ADAPTING PRESERVATION POLlCY IN ARCHIVES

TO THE DIGITAL AGE

JOHN A. GRACE

A thesis submitted to the Department of Art Conservation

in conformity with the requirements for

the degree of Master of Art Conservation

Queen's University

Kingston, Ontario, Canada

September ,2000

copyright O John A. Grace, 2000 National Library Bibliothèque nationale ($1 of Canada du Canada Acquisitions and Acquisitions et Bibliographie Services services bibliographiques 395 Wellington Street 395. rue Wellington Ottawa ON K1A ON4 Ottawa ON KIA ON4 Canada Canada Your fi& Votre referenccr

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The author has granted a non- L'auteur a accordé une licence non exclusive licence allowing the exclusive permettant a la National Library of Canada to Bibliothèque nationale du Canada de reproduce, loan, distribute or seIl reproduire, prêter, distribuer ou copies of this thesis in microform, vendre des copies de cette thèse sous paper or electronic formats. la forme de microfiche/fdm, de reproduction sur papier ou sur format électronique.

The author retains ownership of the L'auteur conserve la propriété du copyright in ths thesis. Neither the droit d'auteur qui protège cette thèse. thesis nor substantial extracts f?om it Ni la thèse ni des extraits substantiels may be printed or otherwise de celle-ci ne doivent être imprimés reproduced without the author's ou autrement reproduits sans son permission. autorisation. ABSTRACT

Conventional preservation policy in cultural heritage institutions guides the management of collections in familiar media (e.g., paper, books, photographs, paintings, analog audio-video recordings) and assumes access to them by traditional means (e.g., print publications, films, exhibitions, on-site reference). The increasing use of digital technology for creating and communicating information in business, govemment and private life since the iate 1980's is evident as significant collections of archivai, library and museum objects in digital media enter public and private heritage institutions. Objects in these new media have substantially different preservation requirements and conventional policy no longer describes the environment necessary to permit irnmediate and continued access to important digital data. Renewing institutional preservation policy is imperative if cultural heritage in fragile digital media is to survive for future generations.

The purpose of this thesis is to present the wide cultural, technological and policy context for digital preservation in Canadian institutions with heritage collections and to assist managers and policy-makers in their elaboration of preservation policy for digital media within this context. Arguments pertain to archives and libraries at the national level, however it is anticipated that other heritage institutions (i.e., museums) at various levels (e.g., provincial, municipal, private) will also be able to relate the issues discussed to their particular environment.

Subjects covered include the development of cultural policy in Canada (1929-2000), an overview of digital technology in relation to heritage collections, an examination of preservation policy in the pre-digital age, a discussion of how precedents and principles for preservation

policy are changing to adapt to the digital age, and a review of existing digital preservation

policies from selected national archives and a national Iibrary. Findings point to the dominance

of technology as a policy deteminant, to agreement on the technological solutions proposed for

digital preservation, and to the observation that traditional preservation principles and theories

do not fully support the actions necessary to ensure the long-tenn survival of digital information. ACKNOWLEDGEMENTS

I would like to acknowledge:

Thea Burns, Associate Professor of Art Conservation, Queen's University for her

support, direction and encouragement as my thesis advisor,

the faculty and staff of the Art Conservation Program, the Department of Art, the School

of Policy Studies, the Registrar, and the School of Graduate Studies and Research at

Queen's University (Kingston) and the School of Canadian Studies at Carleton

University (Ottawa) for facilitating this multi-disciplinary program of study and research;

Lilly KoItun (National Archives of Canada), Brian Thurgood (National Archives of

Canada), and Gerry Grace (National Arts Centre) for reviewing and providing their

comments and insight on drafts of various chapters of this thesis, and Rebecca Grace

for final proofreading;

Simon Davis (National Archives of Australia), Mark Juddery (ScreenSound Australia),

Elizabeth Honer and Richard Blake (U.K. Public Record Office), Michael Carlson and

Maida Loecher (U.S. National Archives and Records Administration), Colin Web

(National Library of Australia), and Bruce Walton (National Archives of Canada) for

providing me with information and documentation;

@ Lilly Koltun, Betty Kidd and Jacques Grirnard (National Archives of Canada) for their

encouragement to undertake this project;

the National Archives of Canada for supporting me in this work;

and my family, Chantal Gauthier and Maxime Gauthier-Grace, for their patience and

tolerance.

Pniited on paper which rneets the ~quirementsof ISO 9706:1994, lnfonation and Documentation - Paper for Documents - Requirements for Permanence

iii TABLE OF CONTENTS

Abstract ...... ii ... Acknowledgements ...... III

TableofCoritents ...... iv

ListofFigures ...... vi

Chapter

1. INTRODUCTION ...... 1

1.1 Digital Preservation ...... 1 1.2 Preservation Policy ...... 2 1.3 Objective of Thesis ...... 2 1.4 Literature Review ...... 3 1.5 Organization of Thesis ...... 5 1.6 Works Cited in Chapter 1 ...... 6

2 . THE EVOLUTlON OF CULTURAL POLlCY IN CANADA AND IN HERtTAGE INSTITUTIONS ...... 7

2.1 Issues in Cultural Policy Developrnent. 1929-2000 ...... 7 2.2 Cultural Policy and Heritage Institutions ...... 19 2.3 Summary ...... 26 2.4 Works Cited in Chapter 2 ...... 27

3 . DIGITAL PRESERVATION TECHNOLOGY: A FOUNDATION OF BITS AND BVES ...... 30

3.1 Born Digital ...... 33 3.2 Turning Digital ...... 42 3.3 Staying Digital ...... 48 3.4 Summary: Always Digital? ...... 56 3.5 Works Cited in Chapter 3 ...... 58

4 . TOWARDS A POLICY MODEL: PRECEDENTS AND PRINCIPLES ...... 62

4.1 Preservation Policy in the Pre-Digital Age ...... 63 4.2 Pnnciples for e-Preservation Policy ...... 68 4.3 Summary ...... 80 4.4 Works Cited in Chapter 4 ...... 82 5. A MODEL FOR DIGITAL PRESERVATION POLlCY ...... 84

5.1 Cultural Environment ...... 87 5.2 Technological Environment ...... 92 5.3 Policy Environment ...... 102 5.4 Summary ...... 103 5.5 Works Cited in Chapter 5 ...... 105

6. CONCLUSION ...... 107

Appendix A Glossary of Digital Format and Media Acronyms Cited in Text ...... 110

Appendix B Generic Outline for a Traditional Preservation Policy . Description of Headings ...... 111

Vita ...... LIST OF FIGURES

Figure 1. Generic Outline for a Traditional Preservation Policy ...... 66

Figure 2. Generic Outline for a Preservation Policy to Include Digital Holdings ...... 77 CHAPTER 1

INTRODUCTlON

1.1 Digital Preservation

Cultural heritage institutions in the digital age must acknowledge the requirements of information and artistic objects in new digital media in preservation policy if they are to continue to fulfill their mandates as guardians of the record of civiiization. The urgency associated with preserving digital media objects, the action of "digital preservation", was brought to the forefront in

1996 by the release of the influential joint report of the US. Commission on Preservation and

Access and the Research Libraries Group entitted Preserving Digital Information - Report of the

Task Force on Archiving Digital Information (Task Force on Archiving of Digital Information 1996).

Research began on this report in 1994 with a program that was broad and wide-ranging. The authors, representing archives and libraries from the public and academic sectors as well as private sector technology interests, were asked to: frame key problems for continued access to digital collections; define critical issues which inhibit solutions; recommend actions to eliminate barriers to solutions; consider other technological answers to digital preservation; and to make any other recommendations deemed appropriate. This report is largely responsible for framing the issue of digital preservation in heritage institutions and for setting a direction for practice and research on this subject which is still followed today.

This and nurnerous other reports, studies and presentations cited in the chapters which follow have collectively defined digital preservation as a simple concept the preservation of 2 access to information in digital form. Contained in this brief definition are rnany complex issues for conservators, archivists, librarians, curators, computer scientists, and managers to deal with.

Digital preservation tries to answer difficult questions such as: how is prese~inga digital object different than preserving an analog object?; how does preservation depend on access?; what are the essential attributes of a digital object that should be ~reserved?:and how do you manage preservation of the enormous volume of digital objects created by everyday personal and business transactions? The list of questions and challenges does not end there: the professions of archival and library science, for example, have equally complex and nurnerous related issues confronting their established tradition, practice and ethics. Digital preservation represents a significant new paradigm for heritage collections management.

1.2 Preservation Policy

Cultural heritage institutions develop policy to provide coherent, transparent and consistent guidance for their actions. The problems posed by digital preservation demand policy guidance for the application of new techniques, procedures and approaches to effectively manage collections in these new media. The development of digital preservation policy is in itself a significant challenge to institutions today when technology and how it is employed is changing so rapidly. Therefore, the study of policy to guide digital preservation action in cultural heritage institutions is a subject of significant and timely importance.

1.3 Objective of Thesis

The objective of thîs thesis is to assist preservation managers and policy-makers in cultural heritage institutions in the elaboration of digital preservation policy. This purpose is opportune as digital materials flood into archives and libraries world-wide and since only large and leading institutions have yet set down in policy their approach to the preservation of these fragile objects. This thesis will contribute to scholarship on the subject of digital preservation in two principle ways: it will relate technical and theoretical issues from the literature to the practice of policy developrnent in heritage institutions; and it will examine traditional principles of preservation practice to explore the limits of their applicability to digital objects. These contributions represent approaches to the subject which are not specifically dealt with in the Iiterature and which have value as practical applications of theory to real problems found in heritage institutions.

1.4 Literature Review

Literature consulted for this thesis is multidisciplinary and is drawn from archivai and library science periodicals and monographs, Canadian and foreign government reports, the publications of national and international organizations or consortia working on projects in digital preservation, and frorn publications on the subjects of preservation, policy science, technology, and culture. Primary sources consulted include formal and draft preservation policy documents from six national heritage institutions and personal correspondence with officiais in some of these organizations. Other references include on-line survey data, media press releases, and newspaper articles. As the subject of this literature is digital information, much of the literature cited is freely distributed on-the in digital format (URLs are included in the list of works cited at the end of each chapter). Every effort is made to cite reputable on-line sources, such as those associated with govemment institutions, bona-fide research institutions, and authors frequently cited throughout the Iiterature. On-line survey data are perhaps the most suspect sources referred to here, but in the lnternet environment where change is constant and rapid, an on-line source has the potential to be the most current and up-todate. A11 URL web addresses cited in this work were verified active as of 10 August, 2000.

The literature on digital preservation is a fast growing corpus. The subject touches many disciplines and literature on aspects of digital collections and their preservation now appear regularly in established academic joumals, primarily in the fields of archival and library science.

The archival literature focuses on issues of creation, authentication and intellectual control of electronic records. Preservation is included in these discussions as aspects of infiuencing the creation of digital records, maintaining authenticity of data over time and in the sense of preserving the information and functionality of records. Sources originating from the library community are principally concerned with issues around networked access, description of digital objects for resource discovery, metadata, and muki-media objects. Preservation concerns such as distributed responsibility for preservation of digital objects, preservation metadata, and the use of standards are included in the discussion of these topics. The most useful and interesting literature is the result of collaborative efforts from these and other communities illustrating the convergence of information management professions and coordinated efforts to address digital preservation problems. Preserving Digital Information is an example (see chapter 3 for other examples) of the genre of literature which finds archives, libraries, museums and information technology organizations working together on issues of common concern.

Literature from the preservation community is focused on the digital artefact with contributions on topics such as digital media tongevity, rates of deterioration, storage conditions and disaster recovery. The subject of digital preservation is still prirnarily the domain of the related professions mentioned above, with the traditional avenues for preservation scholarship slower in embracing this new discipline'.

The literature lacks examination of how digital preservation issues are addressed in the process of institutional policy-making. A number of recent publications describe the current status

' The 1997 Preservation of Digital Media workshop sponsored by the Canadian Association for Conservation and the Association of Canadian Archivists, the formation in 1998 of the Electronic Materials Group of the Amen'can Institute for Conservation (AIC), and the devotion of the General Session of the 2000 AIC Annual Meeting to the subject of the Impact of Electmnic Media on Collecting institutions are examples showing that digital preservation is becoming a subject of special interest within the rnainstream preservation comrnunity also. of digital presewation policy in heritage institutions and conclude that more work in this area is urgently needed (Hedstrom and Montgomery 1999; Russell 1999). This thesis is meant to contribute to filling this gap in scholarship.

1.5 Organization of Thesis

The subjects covered and the sequence they are presented in supports the position that priority should be given to the consideration of policy deteminants external to the institution.

Chapter 2 will review the general development of cultural policy in Canada from 1929 to the present with the intent of illustrating broad movements and trends at the national levei. This chapter will also attempt to point out where these inf uences or trends were reflected in heritage institutional policy. Chapter 3 examines the processes, systems, objects and trends of contemporary digital technoiogy as they relate to the collections and preservation activities of cultural heritage institutions. Explaining the types of digital objects entering institutions and the means to assure continued access to them will be the focus of this chapter. Chapter 4 will review the content and structure of preservation policy for archives and libraries in the pre-digital age

(prior to 1990) to provide background on the precedents and traditional principles for preservation policy development. Once the traditional model is established, the chapter will then discuss, with

reference to literature sources, where such a model is changing, or should change, to adapt to the digital age. Chapter 5 will then use the digital preservation policies of five national archives and one national library to suggest where consistent approaches to digital preservation are developing and where they are not. Chapter 6 will conclude by summanzing the arguments and findings. 1.6 Works Cited in Chapter 1

Hedstrom, Margaret, and Sheon Montgomery. 1999. Digital Preservation Needs and Requirements in RLG Member Institutions. Mountain View, CA: Research Libraries Group. Available from: http:/iwww.rlg.org

Russell, Kelly. 1999. Digital Preservation: Ensuring Access to Digital Materials lnto the Future. ieeas: Ïne Ceaars Project, University of Leeds. Available from: http:llwww.leeds.ac.uklcedarslChapter.h trn

Task Force on Archiving of Digital Information. 1996. Preserving Digital Information: Report of the Task Force on Archiving of Digital Information. Washington: The Commission on Preservation and Access and the Research Libraries Group. Available from: http:llwww. rlg .orglArchTFl CHAPTER 2

THE EVOLUTION OF CULTURAL POLICY IN CANADA AND IN HERITAGE INSTITUTIONS

This chapter will examine how cultural nationalism, cultural democracy, and intemationalism have contributed to the shaping of federal cultural policy in Canada in the 20m century and how they have been refected in the elaboration of policy in public institutions with heritage collections (museums, archives, libraries). These issues will be discussed as separate, layered, and interacting determinants in federal cultural policy and as parallel influences on policy in heritage institutions. It is suggested that internationalism and the technological forces which drive it are the dominant influences on cultural policy and the most significant challenges to policy development in heritage institutions today.

