of national collections and the existence of new publications.

4. The six libraries have agreed that a more collaborative National Published Archive is now required within which responsibilities will be coordinated particularly for the acquisition and retention across the deposit network of different ranges of publications. These arrangements will be codified by memoranda of understanding concerning coverage of types of publication and service agreements relating to, for example, responsibilities for preservation and access. The national and regional interests of the National Libraries of Scotland and Wales and of Trinity College Dublin will be recognised fully in the cooperation among the libraries and in shared coverage of categories of publication.

5. Systems are now being put in place within the British Library's Legal Deposit Office and the Copyright Libraries Agency to fulfil the policy of increased cooperation and shared coverage. The most urgent category of publication recommended by the Smethurst Review for cooperative management by the libraries, that of 'mass-market leisure journals', is the first major area of implementation. A shared scheme of responsibility for these journals will be the proving grounds for developing systems among the libraries which can then encompass other forms of publishing. (Coverage of newspapers and the publications issued, e.g., by local institutions and by local government bodies is also being pursued with the national NEWSPLAN programme and with public library authorities.)

6. About 100 subject subdivisions of leisure journal titles are being reviewed by the six libraries with, from an agreed date, one library taking lead responsibility for acquiring and preserving new titles within a specified subject category. The selectivity being proposed for the inception of this programme is that the British Library should take responsibility for about 50% of the subject subdivisions and the other legal deposit libraries should be responsible for about 10% each.

7. The journals under consideration currently represent only the most visible tier of 'leisure' titles: namely, many of the titles which would be found in, say, W. H. Smith and John Menzies outlets and typically cover subjects such as Arts and crafts, Gardening, Motoring, Sport, Tourism and travel, etc. Many of the new titles in the subject categories being reviewed first are published by members of the Periodical Publishers Association.

8 The methodology derived for this first tier should be capable of extension to wider circles of printed publications. As well as new titles the system may also span current titles in the agreed subject categories of periodicals in due course. (Further circles of serial titles, for example, can be found within the corpus of other hobbies/interest journals, directories, newsletters, reviews, etc. which may be intended for practitioners and specific interest or occupation groups rather than general-interest users.)

9. The detailed scheme being constructed for the shared coverage of leisure journal titles will include coordinated notification and decision on new titles as well as review of current title coverage; a mechanism for allocation and arbitration; and production of management information on costs, space implications in the libraries, and on the pattern and numbers of subject and title coverage across the libraries, as the policy and practice progress.

10. The libraries' management of the intake of British printed publications envisages three levels of coordination to facilitate processes:

(i) there will be closely linked systems and procedures, and the provision of appropriate management information, between the British Library's Legal Deposit Office and the Copyright Libraries Agency;

(ii) the Standing Committee on Legal Deposit (SCOLD) will continue to oversee cooperative policies and responsibilities for coverage within and among the six libraries. SCOLD's review will also cover many forms of printed publications not produced by the mainstream publishing industry;

(iii) there will be a standing committee to include representatives of publishers and repositories [see para. 2.5.(7) of the Report] to keep general policies and complex issues under review and to compile policy guidelines: though not to adjudicate in detail on individual cases. This committee would be especially important for questions concerning non-print publications but would also recommend on areas of printed publications which occasion difficulty or lack of clarity. For example:

-claims for exemption: including material which may be published in very small print runs (private press publications have been a long term example of this category) and those publications with a very high unit price;

-deposit and embargoing of, e.g., market research reports and other material of a sensitive commercial or research nature;

-deposit of reprints, unaltered editions, duplicate editions;

-guidelines on deposit of a title in its electronic or printed version, if both are available;

-material imported and distributed in small quantities;

-conditions of disposal of printed materials;

-conditions of digitisation of existing printed materials.

11. It would in principle be possible for newly acquired printed material to be digitised and then networked among the legal deposit libraries, thus rendering the deposit of more than a single physical copy superfluous. It is unlikely, however, that the extra investment and increased costs which this would entail for the libraries would be adequately recompensed by the reduced burden on publishers. Moreover, publishers themselves have hitherto shown a preference for the deposit of a limited number of physical items over the security risks attendant upon networking.

*British Library. A review of the policy and arrangements for the legal deposit of printed material in the British Library. London: BL, 1997. [a review conducted by J. M. Smethurst. CBE: formerly British Library Director General]

**Department for Culture, Media and Sport. Legal deposit of publications: a

consultation paper. London: DCMS, 1997

Appendix F

Northern Ireland and British-Irish Reciprocity

1. The Government consultation paper Legal Deposit of Publications focused mainly on the deposit of non-print publications. However, in the context of there not being a legal deposit library in that part of the United Kingdom, it also posed a series of questions relating to the use of legal deposit material in Northern Ireland. The questions were addressed in particular to respondents of Northern Ireland but others were encouraged to comment.

2. The summary of responses to the consultation paper indicates that there was almost no support from Britain for a new deposit library in Northern Ireland, and the Secretary of State, in his House of Commons written answer, stated that the Government was not convinced that there is a sufficient case for creating one. He did however, ask the Working Party to include in relation to the deposit of non-print material "an examination of the scope for improved access in Northern Ireland to deposited material through IT networking." A representative from Northern Ireland was invited to join the Working Party.

3. In the event that limited networking of deposited electronic material is permitted, in accordance with the terms of the repositories' proposals in section 7 of Appendix B, the repositories believe that one node of the closed network should be located in Northern Ireland, operating under the same restrictions on access as elsewhere. The Department of Education in Northern Ireland would, in consultation with others, decide where this node should be located. While it would be some years before the benefits of such access would lessen significantly the disadvantage at which people based in Northern Ireland find themselves, it would nevertheless be recognised as a development of enormous potential.

4. Although outside its specific remit the working group recommends that steps be taken to ensure that the resources of Trinity College Library, Dublin, the only legal deposit library in the island of Ireland, are made as available as is practicable to all the residents of the island.

5. The Working Party acknowledges the value of the reciprocal obligations on Irish publishers which arise from Trinity's status as a legal deposit library for UK publications. It has been made aware that new Irish legislation makes provision for any extension of UK arrangements beyond those currently in place for print publications to be reciprocated from the Republic of Ireland.

Appendix G

Compliance Costs

1. The British Library's Report to the Department of National Heritage of January 1996 contained a detailed analysis of the additional costs which the Library expected to incur as a result of the receipt, on legal deposit, of microforms and CD-ROMs. The Library believes that the estimates then made continue to be a reliable indication of the likely costs to repositories of the introduction of a statutory system.

2. The consultation paper issued by the Department of National Heritage in February 1997 contains, on pp.45-61, a detailed Compliance Cost assessment, undertaken by Deloitte and Touche. It should be noted that publishers were critical of the assessment, believing that the questionnaire on which it was based was drawn up after insufficient consultation, that insufficient time was given for response, and that there was a fundamental methodological flaw in that the loss of sales revenue was not taken into account. The proposals in the present report have been designed, in part, to take account of publishers' reasonable concerns about revenue loss; but it will be for the Secretary of State to decide whether a further Compliance Cost Assessment needs to be undertaken in order to meet the criticisms which have been made of the 1997 exercise.

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