2.1 Issues in Cultural Policy DeveIoprnent, 1929 - 2000

The three issues chosen for discussion based upon the literature cited represent the major concems which have shaped cultural policy in Canada during this period. Authors have differed slightly in their grouping of these concerns and the headings used to summarize them, but there is enough consistency between approaches to support their arrangement into the three headings presented in this chapter. For exarnple, Zemans discussed the development of

Canadian cultural policy under the headings of national cultural identity, democratization of culture/cultural democracy, and demographics/technologylglobalization (1997). Meisel considered the same issues in greater detail and plotted thern on a grid which grouped them as spatial (intrinsic, extrinsic) or temporal (short terni, long term) influences (1988). Schafer and

Fortier traced the developrnent of cultural policy from 1944 to 1988 in a chronological fashion and divided their study into periods of time coinciding with major preoccupations with the issues of nationalism, cuItural democracy, and intemationalism and technology, as welt as with periods of prosperity and hard times (1989).

Other works reviewing the development of cultural policy in Canada include two ovewiews published by the Library of Parliament which are useful for their political analysis

(8rooke 1983; Lemieux 1993). The period from 1988 to the present is not yet reviewed in a single cornprehensive volume but there is an increasing number of journal articles, monographs, conference proceedings and government publications on recent cultural policy issues. For example, see Gasher (1997), Globerman (1994), Litt (1991; 1992), Dupuy (1995), Zemans

(1997), and Murray (1999), as well as the reports of arts organizations such as the Canadian

Conference of the Arts (1999), the Canada Council for the Arts (1995), and Heritage Canada

(1998). Cultural policy prior to'i929 can be reviewed (not done for this chapter) by researching the development of the earliest Canadian cultural institutions such as the Library of Parliament (1 867), the National Archives of Canada (1872), the National Gallery of Canada (1880), and the National

Museum (1842), as well as consulting royal commissions and government studies on cultural

issues. See section 2.4 for references which provide a starting point for a review of this eartier

period (Boggs 1971; Canada 1929; Canada 2000; Collins 1928; Lacasse and Lachasseur 1997;

Russell 196 1; Taylor 1986).

2.1.1 Cultural Nationalism (Anti-Arnericanisrn)

If nationalism is characterized by patriotic actions and feelings, then cultural nationalisrn is

the demonstration and expression of these ernotions through the arts. Cultural nationalisrn is

therefore the expression, in print, sound, images or performance, of the difference, uniqueness, and sometimes even the professed superiority, of a nation and its people. Zemans noted the purpose of promoting cultural nationalism to express a sense of nationhood and to defend against hegemonic American cultural influences: "Nationhood, national identity and cultural defence have, in fact, been at the heart of Canadian policies in support of cultural development as evidenced by the creation of Canada's major cultural institutions." (1997, 13).

Evidence for the birth of cultural nationalism in Canada may be found in the creation of domestic institutions celebrating the country's culture and heritage, but its conception is often linked to such diverse historic events as world wars and world's fairs. Such events give a nation the chance to show to the world its rnaturity and independence as a society. Litt described the beginnings of cultural nationalism as a result of Canada's emergence from the First World War as an independent nation with its own place on the world stage. This new-found political and economic independence exposed a lack of cultural independence. Litt wrote: "The country's growing international prominence further reinforced the urgency of cultural developrnent." (1992,

109). The govemment addressed this need by appointing the Royal Commission on Radio

Broadcasting. Also known as the Aird Commission, its mandate was to examine radio broadcasting in Canada and to make recommendations for its future administration, management, control and financing. Citing that "the majority of prograrns heard are from sources outside of

Canada", the commission's report of 1929 advised creating a federally-nin public radio broadcaster', the Canadian Radio Broadcasting Corporation, to provide Canadians with domestic programming (Canada 1929,6). Canadian broadcasting would provide listeners with local, educational, and non-commercial prograrnming intended to strengthen the development of culture and a national spirit in Canada. This commission set a precedent for future state appropriation of cultural industries which could be used for a 'national purpose' (Gasher 1997).

The period following the Second World War was another tirne of nationalist back-patting

' Recommendation (a) of the Aird Commission report called for the control and operation of radio broadcasting by 'one national companyn (Canada 1929, 12). and self-examination in Canada. A joint submission from several arts associations2to the House of Commons1Special Cornmittee on Reconstruction and Re-establishmenp in 1944, along with a march to Ottawa by supporters, called for a thorough examination of the role that should be played by the federal government in the support of a national culture. In 1949 the government responded to this request by establishing the Royal Commission on National Oeveloprnent in the

Arts, Letters and Sciences, also known as the Massey-Lévesque, or Massey Commission'

(Schafer and Fortier 1989).

The Massey Commission was the first comprehensive review of the state of the arts in

Canada and made recornmendations in four main areas: the creation of the Canada Council for the Arts; the cal1 for new national cultural institutions; the support for state-run broadcasting; and for increased governrnent funding of university prograrns in the social sciences and humanities

(Schafer and Fortier 1989). The focus of the Massey report was clearly on the promotion of cultural nationalism and cultural self-defence in the face of Arnerican cultural imperialism, particularly in the areas of film, broadcasting and publishing5. These areas of American 'mass culture' were, according to Litt, perceived and promoted by the Canadian cultural elite as 'low culture' (Le., made as entertainment and aimed at mass audiences) and as a particular threat to domestic Canadian 'high culture' (Le., from state-supported cultural institutions). The Massey

Schafer and Fortier listed the following arts organizations as participating in the submission of the joint brief: the Royal Canadian Academy of the Arts; the Canadian Perfoming Rights Society; the Société des sculpteurs du Canada; and the Union des Artistes (1989, 5-6).

Also known as the Turgeon Committee (after chairman J.G. Turgeon), the Special Committee on Reconstruction and Re-establishment was struck in 1942 to anticipate postwar economic and employment issues.

' Litt reported that commissioner Georges-Henri Lkvesque was accorded the status of co-chair of the commission out of respect for a tradition of linguistic duality in leadership but that he did not in fact perfom this role (1992)-

See, for example, recommendaüon (h) in Part 2. Chapter 18 which advised strict control over television broadcasting to ensure the availability of Canadian content and to restrict commercialism. In Chapter 3 of Part 1, the source of such commercialism (including adverüsing) in television programming is identified as American. 11

Commission was asked to recommend ways of preserving Canadian society from the "repressive force" of American commercialization (Litt 1992, 252).

By 1952 television was a signifiant component of the tidal wave of American mass media entering Canada. Considering this to be enough of a threat, the Canadian government struck the

Committee on Broadcasting (the Fowler Committee) in 1956 to review the state of national broadcasting and to detemine how best to retain sovereignty over this new broadcast medium.

Cultural nationalism and anti-Americanism were central concems of the Fowler commission and its recommendations were again aimed at preserving Canadian programming and promoting national identity through maintaining a unified, east-west oriented, national broadcasting system for both radio and tetevision. Gasher noted: "Fowler maintained the rhetoric of Aird and Massey-

Lévesque which portrayed the United States as a menace to Canadian culture" (1997, 22).

Policies of protectionism and cultural nationalism recommended for the broadcasting industries by the Aird and Massey commissions, for the encouragement and support of Canadian identity, persisted in subsequent federal policy documents. For example, the 1958, 1968 and

1991 Broadcasting Acts continued to restnct foreign ownership of the Canadian broadcasting system, to require significant amounts of Canadian content, and to promote national identity and unity through programming. Other events which sparked subsequent waves of cultural nationalism, and sporadic federal funding in the arts, include Canada's centennial celebrations,

Expo 67, the Olympic Games in 1976 and 1988, and the celebration of the new millennium.

International trade negotiations and Canadian constitutional debates are the issues which most often bring up nationalist sentiment in the cultural debate today. Cultural nationalism has become a less strident and obvious, but still significant, force in federal policy making.

2.1.2 Cultural Democracy

"If, in the first half century of Canadian cultural policy, nationalisrn dominated the relationship of culture and the state, the 1970's saw the shaping of a strategy which emphasized the creation [of] 'cultural democracy' - a strategy first articulated for the future of Canadian cultural policy by Gérard Pelletier in 1968" (Zemans 1997, 15-16). Zemans credited the new Secretary of

State in the Trudeau government, Gérard Pelletier, with prornoting a shift in Canadian cultural policy from one which supported the establishment of elite temples of high culture in the narne of cultural nationalism to one which promoted engaging 'the masses' in cultural expression, in improving access to culture for citizens in al1 parts of the country and for groups to which it had previously been denied6. The trend towards greater cultural democracy in Canada since the late

1960's is characterized by increased federal-provincial cooperation in culture, more frequent participation of the private business sector in cultural activities, a new emphasis on individual artists and arts organizations, the growth of the cultural industries (publishing, broadcasting, cinema), and the arm's-length relationship with government for certain federal cultural agencies

(e.g., the Canada Council for the Arts, the National Arts Centre, and the National Film Board)

(Zemans 1997). These initiatives allowed the federal government to step back from its earlier top- down approach of supporting culture by direct sponsorship and regulation and helped to erode the elitist model of control of culture in Canada.

Other proposals indicative of democratic principles which were intended to bring transparency and accountability to the public cultural policy process included: the suggestion of creating a unified cultural policy in Canada; the creation of a single ministry in the federal government with responsibility for the administration of federal projects in al1 areas of culture and heritage; and the decentralization of federal services and activities in the arts. The creation of various youth employrnent programs which funded arts and culture-related projects (such as the

Opportunities for Youth program in 1970), and the involvement of Canada in international efforts

Schafer and Fortier suggested that the beginning of Me democratization of cultural policy can be traced back to the Massey Commission in its recommendations for support of private individuais and in the support of culture by provincial and local levels of government (Schafer and Fortier 1989). 13 promoting cultural developrnent (such as the 1970 conference on cultural policy sponsored by

UNESCO, the United Nations Educational, Scientific, and Cultural Organization) were other govemment initiatives during this period which contributed to greater public interest in the arts and a prosperous time for culture and heritage in Canada (Schafer and Fortier 1989).

The cultural bubbte burçt with the federal govemment's realization that its spending and the national debt were out of control. Schafer and Fortier noted that federal budget cuts in the arts had begun by 1977 and that by 1980 cultural groups becarne sufficiently alarmed by the situation to lobby government for another review of cultural policy and a re-examination of the role of govemment in support of arts and culture (1989). The spectre of cultural nationalism was revived again: "lt was not until these warnings were couched in the terrninology of Canadian national unity and cultural sovereignty that politicians began to take heed." (Brooke 1983, 3). In

1980 the federal government responded to this pressure by establishing the Federal Cultural

Policy Review Cornmittee, also know as the Applebaurn-Hébert committee.

Support for cultural democratic principles and the decentralization of governrnent activity characterized the 1982 Applebaum-Hébert report. Its pnnciple themes were: the continuation of arm's-length relations between politicians and cultural institutions; increased funding for the arts and heritage; fostering increased participation by under-represented groups (women, visible minorities, First Nations); and concerns for the impact of technology on culture and the cultural industries (Brooke 1983).

Endorsing the am's-length principle maintained a distance between cultural agencies and political influence. Agencies such as the Canada Council for the Arts, attempting to be more responsive and accountable to their clients, turned to citizens (artists and creators) for influence and direction. An exarnple of this activity is the peer-review process employed by the Canada

Council for the Arts for the award of grants to creators. The participation of citizens in the delivery

of govemment programs is a goal of cultural democracy.

lncreased funding for the arts has been a constant cry from the arts community. From Massey Commission recomrnendations for new national institutions7to the Applebaum-Hebert report's cal for increased support for the artist and the arts cornmunitys, the demand for additional funds in support of art and culture has consistently been in the forefront of the debate. Arts groups, like other lobbies, have learned to argue From positions that capture the agenda of politicians (cultural nationalism), the attention of the media (loss of cultural treasures to foreign hands) and the acceptance of economists. Criticism of federal funding for arts and culture has raised awareness that sound economic arguments are necessary before governrnent and other critics will take the arts community seriously (Globerrnan 1987; Globeman 1994).

Engaging the participation of under-represented groups was a further atternpt to increase the audience for Canadian cultural production and activity. If cultural policy results in capturing a larger cohort of society in cultural activity, it has fulfilled important dernocratic pnnciples of representation, responsibility and legitirnacy. The mass media of the cultural industries were vehicles used to reach these groups.

The impact of technology on culture and, more specifically, on the cultural industries of broadcasting, publishing and cinema, was also addressed by Applebaum-Hébert. Gasher noted that the review "shifted the state's cultural role away from that of proprietor and regulator, which challenged private enterprise and market governance, toward the more cornfortable roles of custodian, patron, and especially, catalyst" (1997, 26). In the area of broadcasting, it has been argued that this shift has been too slow and too timid (Goldfarb 1997), suggesting that the cultural sector feels the impact of technological change immediately and strongly.

' The Massey Commission recommended a new National Historical Museum (recommendation (h), p. 323), a National Museum of Science (recommendation (m), p. 324), a National Botanical and Zoological Gardens (recommendation (n), p. 326), a National Library (recornrnendation (h), p. 331), and a Canada Council for the Encouragement of the Arts, Letters, Humanities and Social Sciences (recommendation (a), p. 377).

Recornmendations of the Applebaum-Hebert report lobbied for increased support of individuals and organizations in al1 disciplines of the arts including, among others, visual arts (recommendations # 34, 36), the perforrning arts (# 39, 40, 41,42), wnting and publishing (#44, 45, 46, 48,49,50, 52, 53), broadcasting, (#68,75,86), and in areas of heritage (#21, 23,25). i5

Cultural democratic ideals are still strong determinants of cultural policy today. The federal govemment continues to involve citizens in debate on cultural policy by providing occasions for formal public consultationgand by continuing to fund arts interest groupslO.

It is said that globalization threatens democratic principles as it places authority for decision-making (e.g., traditionally economic, but increasingly societal and cultural) in the hands of non-democratic institutions (transnational corporations, multi-national organizations, Vade tribunals) (Reich 1992). Trends which move responsibility for policy decisions in the cultural sector away from national or other domestic bodies to global organizations, such as UNESCO or the World Trade Organization (WTO) are closely watched and fiercely resisted by arts advocacy groups" and illustrate the increasing complexity of cultural policy issues in the contemporary global econorny.

2.1.3 lnternationalism

lnternationalism and the influence of technology are now the most critical issues affecting the development of cultural policy. The abundance of government and academic studies into the

For example, the recent report from the House of Commons Standing Cornmittee on Culture, A Sense of Place, A Sense of Being (4999)included emensive public heanngs.

'O The Canada Council for the Arts continues to emphasise funding to arts service groups. Their 1995 strategic plan A Design for the Future stated that "The Council will ensure that those service organizations which produce, distribute or provide opportunities for the creation of works of art, are supported appropnately, either through project or operating gants." (1995).

'' In their December 21, 1999 press release Trade Deals Still Threaten Culture after the Battle in Seattle, the Canadian Conference of the Arts (CCA) pledged to continue to monitor developments in international trade organizations as they relate to the protection of Canadian culture. They stated: The CCA, with the help of its international advisory cornmittee, will continue to encourage Canadian negotiators to protect cultural policy options within international trade agreements wherever these are challenged." Available at: http://www.culturenet.ucalgary.ca/cca/dec21.htm. effects of globalization and the technological revolution on culture attest to this12. This is not to say that cultural nationalism and cultural democracy are no longer preoccupations of policy- makers - they continue to infiuence cultural debate at strategic moments - but they are now largely overshadowed by global pressures and the rapid evolution of communications and information technologies (Canada 1999b;Canadian Conference of the Arts 1999). The challenge in coping with the complexity of cultural issues is underlined in the most recent govemrnent-sponsored review of culture in Canada by the House of Commons Standing Committee on Canadian

Heritage, A Sense of Place - A Sense of Being:

This is evidenced by the sheer number of governrnent reviews of culture and cultural policies that have been undertaken in the past half-century. Over time, the issues have become more complex. Trade issues in relation to cultural policy measures are only one example of this trend. Witnesses apprised the Cornmittee of the rnyriad factors at play in the cultural sector, both in Canada and in Our relations with other countries." (Canada 1999a, 1:4)

lnternational movernents to integrate economies and political systerns, as managed by multi-national corporations and multilateral organizations on a global scale, are also refiected in the world of culture. lnternational cultural organizations such as UNESCO (1945), the lnternational Council of Museurns (ICOM, 1946) and the lnternational Centre for the Study of the

Preservation and Restoration of Cultural Property (ICCROM, 1956) mirror (albeit on a more modest scale) other sectors in their mandate to coordinate and promote global cultural initiatives.

Through active membership in these organizations Canada has demonstrated its desire to participate in the development and encouragement of culture at a global level. The desire to participate in international cultural activities has encouraged the evolution from inward-looking efforts to create or foster a national culture, the preoccupation of the Aird and Massey periods, to

'' Govemment reports include: A Sense of Place - A Sense of Being from the House of Commons Standing Committee on Heritage, 1999; New Strategies for Culture and Trade - Canadian Culture in a Global World fram the Cultural Industries Sectoral Advisory Group on International Trade (SAGIT), Department of Foreign Affiirs and lnternational Trade, 1999; and Prepadng Canada for a Digital World from the Information Highway Advisory Council, lndustry Canada, 1997. a more outward-looking approach, open to international cooperation and responsive to global trends of the last 20-30 years.

lntemationalism as expressed in Canadian cultural policy is more evident in the period beginning with the Applebaum-Hébert review. Their report recommended looking inward to the concems of creators and producers and outward, beyond the borders of North Arnerica, to the global markets and stages for the Cônadian cultural industries. lt emphasized a local-global axis, echoing analytical models explaining the effects of globalization on other aspects of society: that, due to pressures of globalization, the nation state is losing its ability to influence and controt its own domestic affairs to international organizations, and that citizens engage more actively in local andfor global cornmunities rather than at the national level (Mintz 1999). In this model, the state is pressured by international agreements, policies, tribunats and trade practices which dictate direction and leave little room for national governments to manoeuvre. When this model is applied to culture, it suggests that calls by several authors for a single national cultural policy (Heritage

Canada Foundation 1998; Kelly 1994; Zemans 1997) will likely go unheard in favour of increased interest and activity by citùens at local ievels and increased participation by government on the international cultural scene.

Wlling participation by Canada on the international cultural scene is underscored by the creation of a Cultural Affairs Division in the Department of Externat Affairs in 4966, and by including "the projection of Canadian values and culture in the wortd" as the 'third pilla< (along with the promotion of prosperity and employment, and the protection of Canada's security) of

Canadian foreign policy in 1974 (Canada 1985). Clearly, the federal government recognized the potential for promoting Canada abroad through its culture and heritage. The economic benefit of a higher international profile for Canada's cultural industries and individual creators is the ovemding incentive. However, this promotion of culture at the international level by Department of

Foreign Atfairs and International Trade is at conflict with that same department's efforts to keep culture out of international trade agreements. Canada asserts that cultural products and sewices cannot be treated in the same way as other consumer goods and cannot be left to bear the market forces of free trade for reasons of maintaining cultural sovereignty (Canada 1999b). There is a clear conflict here between externalizing Canadian culture in one international forum and internalizing it in another. Addressing this, the government has stated that "lt is time to determine how Canada can find the balance between its cultural policy objectives and its international trade obligations." (Canada 1999b, 24). Canada's initiative to broker a new 'international instrument on cultural di~ersity"~is the vehicle by which the government appears willing to address these apparently contradictory policy directions together in an international forum. It is suggested that a new cultural instrument is required because Canada may face additional challenges, under curent trade laws, to its methods of supporting domestic cultural industries (Canada 1999b). The

1997 ruling against Canada by a WTO tribunal over a challenge by the United States to Canadian legislation designed to encourage a domestic magazine industry is considered a precedent for similar challenges in the future. Evidently participation on the international scene requires following international rules.

"As we approach the 21" century, massive changes - driven by technology and "freet' trade - are creating both opportunities and challenges for our cultural industries." (Canada 1999b,

2). This quote from the report New Strategy for Culture and Tfade - Canadian Culture in a Global

World also suggests that technological advances bring signifiant challenges as well as opportunities to the cultural industries, and by extension, to cultural policy. For example, advances in communications technologies have resulted in the convergence of broadcasting and telecommunications media and of their delivery systerns. Goldfarb described how these technologies are rnerging and argued that Canada rnust move faster, and more wisely, to take advantage of the opportunities presented by technological change (1997). These challenges test

l3 The Minister of Canadian Heritage leads an initiative to create a new international instrument for the promotion and protection of cultural diversity in a global worîd. This movement is in reaction to the growing influence of international trade pracüces and homogenizing effects of globalization on culture. 19 the ability of federal policy making to encourage private-sector success in a global economy as well as maintaining national cultural objectives. Opportunities exist here for the application of

Canadian expertise and knowledge and for using our extensive telecommunications infrastructure to take advantage of this new market (Canada 1999b). The technological revolution presents opportunities and challenges to almost every aspect of Canadian cultural policy, including discussions on economics (Globerman 1994), Canadian content (Goldfarb 1997) access to services (Canada 1907), instruments of regulation and support (Canada 1999b), copyright and intellectual property (Canada 1999a), etc. Conternporary policy must address these challenges and opportunities as cultural industries now compete in a rapidly-evolving global economy. lt is certain that technology wiil continue to be a major contributor to the complexity of cultural policy.

It has been the instigator of contentious policy issues in the past (e.g., split-fun magazines, direct- to-home broadcasting, television broadcasting over the Internet) and, as it appears to be increasingly inseparable from so many cultural issues of the day (e.g., regulation of the Internet, privacy, and freedom of speech), it will likely be so in the future.

2.2 Cultural Policy and Heritage Institutions

The inclusion of 'heritage' in cultural policy discourse is a development worth noting. It rnarked the point at which issues of nationalism, cultural dernocracy and technology in cultural policy began to have a more direct impact on heritage institutions. An awareness that works of an artistic or historic nature could contribute to the definition of a nation's culture and sense of being developed in the period between the reviews of Massey and Applebaum-Hébert. New attention was given to the preservation of heritage resources for cultural identification in addition to the more pragmatic purposes of documentation and research.

2.2.1 Cultural Nationalism By the Massey period, several federal cultural institutions were already in existence. The activities of these institutions were described in the Massey report in functional terms. For example, the Public Archives of Canada was:

prirnarily intended to maintain in one place, accessible to government ofïicials and, with any necessary [imitations, to scholars, ail the permanent public records of the nation... . A secondary aim and one of growing importance has been the collection ... of originals and transcripts of ail kinds oi histoncai matenai relating to Canada, including books, pictures, prints and museum pieces. (Canada 1951, 335)

The function of the National Gallery was stated simply as "the promotion of the interests generally of art in Canada" (Canada 1951, 314). The National Museum was described in more detail as having four main functions:

the collection of material in "natural history"; scientific research and publications bâsed on this material; exhibitions; general education through traveling exhibitions, lectures, radio talks, popular publications, film strips and like rnethods. It was difficult, we were told, to place these in order of importance, but the responsibilities of collection and research were considered on the whole to stand as the first two of the four functions. (Canada 1951, 89)

Descriptions of these collecting institutions contrast sharply with the descriptions given for the broadcast media of radio and television, and for film. Radio broadcasting in Canada, and consequently the Canadian Broadcasting Corporation, was noted by Massey as being "a public trust", "owned and controlled by the nation", and "the greatest single agency for national unity, understanding and enlightenment" (Canada 1951, 279). Television broadcasting was described as "a valuable instrument of national unity, of education, and of entertainment" (Canada 1951,

301). Massey quoted the National Film Act of 1950 to describe the role of the National Film Board

(NFB) as "to initiate and promote the production and distribution of films in the national interest" and to "produce and distribute and to prornote Canada to Canadians and to other nations"

(Canada 1951, 307). The intended role of the CBC and the NF6 as public institutions to further cultural nationalist objectives was explicit Museum, galleries and archives were presented as institutions of higher learning and research, not seen or visited by the masses, not necessarily at risk from American cultural dominance, and not effective tools for fostering a national culture and identity. Therefore the cultural nationalist emphasis in the Massey Commission did not have as 21 significant an impact on the development and promotion of cultural heritage institutions as on broadcasting and film rnaking. The only two heritage collecting institutions to be created at the recommendation of the Massey Commission, the National Library and the Museum of Science, were deemed necessary to "encourage scholarly pursuits" and to "illustrate in general the contributions of Canada to scientific research", respectively (Canada 1951, 331). The role these institutions could play in defining a national identity was not foreseen.

In reports foltowing the Massey commission we began to see a change in this view of heritage institutions and a greater recognition that heritage collections could contribute to cultural

identity as much as the activities or products of the contemporary mass media. This trend continued through the Applebaum-Hébert period and through to the present day, as seen in the

report A Sense of Place, A Sense of Being. One interesting report which took a stand against this

trend was the 1975 Report of the Commission on Canadian Studies entitled To Know Ourselves.

This report, commissioned by the Association of Universities and Colleges, promoted the

importance of heritage resources for purely academic ends. Discussing the case of archives, the

report stated: "Without the resources of our many archives, original research on the development

of our society, institutions or culture would be impossible." (Symons 1975, 69). It considered

research on Canada to be a quest for "self-knowledge" which would help us to know who we are,

where we were and where we are going. However, this report fimly stated that the purpose of

seif-knowledge was not for cultural nationalist selfdefence or for furthering the cause of Canadian

sovereignty. 60th the Massey commission and To Know Ourselves supported the rote of heritage

institutions in higher leaming, but the latter report emphasized that the ultimate use of heritage

resources should be for creating knowledge and not the promotion of government imposed

ideologies.

2.2.2 Cultural Democracy 22

The first three federal cultural policies to be announced following Secretary of State

Pelletier's 1968 announcement on the future direction of Canadian cultural policy related to publishing, film, and museurns. The government's move towards greater cultural dernocracy and decentralization in the new policy for museums (1972) was noted by Schafer and Fortier: "lt is, without a doubt, in the formulation of this [museums] policy, that we discover the major shift which occurred towards the dernocratization and decentralization of traditional activities" (1989, 30).

The link between the govemment's objectives for cultural policy and the content of policy governing heritage institutions was direct. This also illustrated how the objectives of cultural democracy had a more direct influence on heritage institutions and their policies than cultural nationalism.

The Applebaum-Hébert report noted another related shiff that occurred in 1972. After rnentioning several key exceptions, the report observed that "federa! involvement in the heritage field, until the formulation of the National Museum Policy in 1972, coutd be characterized as negligible cornmitment rather than wilful neglect" (Canada l982,lO6). Considering the increased funding for museums to irnplernent the new poticy ($10 million), it is evident that heritage institutions benefitted from being more directly relevant to government cultural objectives (Schafer and Fortier 1989). The cultural democracy agenda brought several advantages to heritage institutions including: increased attention to regional and local concems (e.g., a museurns network, national exhibition centres, mobile museums, regional conservation centres); the changed role of the federal govemrnent as sponsor and supporter rather than director (e.g., funds for research and purchase of collections); centralized support sewices (e.g., Museums Assistance

Program (MAP), Canadian Conservation lnstitute (CCI), Canadian Heritage Information Network

(CHIN)); and an increased emphasis on training and development (e.g., internship programs, new college and university consewation training programs).

The Applebaurn-Hébert report recognized heritage as an integral part of culture and provided a higher profile for heritage issues in the policy arena: "Our heritage, Our past, is also part of our present. Without widespread knowledge of what has gone before, without the transmission of knowledge from one generation to another, contemporary creation would be rootless" (Canada 1982, 138). The report adopted an inclusive definition of heritage which included everything from the land itself to the tangible collections of heritage institutions. In keeping witn cultural democratic ideals, heritage was described as being rooted in the experiences and traditions of citizens. It was not centered in only one place, but was "present in the countryside and in the urban centres of Our country, in public museums and private collections" (Canada 1982, 105). This period marked a broadening of the scope of cultural policy, presumably for the benefit of government (for their national identity interests) and of the arts community (for additional funding and influence). Sports, health, national defence, econornics and the environment, for example, are now aspects of cultural discourse.

The ideals of cultural democracy persist in the cultural policy of heritage institutions but have begun to show signs of the influence of global forces. For example, the dismantling of the

National Museums Corporation in 1986, in favour of more autonomous separate institutions, and the transformation into special operating agencies of the Canadian Conservation lnstitute and the

Canadian Parks Service in 1998 and 1999 respectively, are examples of cultural institutions which moved away from direct federal government control to be more independent and responsive to their clients (a cultural democratic ideal). This move towards greater participation in the private sector by public institutions also suggests that concerns other than democratic ideals, such as market concerns, will play a greater role in their policy and decision making process.

Schafer and Fortier noted that in 1988 the House of Commons Standing Cornmittee on

Heritage enjoyed an influential rote in the development of cultural policy in Canada (1989). This situation is probably more tue today since this cornmittee, rather than non-partisan review cornmittees or royal commissions of experts from the fields of arts and culture, are now the authors of major reviews of culture and heritage in Canada (Canada 1999a). There are mixed messages here: it is certainly democratic for elected members of parliament to represent citizens 24 in the review of important issues, but on the other hand their observations and recomrnendations may not be considered impartial (as they remain representatives of political parties, each with their own policies on cultural issues) or well informed about complex matters of contemporary culture and heritage.

2.2.3 lnternationalism

The 1972 Museums Policy was refened to earlier to illustrate the influence of cultural democracy and decentralization on cultural policy. The updated Canadian Museums Policy of

1990 similariy addresses the additional layer of international and technological determinants. The objectives of the 1990 policy are: "to foster access [by citizens] to their natural, human, scientific, and human heritage; to encourage development, preservation and management of significant collections; to enhance excellence in museum activities" (Canada 1990, emphasis added).

These objectives are still very supportive of cultural democratic goals but it is the cornplexity implied by intemationalism and technological change which shape these objectives most significantly today.

Access to heritage collections, a principle mandate of public heritage institutions, is the subject of a great deal of attention today. "Museums need to have traveling exhibitions, performing arts groups need exposure to new audiences, writers need to be heard at readings - and above al1 the public needs open and fair access to this country's arts and culture" (Canadian

Conference of the Arts 1999, 8). Providing access once meant attracting visitors to heritage institutions andlor sending their collections out on tour. While it does not replace occasions for direct personal contact with heritage collections, technology brings new and seductive vehicles for access through, for example, virtual exhibitions on the Internet, CD-ROMs, live performances via high-definition broadcasting, and webcasts. Digitization of collections for delivery over the lnternet is a strategy that most collecting heritage institutions now actively pursue as a priority. Visit, for 25 example, the Worid Wide Web sites of the National Gallery's Cybermuse, the Canadian Museum of Civilization's Virtual Museum, the National Archives of Canada's ArchiviaNet, or the Digital

Projects of the National Library of Canadat4. The political will to punue this agenda was clearly articulated, and at the highest political level, in the 1999 Speech from the Throne opening the second session of the 36" Parliament (October, 1999). The Govemor General said:

New technologies offer new opportunities to strengthen the bmds between Canadians. The Govemment will bring Canadian culture into the digital age, linking 1,000 institutions across the country to form a virtual museum of Canada. It will put collections from the National Archives, National Library and other key institutions on-line. (Canada 1999c)

This seemingly straightforward statement on access highlights the complex layering of policy issues referred to earlier. All three layers of policy determinants discussed in this chapter are implied: an intent to use culture (heritage collections) for nationalist goals; an intent to provide equitable access and encourage democratic involvement; and the aspirations of government to exploit new technology and to participate at the global level. The interaction between these layers and their interdependency also becomes apparent.

Encouraging the development, preservation and management of collections and the pursuit of excellence are goals which are likewise technologically driven. Heritage collections now include works of art, published material and archival records in a wide variety of new media.

The acquisition, presewation and management of objects in new media is a significant challenge and, like providing access, are activities of growing importance in heritage institutions. The federal govemment's response to the report A Sense of Place, A Sense of Being addressed these objectives and challenges with cornrnitrnents emphasizing development and excellence in areas of technology and new media in the cultural sector (Canada 1999d).

National Gallery of Canada Cybemuse: http:llcybermuse.galleryrycalngl.Canadian Museum of Civilization: http:l/www.civilization.ca/cmclcrnceng/welcrneng.html. National Archives of Canada: http:lhivww.archives.cal. National Library of Canada: http:liwww.nlc- bnc.ca/dig iproj/edigiacthtm. Cultural policy in Canada evolves slowly and gradually in response to pressures interna1 and extemal to the state. Since the elaboration of the earliest Canadian cultural policies there has been a movement away from inward-looking preoccupations with issues of national identity and unity to more outward-looking concems of increased democratization, globalization and technological change. The latter two issues are the dominant concems for cultural policy today.

Federal heritage institutions have becorne more aware of and responsive to policy determinants of a global and technological nature. This is due to the recognition that hentage institutions have an important role to play in the development of many aspects of national policy and are increasingly pressured by the sarne external forces as other sectors of the economy or other aspects of society. Therefore, heritage institutions must now deal with many, often cornpeting, layers of issues interacting in a cornplex policy process. Heritage institutions must also be able to recognize the dominant issues of the day and to shape their public policy to be responsive to client expectations, market cornpetition, and political will. 2.4 Works Cited in Chapter 2

Boggs, Jean Sutherland. 1971. The National Gallery of Canada. Toronto: Oxford Univeristy Press.

Brooke, Jeffrey. 1983. Cultural Policy in Canada, Curent Issue Review. Ottawa: Library of Parliament.

Canada. iS2S. &port of ihe Zoyai Commission on Raaio Broaacasting. Onawa: Prrnter to the King's Most Excellent Majesty.

Canada. 1951. Report: Royal Commission on National Development in the Arts, Letters and Sciences 1949-1951. Ottawa: King's Printer.

Canada. 1982. Report of the Federal Cultural Policy Review Committee. Ottawa: Department of Communications.

Canada. 1985. Mandate of the Department of Foreign Affairs and International Trade Department of Foreign Affairs and InternationalTrade, [cited March 20001. Available from: http:llwww.dfait-rnaeci.gc.ca/dfait/mandate-e.asp

Canada. 1990. Heritage in the 1990's: Towards a Government of Canada Strategy: Summary Report. Ottawa: Communications Canada.

Canada. 1997. Preparing Canada for a Digital World - Final Report of the Information Highway Advisory Council. Ottawa: lndustry Canada. Available from: http://strategis.ic.gc.ca/SSG/ihOl650e. html

Canada. 1999a. A Sense of Place, A Sense of Being: The Evolving Role of the Federal Government in Support of Culture in Canada (Ninth Report of the Standing Committee on Canadian Heritage). Ottawa: Pariiarnent of Canada. Available from: http://www.parl.gc.ca/lnfoCom00c/3611/CHER/Studies/Reportslcherrp09-e.htm

Canada. 1999b. New Strategies for Culture and Trade - Canadian Culture in a Global World. Ottawa: Department of Foreign Affairs and International Trade. Available from: http://infoexport.gc.ca/trade-culture/menu-e.asp

Canada. 1999c. Building a Higher Quality of Life for All Canadians: Speech from the Throne to open the Second Session of the Thirty-Sixth Parliament of Canada. Ottawa: Parliament of Canada. Available from: http:llwww.pco-bcp.gc.ca/sftddt

Canada. 19994, Connecting to the Canadian Experience: Diversity, Creativity, and Choice (Government Response to the Ninth Report of the Standing Committee on Canadian Heritage). Ottawa: Canadian Heritage. Available from: http:lhnrww.pch.gc.caimindeplmis~experience/english

Canada. 2000. The Library of Parliament. Ottawa: Library of Parliament.

Canada Council for the Arts. 1995. A Design for the Future. Ottawa. Available frorn: http://www.canadacouncil.ca/archival/about/cddesign-in~o.html

Canadian Conference of the Arts. 1999. Canadian Culture - A Shared Experience (Pre-Budget Subrnission to the Standing Cornmittee on Finance). Ottawa. Available frorn: http:liwww.culturenet.ca/ccalprebudg.html

Collins, W. H. 1928. The National Museum of Canada. Ottawa: F. A. Acland, Printer to the King's Most Exceilent Majesty.

Dupuy, Michel. 1995. Ottawa's Programme to Support Culture and Canadian Identity. Canadian Speeches 9 (6):26-32.

Gdsher, Mike. î337. From Sacred Cows to Ltnite Eiepnanis: Cuiiurai Poiicy Üncier Stege. in Canadian Cultures and Globalization / Cultures canadiennes et mondialisation, edited by J. Cohnstaedt and Y. Frenette. Montréal: Association for Canadian Studies.

Globerman, Steven. 1987. Culture, Governments and Markets: Public Policy and the Culture Industries. Vancouver: The Fraser Institute.

Globerman, Steven. 1994. The Econornics of the Information Superhighway. In Technology, lnfomation and Public Policy, edited by T. J. Courchene. Kingston: The John Deutsch lnstitute for the Study of Economic Policy.

Goldfarb, Rebecca. 1997. Extemal Constraints on Public Policy: Canada's Stniggle to Preserve a Broadcasting System Fundamentaly Canadian in Character. In Canadian Cultures and Globalization /Cultures canadiennes et mondialisation, edited by J. Cohnstaedt and Y. Frenette. Montréal: Association for Canadian Studies.

Heritage Canada Foundation. 1998. The Evolving Role of the Federal Government in Support of Culture in Canada: A Brief to the Standing Cornmittee on Canadian Heritage. Ottawa.

Kelly, Keith C. 1994. A Federal Cultural Policy - The Time is Now or NeverIPolitique culturelle fédérale: Maintenant ou jamais! Proscenium 3 (2): 13-17.

Lacasse, Danielle, and Antonio Lachasseur. 1997. The National Archives of Canada ?872-1997. Ottawa: Canadian Historical Association.

Lemieux, René. 1993. The Arts and Canada's Cultural Policy, Cuvent hueReview. Ottawa: Library of Parliament.

Litt, Paul. 1991. Massey Commission, Arnericanization and Canadian Cultural Nationalism. Queen's Quarteriy 98 (2):375-387.

Litt, Paul. 1992. The Muses, The Masses and The Massey Commission. Toronto: University of Toronto Press.

Meisel, John. 1988. FIora and Fauna on the Rideau: The Making of Cultural Policy. In How Ottawa Spends, 7988/89: The Conservatives Heading into the Stretch, edited by K. A. Graham. Ottawa: Carleton University Press lnc.

Minb, Jack M. 1999. Room to Manoeuvre: Rapporteur's Remarks. In Room to Manoeuvre? Globalization and Policy Convergence, edited by T. J. Courchene. Kingston: John Deutsch lnstitute for the Study of Economic Policy.

Murray, Catherine. 1999. Rethinking Cultural Policy (Notes for an Address to the Social Cohesion Workshop, Ottawa, September 20, 1999. Bumaby: Simon Fraser University. Reich, Robert 8. 1992. The Work of Nations: Prepanng Ourselves for 21st -Century Capitalisrn. New York: Random House, Inc.

Russell, Loris S. 1961. The National Museum of Canada, 1910 to 1960. Ottawa: Ministry of Northem Affairs and National Resources.

Schafer, D. Paul, and André Fortier. 1989. Review of Federal Policies for the Arts in Canada 79444988. Ottawa: Canadian Conference of the Arts. cJe---,,,,,,,s, T.H.S. j975. Tu KnC-I~UVV n~t-a'*ec.CUUI ==t~~s - Tho R~p~fiûf th2 Commission on Canaclian Studies, Vol. 1 and II. Ottawa: Association of Universities and Colleges of Canada.

Taylor, John H. 1986. Ottawa: An lllustrated History. Toronto: Lorimer, and the Canadian Museum of Civilization.

Zemans, Joyce. 1997. Whem is Hem? Canadian Cultural Policy in a Globalized World. North York: Robarts Centre for Canadian Studies. CHAPTER 3

DIGITAL PRESERVATION TECHNOLOGY: A FOUNDATlON OF BITS AND BYTES

Chapter 2 provided an overview of the development of cultural policy in Canada and described the major forces which have shaped cultural policy at the national and institutional levels. It suggested that technology and the internationalism in outlook that it encourages form the most infiuential deteminants considered by cultural sector policy-makers today. Chapter 3 will describe aspects and objects of digital technology as the manifestations, in heritage institutions, of our "infomation age". The technology discussed here is applicable to al1 heritage institutions with collections in digital format, however exarnples and experiences will be drawn primanly from the worid of archives and libraries.

"One of the great ironies of the information age is that, while the late twentieth century will undoubtedly record more data than have been recorded at any other tirne in history, it will also almost certainly lose more infomation than has been lost in any previous era." (Stille 1999). This quote introduces two important aspects of Our technological age which are crucial to any discussion of preservation in heritage institutions. First, there has been, and continues to be, an exponential increase in the quantity of information being recorded. Second, the speed at which we are able to apply new technologies to presewe this information (at least that which is worth keeping) has not kept Pace with its creation'. To illustrate the first observation, one can consider

' John Carlin, the Archivist of the United States, noted this point in Me strategic plan of the National Archives and Records Administration by simply stating that "we are still preparing for a future which is already heren(United States 1997, 5). the foltowing statistics: a recent survey reported there are now more than one billion unique documents on the Internef; it was reported that the number of lnternet users worldwide has increased by alrnost 700 percent over the period 1996 to 20003;and that traffic (exchange of information) over the lnternet doubles every 6 months4. These exarnples illustrate the global rush to go on-line and they qualify the ubiquitous expressions "information overload", the "information highway", and the "information economy".

The second observation is equally startling and more consequential for heritage institutions and society at large. The rapid Pace of technological development and obsolescence, driven by global consumer dernand, threatens vast amounts of information of being "stranded" on older media as new and better ones supercede them. Current approaches to the preservation of important digital information rely on techniques which rnust be applied within the usefui lifetimes of media and their dependent technologies (software, hardware, electronics). Warnings of the consequences of losing the race to preserve soon-to-be-obsolete media are dramatic: "Failure to look for tnisted means and methods of digital presewation will certainly exact a stiff, long-terrn cultural penalty" (Task Force on Archiving of Digital Information 1996, 4). In Canada the issue was recently addressed in a newspaper report on the state of electronic record-keeping in the public sector: Mr. lan Wilson, the National Archivist of Canada and Mr. John Reid, the Canadian

Federal Information Comrnissioner have "long warned of 'an information crisis' that, left unchecked, compromises the pivotal dernocratic principles of accountability and openness." (May

2000). Incidents of the inaccessibility, corruption or unreliability of important digital information

According to a survey conducted by lnktomi and the NEC Research lnstitute and reported by Nua Intemet Surveys, January 31,2000. See: http:l~.nua.ielsurveys/Ïndex.cgi?f-7 &rel=true)

Reported by the Angus Reid Group's Face of the Web survey, March, 2000. See http:llwww.angusreid.com.

According to information from CANARIE, a publidprivate organization sponsored by lndustry Canada for the development of advanced lntemet infrastructure, applications development and use. See: http:/~.canarie.ca/hub/hub. html. from the 1960 United States Census (Rothenberg 1995), from the state records of the former East

Germany, and from the Canadian peacekeeping mission in Sornalia (InterPARES Project 2000)

are reported in the literature. These cases illustrate specific failures to preserve digital information

for use by future generations and suggest that democratic and cultural penalties have already

been paid.

It is not a straightforward exercise to organize an explanation of digital technology in neat

sections or categories as its very nature encourages convergence. Therefore, acknowledging

considerable overlap between topics, sections in this chapter will describe types of digital heritage abjects (Section 3.1, Born Digital), the process of digitization (Section 3.2, Turning Digital), the

significant discussions around the subject of digital preservation (Section 3.3, Staying Digital), and the broader challenges facing heritage institutions (Section 3.4, Always Digital?).

The glossary of terms entitled Preservation and Access Teminology: The Relationship

between Digital and Other Media Con version Processes: A Structured Glossary of Technical

lems has been used in the preparation of this text and presents an adequate explanation of the

key technical concepts encountered in this subject (Lynn 1990). Throughout this and later

chapters the terrn "record" will be used as it is understood in the archival profession. The National

Archives of Canada Act sets this definition as: " any correspondence, memorandum, book, plan,

map, drawing, diagram, pictorial or graphic work, photograph, film, microfilm, sound recording, videotape, machine readable record, and any other documentary material, regardless of physical

forrn or characteristics and any copy thereof' (Canada 1987). This is a definition which describes a record by media type, however, inclusion of the phase "machine readable record" also pemits

the contemporary interpretation of the term "record" as the intellectual content and context of a

transaction (evidence), regardless of its (or their) physical form5. The terni "publication" is

The National Archives of Australia defines a record as: 'that which is created and kept as evidence of agency or individual functions, activities and transactions. To be considered evidence, a record must possess content, structure and context and be part of a recordkeeping system" (Australia 1997, 1). The physical fom of a digital record wiil change over time but the 33 adopted with reference to its use in the National Library Act in the definition provided for a book:

"library matter of every kind, nature and descriptions and includes any document, paper, tape or other thing published by a publisher on, or in which infomation is written, recorded, stored or reproduced" (Canada 1985). These definitions rnay be enshrined in statutes, but the literature shows flexibility in the use of terms describing objects of digital origin, reflecting a constantly changing and evolving field of technology. The term "digital object" is increasingly used in the literature, particularly by libraries (Australia 1995; Bullock 1999), as an all-encompassing label for digital records or publications and which may imply a higher order of complexity in format, structure or functionality, such as is found in multi-media publications. This term has also been used to distinguish digital infomation from the "digital artefact" (the physical form which carries the infomation) (Harvey 1995). As will be seen in section 3.3, fixing a definition for "preservation" in the digital world is more problematic as definitions which do exist are challenged by concepts suggested to ensure the longevity of information in digital form (Conway 1999b). Acronyms for digital media and formats used in this text are identified in full in Appendix A.

3.1 Born Digital

For a record or publication to be "born" digital it means it was created by a cornputer system. Today we naturally associate digital media with computer technology and binary code.

However, systems representing information as code (e.g. visual telegraph, morse code), rather than as a system of syrnbols (e.g., characters, braille, sign language), have existed since the 18Lh century (Conway 1999). These eariy methods of communication simply relayed information using a specific code. Today, digital technology has the capability to create, translate, manipulate, transmit, display and store information in binary code.

essence of the record, the evidence it relays, should not. Why create digital objects when analog materials (such as stone carvings, rnanuscripts, books, paintings, photographs, and audio-video recordings on magnetic tape) have served history so well? Any new invention or technology to record information rnust provide clear advantages in usability, efficiency or cost to succeed in the marketplace and gain acceptance with users. Digital technology has undeniably brought many significant advantages to users in many fields. New digital technologies are tested in the commercial environment by consumers whose interest is not necessarily long-terrn preservation or access to the information or products they create. The pros and cons of digital technologies for consumers usually relate to technical characteristics such as computing speed over successive generations of hardware and software, costs for equivalent capabilities over time, hinctionality and sirnplicity of use, as well as to value aspects related to entertainment, leaming and convenience. As Conway noted: "People cherish convenience and will ignore any technology whose characteristics (e.g., curnbersorne equipment, poor image quality, weak indexing) limit that convenience." (1996, 10). Heritage institutions see quite a different set of advantages and disadvantages associated with digital technologies than do consumers.

The advantages offered by digital technology to heritage institutions are discussed in various reports and concern their potential to facilitate or impair acquisition, preservation and access activities. Rothenberg characterized the advantages of digital objects by their inherent attributes as logical code:

These attributes inctude their ability to be copied petfectly, to be accessed without geographic constraint, to be disseminated at virtually no incrernental cost (given the existence of appropriate digital infrastructure), and to be machine-readable so that they can be accessed, searched, and processed by automated rnechanisms that can modify them, reformat them, and perfom arbitrary computations on their contents in al1 phases of their creation and distribution. (1999, 3)

In his technology-centered account, the author emphasized advantages which exist due to the rigorous and precise representation of information as digital code.

The report Preserving Digital information lists other key advantages of digital media from 35 the perspective of applicability and use: they assist in resolving the traditional tension between preservation and access in heritage institutions; they offer new possibilities for multiple and simultaneous use of exact copies; and they allow enhanced methods of searching, retrieval and displayloutput to the user (Task Force on Archiving of Digital Information 1996). These use- oriented advantages are less certain than those reported by Rothenberg and they depend on the successful resolution of a number of issues and questions currently under debate and study. For example, resolving the traditional conflict between preservation and access (a new paradigm where preservation depends on access, see Section 3.4) hinges on developing and maintaining reliable processes for retaining ail significant attributes and qualities of digital records through endless cycles of migration and obsolescence.

The disadvantages of digital media and technology, and the challenges they present to heritage institutions, are related to the long-tem preservation of information and will therefore be described in detaii later under section 3.3 (Staying Digital).

What are these bom digital creations and in what form do they exist? The following is a brief description of the technical characteristics of records and publications held by heritage institutions whose native format is digital. The production of digital copies (or digital sunogates, or digital derivatives) of analog originals is the process called digitization and is discussed later in section 3.2 (Turning Digital).

3.1 -1 Electronic Records

The Electronic Records Policy of the National Archives of Canada describes electronic

records as "records ... which require a computer system for their use." (Canada 1999b). By

specifying a requirement for computer processing, this definition applies to digital electronic

records but not to analog electronic records. It is important to note the difference between analog

and digital electronic media as their technology, and many of their associated preservation 36 requirernents, are quite different. As Webb noted: "1 do not mention things like analogue sound and video recordings. These are legitimately considered to be electronic information, but they are not digital. While there is overlap in the presetvation of digital information and electronic information in general, I believe they are best treated as separate fields that can learn from each othet' (1999b).

Analog electronic records, typically audio or video recordings, are translations of natural sounds or images to an analogous physical representation on a recording medium and which rely on electronic systems to interpret the system of translation. For example, recording an orchestral performance onto magnetic tape involves first capturing the sound (existing as changes in air pressure resulting from acoustic musical instruments being played) by a microphone whose diaphragrn translates changes in air pressure to corresponding changes in electrical voltage. The changing electrical voltage is then used to align varying quantities of ferromagnetic particles in the magnetic tape by a record head of a recording device in a manner proportional to the strength of the voltage. In this way, the alignment of particles in the magnetic tape is directiy analogous to the changes in air pressure (sound) produced by the orchestra, as interpreted by the electronics of the microphone, amplifiers, recordlplayback heads, and speakers (St-Laurent 1996). Likewise, video carneras use analog electronic technology to translate degrees of light and shadow into a continuous and variable voltage which then determines the alignment of particles in rnagnetic tape for interpretation by an electronic system (video carnera, videocassette recorder, display rnonitor).

Digital electronic information is captured in a fundamentally different way: digital recording techniques use the binary digits O and 1, in a logical order and grouping, to encode sounds, images and text. These digits (bits), in their specîfic groups (bytes), represent alpha-nurneric characters, sounds and images according to a predetermined code which has no analogous relationship to their representation in the anaiog "real" world. Digital information can Be recorded ont0 any media which haç the capability of distinguishing between binary digits (Rothenberg

1995). Magnetic tape and disks (i.e., computer tape, diskettes, computer bard drives) distinguish 37 between binary digits by the distinctive alignment of ferromagnetic particles embedded in the binder layers of the media as deterrnined by discreet, not continuous, changes in voltage level.

Optical siorage media such as CDS ( CD-Audio, CD-R, CD-i, CD-ROM, CD-WORM) and DVDs employ various techniques to encode binary digits, such as through a combination of surface topography and reflective metal layers in the disk strata (St-Laurent 1996), or through the density of dye layers in the disk (Woodyard 1999), and as "read" by laser light technology.

Another important characteristic of digital electronic records is their logical format. Bits and bytes cannot represent real-world things without additional means by which this code can be rendered accessible and understandoble as information. Computer software programs provide the means to organize and package data into logical formats programmed to represent information in specific ways. The content of a digital file will consist of the source data as weli as other data added by the software program to describe the intended look and structure (layout, cotours, functionality) of the document. Logical formats are usually proprietary to their creators

(software companies) and often not completely compatible with software prograrns other than that in which they were created. Thus, logical formats define or identify the original method by which digital records were created and should be accessed. There are many logical formats in current use and Iittie agreement on standardization and interoperability. The commercial marketplace usuaIly decides which formats succeed and remain in common use, and which ones become obsolete and disappear.

Textual records

Electronic textual records include al1 types of documents created by computer systems

(typically word processing software) that would have previously been created by various printing or manuscript techniques (e.g., typewriter, adding machines, letterpress, hand writing, etc.). It has also been suggested that electronic mail, a new type of digital textual record, is replacing voice communication in contemporary office environments (May 2000). Electronic textual records 38 initially contained only text, with iittle regard to layout. Contemporary textual records are more complex as software programs become more powerful and easier to use and may also contain, for example, tables of data, images imported from other software programs, or hypertext links to other documents in the Wortd Wide Web. Textual records now mimic printed publications in layout and presentation (colour, graphic effects) and may also include audio, video, and interactive functionaiity (see 3.1.2). Digital textual records are produced by computer authoring systems in a variety of logical formats (usually proprietary), and on various media (e.g., magnetic tape or disk, optical media, computer memory chips). Common proprietary formats include, for example, those created by such commercial sofhvare programs as Corel WordPerfectTM or

Microsoft Wordw. Non-proprietary or "open" file formats include, for example, the ASCII format, the Adobe" PDF format, and markup language formats used for exchange over the lnternet (e-g.,

HTML, SGML,XML).

Databases and Spreadsheets

These records are created as tables or indexed collections of data (numeric or alpha- nurnerk), image or audio files by software programs. There is great variation in the size and complexity of these records in terms of the quantity of data they hold and in the degree of interrelationship between data elements. As with textual records they typically exist in collections as digital files in proprietary or non-proprietary formats on magnetic or optical media.

Still and Moving !mages

Digital image files are born from digital recording devices (digital still and video cameras), graphics or illustration software, optical scanners, or vanous combinations thereof. A still image captured by a digital camera or an image obtained by optical scanning can be further manipulated or enhanced by using illustration software, for example. Still or moving images may oe captured in a variety of proprietary (according to the manufacturer of the recording device or software 39 program), non-proprietary (e.g., the JPEG formats for still images, or the MPEG format for moving images), or open formats (such as TIFF for still images).

Audio records

Digital audio can be recordings of sound created by electronic devices (voice or music synthesizers, electronic percussion instruments, for example) or by the direct recording of analog sound by digital techniques ont0 rnagnetic tape (e.g., DAT), optical media, or as individual cornputer files (such as the non-proprietary MP3, or proprietary RealAudiom or Liquid AudioN formats used for distribution over the Internet).

3.1.2 Digital Objects

Digital technologies increasingly serve to integrate information resources. Text, numeric data, images, voice, and video have heretofore resided in print or other analog media for storage and transmission. When they are encoded digitally, either by conversion or at the point of creation, these various kinds of resources share layers of technology - a common means of storage and transmission - that allows them to be brought together and used in both old and new ways. (Task Force on Archiving of Digital Information 1996, 11)

The convergence of technologies evident in the information age creates new and complex foms of documents as suggested above. There are two types of convergence to note here: one where differences between the physical means of communicating information vanish; and another where technologies combine to create new and complex "multi-media" digital objects.

Methods of analog communication, such as telephony and commercial mass media broadcasting, employ separate and distinct technologies and infrastructure for their creation, storage and distribution. The pre-digital world knew only a telephone system which brought voice into the home and a television cable system that camed only audio-visual signals. Digital technology translates analog input into simple digits which can be camed by either of the transmission systems mentioned above, as weIl as in other new ways (e-g., direct-to-home 40 satellite television and digital cellular networks). Therefore, the technology now employed to deliver text, images and sound is no longer determined by the sensory nature of the analog source; it is "content indifferenl' as al1 digital data is fundamentally a bit Stream of 0's and l's, regardless whether it constitutes e-mail correspondence, graphies, music or video.

Communications technologies are converging towards cornmon delivery systems for al1 digital content in the race to deliver cheaper and better service to the consumer. The current race is about the implementation of wireless technology in mass digital communications, as noted in a recent study of lnternet use: "There is a tendency to assume the 'North American' rnodel of web access from a home PC is the only way the Web will continue to develop. The 'Euro-Asian' rnodel of wireless web access on cell phones and palmtops and public access to the Web in cafes and kiosks must play a greater role." (Angus Reid Group 2000).

The second form of convergence involves the nature of traditional types of documents: textual, aural and visual. Digital objects exernplify the potential for the convergence of document types. If al1 foms of information can existas digital code and there is no logical difference between text, audio, and moving images, they cm al! exist in the same multimedia digital object.

The experience of using textual, aural and visual information can now be found converged into one digital multimedia object and accessed via a cornputing device.

Publications

As in the analog world, digital publications include Iiterary, audio and audio-visual works.

Digital technology adds a further layer of complexity and interest to these options by providing greater opportunity for combinations of these types of works within a publication. Webb suggested two categories of digital publications based upon their method of storage and access: on-line publications as found on the Internet; and physical format digital publications on magnetic or optical storage media (Webb 1999b).

On-line digital print publications are, in technical terrns, no different than non-published digitat textual documents. They are cornputer files, usually in non-proprietary (e.g., HTML) or open (e.g., PDF) formats and are typically stored on the magnetic or optical storage media of server cornputers for on-line access. They are generally available for viewing while the user is connected to a server via the lnternet or a local area network, or they may be downloaded (as a copy) and saved to the storage media of a local computer for later use. On-line publications may also be issued simultaneously with a traditional analog (i.e., book, periodical) format or with an off- line digital format (e.g., CD-ROM, CD-Audio). On-line publications rnay take advantage of exciting opportunities in the Internet environment by making use of hyperlinks to other web documents, streaming technology6, multimedia. access to free software for text and image viewing. and interactivity.

Digital audio publications also exist on-line. Audio files, usually excerpts or versions of audio publications in CD fom, can be distributed over the lnternet in proprietary (e.g., Real

AudiofM, Liquid AudioTM) or in non-proprietary (e.g., MP3) formats. As with digital pnnt publications these computer files can be "played in a client-server mode or can be downloaded and saved to a local computer storage device for later use. The significant commercial market for digital audio has triggered new developments and applications for digital audio files. Portable hand-held computing devices are now available to store and playback MP3 audio files downloaded from World Nde Web sites. The introduction of the MP3 digital audio format in 1997 has also sparked considerable debate and litigation over issues of intellectual property rights as a result of the inherent ease of copying and distribution of digital audio materials.

Digital video is less cornmon, for the moment, as an on-line publication. The transmission

Streaming is the gradua1 transmission, in real time, of audio andior video data over the lnternet for display on a client computer. For an tutorial on streaming technology, in streaming audio and video, see the University of Wisconsin website http:/~.wisc.edu/learntech/HTMLStreamPres/SeamPres.hl.For an excellent example of the use of audio streaming for heritage resources see the National Library of Canada's Virtuai Gramophone website http:/iwww2.nlc-bnc.ca/grarnophone/srclhome.htm, or for streaming audio and video news delivery see the Canadian Broadcasting Corporation website http:/Icbc.ca/video. htrnl. 42 of digital video images over the Internet, equal in quality to the video we are accustomed to via established recording and television technology (e.g., cable, videotape, DVD) still faces significant technological constraints (bandwidth limitation) and is not yet commercially successful or widely available7. Lesser quality video clips, not normally considered complete publications, are commonly available over the lnternet by using freely available software viewers (e.g. ,

QuickTime", RealPlayerW). These short and grainy clips may or may not inciude audio along with their images.

Physical format digital publications are released on the curent storage media of the day.

As with on-line publications, these rnay include any combination of text, audio and video, and may duplicate or compliment publications in analog form. Large or complex digital publications (e.g., the entire multimedia Canadian Encyclopedia, CD music recordings, software programs), are preferentially published on physical formats rather than on-line as download and access times over the lntemet for multimedia documents are still long and electronic commerce is slow in gaining consumer trust.

Logical format of offiine digital publications Vary widely also and may include the same cornmon formats used for exchange over the lnternet as mentioned above, or, as Woodyard noted, offline formats may also be created in cornputer programming languages normally used for other purposes, such as C, C++, Visual 8asic, COBOL and PASCAL (1999). Off-line publications are often also designed to operate independent of additional sofhvare programs and therefore rnay have their own (proprietary) operating software included on the disk.

3.2 Turning Digital

' The National Film Board of Canada has an experirnental application of digital video transmission over the CA*Net2 advanced lntemet network. See the CineRoute project described at http:/hww.onf.ca/U112larchives/99-178.html. 43

"A social, economic and cultural revolution is now transforming the world. A new game is starting, and the older rules no longer apply. It is imperative that Canada move quickly to rneet the challenges and seize the opportunities of this new age." (Canada 1997, 13). Part of this new game for heritage institutions is the digitization of collections to provide much-needed quality content for the World Wide Web. The sudden and drarnatic growth of the Web and the demand for on-line content has put institutions holding information resources in a remarkably advantageous position. Cultural institutions have an effective new tool to display the richness of their coltections and to explain their relevame to society. Governments as well have recognized new opportunities for furthering cultural policy goals by making heritage collections more widely accessible. In Canada, and as discussed in Chapter 1, the federal government encourages efforts to fiil the information highway with indigenous content as an attempt to confirm cultural sovereignty and national unity (Canada 1999a). The push to digitize cornes not only from government but also from users who have come to expect immediate access to collections alteady digitized. Demand for increased amounts of digitized content on institutional Web sites was repeated in public submissions to the recent government-sponsored study of the role of the

National Archives of Canada and the National Library of Canada (English 1999). Econornics also plays a significant role in this essentialty consumer-driven field of technology. The will to digitize is increasingly satisfied as costs associated with equipment, software and services decline making this option more affordable (Lynn 1998).

3.2.1 Digitization

Digitization is the translation of analog text, sound or images into digital format and results in the creation of digital surrogates containing the same essential information8as the original but

There is an acceptance that analog-to-digital copying is not as precise and perfect as digital-todigital copying and that certain characteristics (look, feel, context) of the analog original 44 in a radically different physical and logical form. In contrast to objects bom in digital form, as described in section 3.1, these are analog objects digitally "bom again" (Kenney 2000). The religious analogy is fitting given the fervor associated with digitization projects in heritage institutions and the early, and false, assumption that this technology will miraculously solve dificuit problems of access and preservation.

Text and /mages

Text or images, typically printed, manuscript or graphic works on traditional substrates such as paper or parchment, can be digitized by the use of optical scanners or digital photography. In the case of optical scanners, the work is placed in or on the scanner where image sensing technology and electronic systems translate the image into digital code. Scanners can be used to interpret text in two different ways: the text can be scanned as an image; or it can be scanned using optical character recognition (OCR) software to Save it as a text file. The difference between these two approaches lies in their potential for manipulation of the resulting data. OCR software digitizes text as alpha-numeric characters which can be further edited by word processing software programs. The second option scans the text and saves it as an image where characters are treated as areas of light, shade or colour. Manipulation of the resulting image file is performed only through graphics or illustration software (such as Adobe

Photoshop") and text editing is not possible.

Digitization by camera similarly captures information as an image, not as text. This rnethod would be employed, for example, when the original cannot tolerate direct physical contact with the glass platen of a scanner (e.g., works with friable media), if the work is too large, or if it cannot be moved.

are not aiways captured by digitization (Smith 1999). 45

Audio-visual

Digitkation of analog audio-visual records include: the transfer of older sound recordings

(such as acetate or shellac disks, or analog magnetic recordings) to contemporary digital media; the transfer of motion picture film images to digital video; or the transfer of analog video signals to digital video.

In the case of sound recordings, computer hardware and software, or dedicated electronic

audio equipment (such as equipment manufactured to record ont0 digital media such as

recordable CD or DVD disks, or DAT) is required to capture the output of analog playback

equiprnent (obsolete or curent) and to Save it on new media in digital form. Cornputer systems can also be employed in the process of converting analog audio to digital computer files (such as

in MP3 format) for transmission via the Internet. As with text and image files, computer software

exists to manipulate digital audio data and which can determine characteristics of the new file

(e.g., logical format, size, content).

Digitization of rnoving images, from an analog film or video source, is accomplished in a

similar way as for audio. Obtaining a digital surrogate of an analog film or video original requires:

compatibility of output and input specifications between the analog playback and digital recording

devices; software definition of file format, size and content; and storage on magnetic or optical

media.

3.2.2 Digitization For Access

Reasons stated a bove for the rush towards digitization refer to the sig nificant advantages

offered for collections dissemination and use. There is general agreement today that digitization

is first and foremost an access tool, but it is also regarded as a strategy intimately connected with

more direct strategies for preservation (Le., preventive conservation, treatrnent, accommodation)

in any comprehensive approach to digital preservation (Conway 1994; Kenney 2000; Ostrow 1998; Smith 1999; Webb 1996).

The advantages (and many of the limitations) of digitization as an access strategy are based in its technology. Digital collections are in a form which can be delivered electronically anywhere and anytirne (infrastructure permitting), they can be viewed at the size and resolution necessary for the particular task (equipment permitting), they can be downloaded and saved for later use (if copyright laws allow it), and they have the potential to be viewed or used simultaneously, by the sarne means of access and at the same instant, as other types (text, image, audio-visual) of digital records or documents. Digital technology offers further advantages in consulting electronic collections such as the ability to "virtually" use items existing in different institutions at the same time, the ability to digitally enhance or modify images to suit a specific need, and the ability to use associated digital tools such as databases and search tools to help locate information (Smith 1999). Providing enhanced means of access to collections through digital technology, either in place of or in support of more traditional means of access, is a strong motivation for the adoption of digitization practices by heritage institutions.

3.2.3 Digitization For Preservation

The adoption of a digitization program as the foundation of a preservation strategy is limited. Two possible applications and the limits of such a strategy were noted by Eway: "There are two ways to realize prese~ationobjectives through digitization: creation of a surrogate to preserve the original or creation of a highquality reproduction to replace the original. The first is easier to achieve through digitiiing than the second." (1998, 142).

On-site researchers will, in many cases, accept the use of a digital surrogate in the place of an analog original- Off-site researchers will Iikely prefer a surrogate if it means the digital object will travel (electronically) to their location rather than the researcher having to visit the institution.

In this way digitization serves a preventive preservation function by reducing the risk of damage to the original from poor handling, accidents, theft, exposure to potentially harrnful environmental conditions, or other such dangers. This preservation function may be the first objective of a digitization project or it rnay be a secondary benefit of an intent to provide wider access to collections. The claim that a digital surrogate will help to protect the original is logical, but putting collections on-line also increases demand for them (Kenney 2000) and it remains to be documented whether al1 of the increased dernad can be met by the digital surrogate.

The second preservation objective suggested above, the replacement of an analog original by a digital surrogate is as difficult to achieve as it is controversial. The limits of analog-to- digital copying technology in capturing al1 essential attributes of an original which may be important to current or future scholarship is why a "digitize and discard" approach is disputed in archivesg. Even if the digital surrogate could capture al1 necessary information, the difficult long- term preservation issues associated with digital forms (see section 2.4) seriously challenge any inclination of not retaining the original, at the very least, as a backup.

The adoption of digitization as a preservation copying strategy is also up against another formidable and well established tradition: the standard that preservation microfilming and photography has set as media with long-term potential. Recent work stiIl supports microfilming as the preservation reformatting option of choice for analog originals, as Smith observed: "Given the as yet unsolved problem of digital longevity, digitization is not accepted as a form of preservation reformatting, as microfilming is." (2000, 36). The unsolved problerns Smith refers to are the varied and complex topics reviewed next.

A further consideration in this area is cost For digitization (where the digital surrogate replaces a deteriorating original analog object) to be considered as an effective preservation strategy, the long-term costs for storage, access, refreshing and migration (or other approach) of

Koltun refen to debates in archives on the retention or disposai of copied originals and highlights as well the potential for a copying process to distort those attributes of the original record that are retained through digitization (2000). 48 the digital files, and to maintain the necessary equipment, software and expertise over time to access thern, are factors which must be considered when deciding on which surrogate media to employ.

3.3 Staying Digital

We have looked at archive and library materials which are digital at the point of creation and at those created as digital surrogates of analog originals. The end result of both paradigms are digital objects which, if both are considered to have enduring cultural value and should be preserved, face the same challenges for their futurity. "Information in digital form - the evidence of the world we live in - is more fragile than the fragments of papyrus found buned with the

Pharaohs." (Conway 1996, 3). The sub-sections below describe the technological challenges of digital preservation, or "e-preservation" (applying the convention established by such phrases as e-commerce, e-banking, e-mail, etc.): ensuring the accessibility of fragile digital information for current and future use.

3.3.1 Permanence of Media

Media comrnonly used for the storage of digital data, as described above, are magnetic tape and disks, and optical disks. Life expectancy of digital media is a measure of its ability to retain the integrity of information encoded on it as measured by maximum acceptable data error rates. Deterioration of the digital artefact results in its inability over time to retain data and is caused by rnany of the same factors which threaten the useful lifetime of analog media: care and handling, storage conditions, frequency and method of access, and inherent vice (Harvey 1995). 49

Van Bogart has estirnated the life expectancy of digital magnetic tape to be 10 to 30 yearsjO

(1995) and for optical disks to be 50 to 100 years (1998) when "properly cared for". The wide range in these estimates accounts for the variety of quality, format and encoding technologies available from different rnanufacturers in a commercial setting. However, the importance ascribed to the permanence of magnetic and optical storage media is put into perspective when one considers the rapid rate of technological obsolescence of their recording and playback technology, which is a far more important issue to consider.

3.3.2 Hardware and Software Obsolescence

"lt is only slightly facetious to Say that digital information lasts forever - or five years, whichever cornes first." (Rothenberg 1995, 42). The five-year tirne period referred to is an estimate of the life cycle for the introduction and abandonment of digital systems in the marketplace. Consumer demand for faster cornputers, more compact data storage formats (seen in the evolution from 8 inch to 5% inch to 3% inch cornputer diskettes), and newer versions of software programs force manufacturers to bring new products onto the market and to abandon support for older ones (which also happens to be to their economic advantage). Obsolescence of software refers to the inability of current versions of software to read files produced by earlier versions of the sarne product. This "backward c~mpatibility",as well as the ability of software to read files formatted by cornpeting programs (interoperability) is reported to be expensive and difficult for software manufacturers to provide and is therefore rarely included to the degree required by repositories of digital information (Task Force on Archiving of Digital Information

'O In this reference, Van Bogart determined the life expectancy (LE) of Hi Grade VHS magnetic tape as the period between manufacture of the tape and the point when 12% of the binder polymer has hydrolyzed (which would result in significant data loss). The LE of Hi Grade VHS tape was determined to be 10 years under storage conditions of 25°C at 50% RH and 30 years at 20°C at 50% RH. 50

1996). Therefore, the shorter life cycle of software effectively renders obsolete the traditional preoccupation with preserving the physical artefact as the primary means of retaining the information it contains. Digital information rnust be moved foward from an older technological environment to a newer one before it becomes "stranded" and inaccessible due to software or equipment obsolescence. The original digital artefact acquired or produced will eventually have no informational value to the collecting institution once it can no longer be read. Debate over which strategy to ernploy to combat obsolescence and to keep digital information accessible is at the forefront of discussions on digital preservation. Strategies of refreshing, migration, and ernulation are exptained below. Gilliland-Swetland has noted other experirnental approaches, such as persistent object preservationl1, but they are still in their early stages of development and are therefore not covered here (2000).

3.3.3 Refreshing

Refreshing is the process of copying digital information from one medium to a newer one without a change in logical format or content (Task Force on Archiving of Digital lnforrration

1996). Levy provided an example and an analogy: computer files rnay be refreshed by rnoving or copying them from a fioppy disk ont0 a CD-ROM in the same way as an information on fragile paper may be "refreshed" (providing continued or enhanced usability) by photocopying it ont0 permanent paper stock (1998). Refreshing is often associated with actions to incrementally move digital files foward through successive versions of software or formats using the same computer platfonn or technology. This strategy, a continuous and incremental approach in an environment

" See the article Collection-Based Persistent Digital Archives - Part 1, D-Lib Magazine, Vol. 6, no. 3, March 2000 (available at http:llwww.dlib.orgldliblmarch00/moorelO3moore-pti .htrnl) for a description of this project involving the US National Archives and Records Administration and the San Diego Supercomputer Center to create a digital archive that is persistent over long periods of time, is scalable, and is concemed with the effective migration of data for content and context 51 where revolution is more common than evolution, will eventually be challenged by software or equipment obsolescence and with the need to move information to a completely new and different set of technological parameters.

3.3.4 Migration

Migration is the periodic transfer of digital information from one softwarelhardware configuration to another, or from one generation of cornputer technology to a subsequent generation. ... Migration includes refreshing as a means of digital preservation but differs from it in the sense that it is not always possible to make an exact digital copy or replica of a database or other information object as hardware and software change and still maintain the compatibility of the object with the new generation of technology. (Task Force on Archiving of Digital Information 1996, 6)

The passage above indicates that migration is a larger concept than refreshing; it includes the added complexity of moving data between different technological environments (operating systern, software, format, display, etc.) and it also acknowledges it to be an imperfect approach to capying. The added compiexity involved with changing technological environments introduces a possibility for loss or distortion of information during the migration process. Authors who point out the shortcomings of migration as a preservation strategy emphasize this potential for losing information which, for exarnple, may define important aspects of graphic presentation (e.g., font selection), editability, functionality, and relationships between data (Levy 4998; Rothenberg 1999).

The report Preserving Digital Information identified the purpose of migration as "to preserve the integrity of digital objects and to retain the ability for clients to retrieve, display, and otherwise use them in the face of constantly changing technology." (Task Force on Archiving of

Digital lnfonnation 1996,6). This statement of purpose identifies continued client access to information as the goal of digital preservation. If there is potential for loss of valuable information during migration then institutions have to determine what will be an acceptable amount of loss

(risk management) with the goal of access in mind. Levy argued that migration cannot 52 accomplish this goal unless a use-oriented approach is central to the implementation of such a strategy so that information important to research is not lost (1998). This suggests that while migration of digital information is an approach now understood to be feasible and effective, it is also a process which requires careful consideration of issues of data loss and for its applicability for more cornplex digital objects. Rothenberg argued that refreshing and migration are. at best. medium term strategies for digital preservation since they have been developed in response to the current crisis of preserving the records of the early digital age (largely textual) which are in imminent danger of being lost, and that they are not suitable for documents of a complexity found today (including hyperlinks, multimedia, etc.), or likely to be found in the future. He suggests that

"any solution to digital preservation that is limited to text will therefore quickly becorne obsolete" and promotes another strategy called emulation (1999, 6).

3.3.5 Emulation

The central idea of the approach 1 describe here is to enable the emulation of obsolete systems on future, unknown systems, so that a digital document's original software can be fun in the future despite being obsolete. Though it may not be feasible to presewe every conceivable attribute of a digital document in this way, it should be possible to recreate the document's behavior as accurately as desired - and to test this accuracy in advance. (Rothenberg 1999, 17)

The citation above describes emulation as the recreation of a vintage technological environment (including the operating system, original authoring or access software configuration, display, output) on future cornputer hardware to access records in obsolete logical formats. In order for emulation to work, the author describes the "encapsulation" of three types of digital data which together become the digital object to be preserved: the document itself and the original software context in which it was created; specifications for the ernulation of the document's original computing platforrn; and supporting documentation about the document and its original technological environment (Rothenberg 1399). 53

For the moment, the emulation approach remains theoretical and largely untestedl*.

Howsver, descriptions of emulation projects undeway involving the University of Michigan, the

National Archives and National Library of the Netherlands, and the CEDARS (U.K.) project show there is promise for this digital presewation concept (Berthon and Webb 2000; Hofman 1999).

Rothenberg's objective to develop a preservation strategy which has a long-term outlook and is independent of specific technological environments is worth noting, but the solution he has proposed has not yet dernonstrated its applicability in the real world and has not replaced migration as the preferred strategy for digital preservation (Berthon and Webb 2000).

3.3.6 Metadata

There are varied interpretations found in the literature for the term metadata, but in relation to digital objects in heritage institutions there are two prirnary types: data describing the creation and content of born digital objects; and data describing the preservation management of digital objects (Berthon and Webb 2000).

Descriptive metadata can include documentation on the circumstances of creation (e.g., original computing environment, directory or file structure, date of creation), cataloging or acquisitions information (e.g., relationship to other files, source, provenance), and data used to facilitate their discovery, retrieval and use in an institutional setting (i.e., archival finding aids) or in the lntemet environment (i.e., subject or keyword tags for search engines). The Dublin Core

l2 Rothenberg reported on a 'small study" which tested the applicability of the emulation approach to preserve digital publications in a deposit library (the National Library of the Netherlands). Described as the first phase of a longer-tenn study, the report claimed "skiking" success when using off-the-shelf emulation software to recreate the appearance and behaviour of digital publications in obsolete formats (Rothenberg 2000). 54 metadata element sett3 is the leading generic standard (not yet a standard in the formal sense) for descriptive metadata which can be applied to assist access to documents made available on the

World Wide Web by archives, libraries, museums, or other publishers (Cathro 1997).

Preservation metadata is technical information about the preservation history, use, or management requirements of a digital object. This type of data also contributes to documenting an object's integrity by recording how and when the bit strearn of information has been handled or manipulated. Strategies for digital preservation discussed above al1 involve some manipulation of the logical format of the record or publication by a computer system. Repeated refreshing or migration has the potential for cumulative and irreversible "damage" to the integrity and reliability of the digital object. For this reason, preservation metadata can be used to document interventions in the digital object over time to maintain the evidential value of the information resource as no trace of change to the digital content would otherwise exist. The authenticity and reliability of digital records over time is increasingly important as they become more prevalent in legal files, hospitals, governments and other institutions where information use has serious implications for society (Day 1997). Metadata, in both descriptions above, becornes a valuable information resource in itself and becomes an integral part of the digital record to be preserved for the future. The National Library of Australia places considerable importance on metadata development for digital preservation: 'We believe we will only be able to manage our growing archive of digital files, in a great range of formats, through the intelligent use of metadata"

(Berthon and Webb 2000.8).

3.3.7 Standards

l3 For a description of this developing standard. and for an ovenriew of metadata in general, see the article Dublin Core Metadata and the Australian MetaWeb Project (Campbell 4 999). The Dublin Core website is located at http://purl.oclc.org/rnetadata/dub~core. With so many different digital technologies available, and the rapid Pace of technological obsolescence, the digital preservation community tries to impiement standards wherever possible to limit potential for the future inaccessibility of electronic information. Presewation strategies, such as refreshing and migration, inevitably pose the question of what new media or format should be used to carry information into the future. As mentioned earlier, decisions about which digital formats or supports will survive over time are offen made by consumers, not preservation specialists. Institutions are faced with making decisions on which available commercial formats and media to employ and to adopt as their standards. The aim, therefore, of recent standards work has been to: limit the number of different forms of digital objects managed by institutions; to slow down cycles of obsolescence; and to define best practices for the preservation of essential attributes of digital records or publications over time, al1 in support of the principle of providing continued access to clients.

Institutions have several policy options regarding the adoption of standards for logical or physical formats. For incoming records or publications they rnay produce a list of the types of formats they will accept (such as non-proprietary or widely used open formats), they may indicate which formats they will not accept (e.g., logical formats which use lossy compression or are volatile in the marketplace), or they may not Iimit the choice of formats in any way (to encourage acquisition, or to cornply with legal deposit arrangements). Refreshing, migration and digitization projects typically adopt logical formats such as ASCII, SGML, PDF, Postscript or TIFFf4which have been adopted as ad hoc preservation standards due to their continued success in the marketplace and the liketihood of their use into the foreseeable kiture. White institutions are unlikety to reject the acquisition of important information in non-standard but still accessible formats, timiting the array of different logical and physical formats to be managed could potentially

l4 This selection represents the list of acceptable logical file formats for the transfer of electronic records from government departments to the British Public Record Office (PRO) (United Kingdom 1999). 56

increase the quality and quantity of information successfully rnigrated forward (Webb 1996).

Likewise for physical formats: incoming collections may arrive in a lirnited or wide variety of format types (e.g., diskettes, open reel tape, tape cartridges, optical media) and institutions will decide on which physical media digital objects will be carried through cycles of preservation. The decision on which format andlor media to be employed in a digital preservation project can determine the effective life cycle of the digital objecuartefact. If standards can be applied it is likely the

information will be accessible over a longer period of time before it again approaches obsolescence.

Standards for best practices in digital preservation include directions or recommendations

for storage and handling, digitization and scanning resolution, image quality, data compression

techniques, database structure, and other processes or applications. In these areas as well, there

are competing standards to choose frorn, and they are only applicable to specific steps in the

continuum of digital preservation. Where formal standards are lacking, collective use of certain

formats or practices by institutions constitute the establishment of de facto standards in the

preservation community .

For these reasons there is generat recognition that while standards development must

continue in an effort to bring a greater degree of order or conformity to digital materials or

processes, they will not provide complete or comprehensive solutions to the cornplex problems in

digital presewation (Berthon and Webb 2000; Gilliland-Swetland 2000; Webb 1996).

3.4 Summâry: Always Digital?

Technological issues in digital presewation lead tc larger questions and broader

challenges to preservation practice in heritage institutions that cannot be answered solely by the

adoption of technical standards, best practices, or by a thorough grasp of digital technology by

conservators, archivists, librarians or managers. These issues bring into question the relevance 57 of accepted pn'nciples of heritage preservation upon which existing policy is based. For example:

a bom digital objects challenge principles defining the essential characteristics of archival

records and library publications;

digitkation, and the use of the digital surrogate produced, transform principles of access,

intellectual property rights, and the status of copies in the institution;

a the permanence of physical formats for digital media, in the context of technological

obsolescence, becornes a moot point and alters traditional preservation principles of

respect for originals, and preventive preservation;

obsolescence of hardware and software, resulting in the requirernent to keep digital

objects current with the technological environment, modifies the principle of balance

between access and preservation;

a strategies for digital preservation challenge the applicability of preservation pnnciples of

minimum intervention and reversibility to digital objects;

a rnetadata requirements modify pn'nciples of documentation for intellectual control,

cataloguing, and preservation treatment;

a standards development, in the complex and rapidly evolving field of digital technology,

force large institutions and organizations to extend principles of cooperation, partnership,

and leadership. 3.5 Works Cited in Chapter 3

Angus Reid Group, Inc. 2000. Face of the Web Study Pegs Global lnternet Population at More Than 300 Million [Press Release]. Angus Reid Group, Inc., [cited 13 April 20001. Available from: http:/langusreid.com

Australia. 1995. Statement of Principles for the Preservation of and Long-Term Access to Australian Digital Objects. Canbera: National Library of Australia. Available from: kU~-ll~ansrstml rr-., -ril-i-rlA;-;b-lI-A-- LC-I wv vv vv,l IA.~WV.auI flawuaytmu PI 11 ILI IU 1 ~t

Australia. 1997. Managing Electronic Records. Canberra: National Archives of Australia. AvaiIa ble from: http://www.naa.gov.aulrecordkeeping/erlmanage~er/what~record.html

Berthon, Hilary, and Colin Webb. 2000. The Moving Frontier: Archiving, Preservation and Tomorrow's Digital Heritage. Canberra: National Library of Australia. Available from: http:/Iwww.nla.gov.au/nla/staffpaper/h berthon2. html

Bullock, Alison. 1999. Preservation of Digital Information: Issues and Current Status. Ottawa: National Library of Canada. Available from: http:/lwww.nlc- bnc.ca/pubslnetnotes/netnote.htm

Campbell, Debbie. 1999. Dublin Core Metadata and the Australian MetaWeb Project. Canberra: National Library of Australia. Available from: http://www.nla.gov.au/nla/staffpaper/dcarnpbelt 1.html

Canada. 1985. An Act Respecting the National Library. In Statutes of Canada, 7985. Ottawa: Queen's Printer for Canada.

Canada. 1987. An Act Respecting the Nationat Archives. In Statutes of Canada, 7987. Ottawa: Queen's Printer for Canada.

Canada. 1997. Preparing Canada for a Digital World - Final Report of the Information Highway Advisory Council. Ottawa: lndustry Canada. Available from: http:llstrategis.ic.gc.ca/ssglih0 l65Oe. html

Canada. 1999a. Connecting to the Canadian Experience: Diversity, Creativity and Choice (Government Response to the Ninth Report on the Standing Committee on Canadian Hentage). Ottawa: Canadian Heritage. Available from: http:lh.Nww. pcti.gc.calmindeplmisdexperience/contents.htm

Canada. 1999b. Electronic Records Policy. Ottawa: Nationat Archives of Canada.

Cathro, Wawick. 1997. Metadata: An Overview. Canberra: National Library of Austrafia. Availabte frorn: http://www.nla.gov.au/nla/staffpaperlcathro3.html

Conway, Paul. 1994. Digitizing Preservation. Library Journal (February):42-45.

Conway, Paul. 1996. Preservation in the Digital World. Washington: Commission on Preservation and Access. Available frorn: http:llwww.clir.orglpubs/reportç/conwayU

Conway, Paul. 1999. Digital Technology Made Simpler. In Preservation of Library & ,4rchival Materials: A Manual, edited by S. Ogden. Andover, MA: Northeast Document Conservation Centre. Available frorn: http://www.nedcc.org/plam3/manhome. htm

Conway, Paul. 1999b. The Relevance of Preservation in a Digital World. In Preservation of Archiva1 & Library Materials: A Manual, edited by S. Ogden. Andover, MA: Northeast Document Conservation Center. Available from: http://www.nedcc.org/ptam3/manhome. htm

Day , Michael. f 997. Extending Metadata for Digital Preservation [Online Journal]. Ariadne, [cited 18 April2000). Availa ble from: http:l/www.ariadne.ac.u k/issue9/rnetadata

English, John. 1999. The Role of the National Archives of Canada and the National Library of Canada. Ottawa: Canadian Heritage. Available from: http://www.pch.gc.ca/wn- qdn/arts/english.htrnl

Erway, Rickey L. 1998. Options for Digitizing Visual Materials. In Going Digital: Strategies for Access, Preservation, and Conversion of Collections to a Digital Format, edited by D. L. DeWitt. New York and London: The Haworth Press, Inc.

Gilliland-Swetland, Anne J. 2000. Enduring Faradigm, New Opportunities: The Value of the Archival Perspective in the Digital Environment. Washington: Council on Library and lnformation Resources. Availabte from: www.clir.org/pubs/reportç/pub89/pub89.pdf

Harvey, Ross. 1995. The Longevity of Electronic Media: from Electronic Artefact to Electronic Object. Paper read at Multimedia Preservation: Capturing the Rainbow. at Brisbane. Available from: http://www.nla.gov.au/niac/meetings/npo95rh. html

Hofman, Hans. 1999. 'Shooting at a Moving Target'. The Development of a Repository for the Preservation of Digital Information (records). Paper read at Second DLM -Forum, at Brussels. Available from: http://www.archief.nl/digiduur/03-thema/shooting.htm

InterPARES Project. 2000. InterPARES Project: Background, [cited March 28 20001. Available frorn: http:llwww.interpares.orglbackground. htm

Kenney, Anne R. 2000. Mainstreaming Digitization into the Mission of Cultural Repositories. In Collections, Content and the Web. Washington: Council on Library and lnformation Resources. Available from: http://www.clir.org

Koltun, Lilly. 2000. The Promise and Threat of Digital Options in an Archival Age. Archivaria 47:114-135.

Levy, David M. 1998. Heroic Measures: Reflections on the Possibility and Purpose of Digital Preservation. In Digital Libraries 98: The Third ACM Conference on Digital Libranes., edited by 1. Wilson, R. Akscyn and F. M. Shipman III. New York: Association for Cornputing Machinery.

Lynn, M. Stuart. 1998. Digital Preservation and Access: Liberals and Conservatives. In Going Digital: Strâtegies for Access, Presenfation, and Conversion of Collections to a Digital Format, edited by O. L. DeWitt. New York - London,: The Haworth Press, Inc.

Lynn, M. Stuart and the Technology Assessrnent Advisory Cornmittee to the Commission on Preservation and Access. 1990. Preservation and Access Technology: The Relationship between Digital and Other Media Conversion Processes: A Structured Glossary of Technical Tenns. lnformation Technology and Libraries (December):309- 336. Available from: http://palimpsest.stanford.edulbyauthllynn/glossary

May, Kathryn. 2000. Poor Records Threaten Our National Memory - lnformation May Be Lost To Future Generations, Chief Archivist Womes. The Ottawa Citizen, 9 April.

Ostrow, Stephen E. 1998. Digitizing Historical Collections for the Internet. Washington: Commission on Presewation and Access. Avaitable from: http:l/www.clir.org/pubs/reports/ostrow/p 7.html

Rothenberg, Jeff. 1999. Avoiding Technological Quicksand: Finding a Viable Technical Foundation for Digital Preservation. Washington: CounciI on Library and lnformation Resources. Available frorn: http:llwww.clir.org/pubs/abstract/pub77. html

Rothenberg, Jeff. 2000. An Experiment in Using Emulation to Preserve Digital Publications. The Hague: National Library of the Netherlands. Available from: http://www. kb.nl/nedlib/resultslemulationpreservationreport.pdf

Smith, Abby . 1999. Why Digitize? Washington: Council on Library and Information Resources. Available from: http://www.clir.orglpubs/abstract/pub8Ohtml

Smith, Abby. 2000. Library Collections Online. In Collections, Content and the Web. Washington: Council on Library and Information Resources. Available from: http:/lwww.clir.org/pu bs/a bstracüpub88abst. html

StiIIe, Alexander. 1999. Overload: There's just no way to Save al1 the information of the information age. The New Yorker, 8 March, 41-44.

St-Laurent, Gilles. 1996. The Care and Handling of Recorded Sound Materials. Ottawa: National Library of Canada. Available from: http://palimpsest.stanford.edu/byauth/st- laurentlcare.html

Task Force on Archiving of Digital Information. 1996. Preserving Digital Information: Report of the Task Force on Archiving of Digital lnformation. Washington: The Commission on Presewation and Access and the Research Libraries Group. Available frorn: http:/lwww .rlg .org/ArchTF/

United Kingdom. 1999. Management, Appraisal and Presewation of Electronic Records. Vol. 2: Procedures. London: Public Record Office. Available frorn: http://www.pro.gov.uklrecordsrnanagernent/eros/defa~lt.htm

United States. 1997. Ready Access to Essential Evidence - The Strategic Plan of the National Archives and Records Administration, 1997-2007. Washington: National Archives and Records Administration. Avaiiable from: http:/lwww.nara.gov/nara/vision/naraplan.htmi

Van Bogart, John. 1998. Letter to USNews & CLIR - 19 Feb 1998 [Electronic document]. [cited 17 April2000]. Available frorn: http://www.cd-info.corn/cdic/lndustry/news/letter- 190298.htrnl

Van Bogart, John W.C. 1995. Magnetic Tape Storage and Handling, A Guide for Libraries and Archives. Washington and St Paul: The Commission on Preservation and Access and the National Media Laboratory.

Webb, Colin. 1996. Future Directions in Access and Preservation Technologies and New Electronic Formats. In National Conservation and Preservation Strategy Public Forum: National Library of Australia. Available from: http:l/www.nla.gov.aulnla/staffpaper/cwebb3. html

Webb, Colin. 1999b. Preservation of electronic information: what we should be thinking about now. International Preserva tion News, March, 8-1 3.

Woodyard, Deborah. 1999. Practical Advice for Presewing Publications on Disk. Paper read at Information Online and On Oisc '99, at Sydney. Available from: http:llwww. nla.gov.au/nla/staffpaper/woodyard2.html CHAPTER 4

TOWARDS A POLlCY MODEL: PRECEDENTS AND PRINCIPLES

Universal adoption of digital technologies as described in the previous chapter for the creation of records and publications presents a formidable challenge, not only to the practice of presewation, but also to its guiding principles. The meaning of traditional preservation principles is transformed by the digital revolution. Tenets of respect for the integrity of the object, maintenance of authenticity, documentation, and minimal intervention (Matero 2000), long held as sacred presewation ethics, remain valid but shift significantly in meaning when confronted by digital objects. As principles shift in meaning, traditional policy goveming preservation activities in institutions must also change to refiect these new concepts and approaches. Digital preservation has advanced to a point where larger heritage collecting institutions and consortia of smaller ones world-wide', having learned from pilot digital preservation projects, appear ready now to apply their acquired experience to the development of digital preservation policy. Many other institutions are waiting to follow a solid lead and to adapt a rational policy modeL2

This chapter will examine how preservation policy in archives and Iibraries is changing

' For a report on major international collaborative projects see The Moving Frontier: Archiving, Preservation and Tomomw's Digital Hefitage (Berthon and Webb 2000).

An RLG survey (1998) reported that only one third of member archives and libraries who responded have written policies on digital presewation. It was suggested that "the lack of good models for digital preservation and confusion about the most appropriate methods and approaches are major obstacles to developing effective policies and practices" (Hedstrom and Montgomery 1998, 14). It was also reported in this suwey that 51 of the 54 respondents planned on developing new digital preservation policy during the period 1998-2001. 63 to refiect the preservation principles of the digital age. tt will begin by reviewing a mode1 for preservation policy for the predigital age synthesized from recommendations and suggestions from a number of standard sources (section 4.1, Preservation Policy in the Pre-Digital Age), and will then examine how traditional presewation principles are modified by the demands of digital preservation (section 4.2, Principles for e-Preservation).

4.1 Preservation Policy in the Pre-Digital Age

A change typically involves a move away from the status quo to another anticipated, but perhaps largely unknown, new state. The need for change can be predicted or sudden, the scope of change can be evolutionary or revolutionary, and the impact of change can Vary from inconsequential to profound. The previous two chapters on cultural policy and digital technology have suggested that changes forced upon heritage institutions by the pervasive use of digital technologies are dificult to predict, revolutionary, and have profound consequences for the image, kinction and mandate of heritage institutions. Policy development is, therefore, crucial and fundamental to effective preservation management of digital holdings as a mechanism for managing change in this volatile period. An added element of urgency in decision-making exists within an environment of rapid change and technological obsolescence, reinforcing the need for clear policy.

In order to determine what changes in preservation policy have occurred, or need to occur, it is necessary to first review the known prior state. Preservation policies in archives and

libraries, if not written or revised within the last 10 yean3, address what might be considered

The late 1980's is suggested as a tuming point in the evolution of computing technology as it marked the beginning of the 'networkingn era. The interconnection of personal cornputers and client-server architecture made local and global networks possible (i.e., the Internet) and encouraged the creation and exchange of digital information. Although electronic digital data has existed since the 1940's, the widespread use of al1 kinds of networked computing devices in daily Iife is essentially a phenornenon beginning in the last decade of the 20" century (International Council on Archives 1997). 64

"traditional" preservation concems. These are typical preoccupations of heritage institutions with largely paper-based, analog collections and include: recognition of the rapid deterioration of paper from the post-industrial revolution period; a preservation management approach which favors collection-level care rather than item-level conservation; an increasing awareness of the importance of preventive conservation activities; the recognition of the growing problem posed by technological obsolescence inherent in analog machine-readable records and publications

(e.g., audio and video recordings on magnetic tape); and the increasing importance given to heritage collections as an aspect of culture and identity.

For an overview of what was typically included in traditional preservation policies, a number of important sources were consulted which advised the archives and Iibrary communities in the development of their conservation policies and strategies in the pre-digital age (i.e., before 1990) (Cunha 1988; Cunha and Grant Cunha 1972; Jensen 1987; Lawrence

1989; Ritzenthaler 1983; Swartzburg 1980). The advice offered by these authors is synthesized below in what might be considered a (historic) generic framework for the purpose, scope, objectives, structure, deteninants and implernentation instruments of a traditional preservation policy.

Purpose

The purpose of an institutional preservation policy is to communicate the institution's principles and intent at three levels: a policy expresses to the public and external clients the organization's continued commitment to the preservation of cultural heritage resources in its care; it communicates management, organizational and operational decisions and direction for the preservation management of holdings for the purpose of strategic or functional planning within the organization; and it provides a frarnework for the operational guidelines and procedures followed or implemented by ernployees.

scope 65

The scope of a preservation policy is normally wide to take into account: a great variety of record or publication types in a collection; a range of preservation options or strategies; a great number of related activities in an institution which have preservation implications (e.g., acquisition, collections management, exhibitions, loans, publications); and the impact of preservation decisions on roles and responsibilities. The desire to integrate presewation objectives with other institutional activities also widens the scope of an effective preservation policy, as Ritzenthaler noted: "conser\!ation must be seen as integral to every activity in an archiva1 repository. ... Every function must be camed out from a conservation perspective. ... As a result of this approach, often termed conservation management, collections will be less endangered and better cared for ... " (1983, 47). Restricting this scope would be other policies of the institution which take precedence in guiding certain activities and direction.

Time is another aspect of the scope of policy. The scope of preservation activity normally includes al1 aspects of protection through the life-cycle of the item or collection beginning with the point of acquisition. A preservation policy should take into account preceding corporate decisions or direction, where relevant and desirable, in an effort to build consistency and stability in approach, and to the extent possible, try to anticipate future preservation issues which rnay affect collections.

Objectives

A traditional preservation policy has one principle objective: the long-term protection and care of the institution's holdings to enable their continued availability for use by clients.

Supporting objectives include striking a balance between competing objectives of the institution

(as in the tension between preservation and providing access), assigning pnonty for the application of preservation resources (financial and human), and to integrate preservation values with other aspects of the institution's vision.

Structure The structure or content of a preservation policy will be pecutiar to each institution. The organization, culture, mandate and resources of the institution will al1 contribute to the shape and scope of their intemal policy. Figure 1 is a synthesis of outlines for preservation policies recomrnended by Lawrence, Chapman and Cunha and is suggested here as representative of traditional preservation policies in heritage institutions. A brief explanation of the headings presented below is included as Appendix A.

Figure 1. Generic Outline of a Traditional Pres on Policy

1.0 Purpose 2.0 Application 3.0 Authorities 4.0 Definitions 5.0 Rotes and Responsibilities 6.0 Policy Staternents Accommodation Acquisition Management Resource Allocation and Priorities Preventive Preservation Examination and Treatment Copying Preservation Research and Developrnent Preservation Information Security and Disaster Contingency Planning Use of Collections Copyright Preservation Training Special Considerations 7.0 Audit and~~valuation 8.0 Promulgation 9.0 Appendices

Deteminants

Policy deteminants can be identified as "the causai forces which rnay be considered responsible for generating policies. These may range From broad environmental forces, such as level of econornic development and political culture, to more specific ones, such as public opinion, party conflict, elections, interest group pressure and media exposure" (Pal 1992,20). 67

This definition is aimed at public policy at a national level but is equally applicable within public

(and possibly private) heritage institutions which have their own environments, cultures, conflicts and pressures. These causal forces can also be categorized as internai (specific) or extemal

(broad) to the heritage institution.

Interna1 determinants of preservation policy in heritage institutions have traditionally been dominant and include factors such as the results of collection condition surveys, patterns of patron use of holdings, the human and financial resources available within the organization, mission and mandate statements, and the state of accommodation for the holdings. Extemal forces include cultural policy direction of govemment, levels of funding, the expectations of the general public and of clients, and as heritage institutions became more relevant to national cultural objectives, they also included the prevailing econornic, political and social priorities of the state. The activities of other heritage institutions and partners in preservation initiatives may have also influenced policy determination.

Instruments

Pal explained that "instruments are the specific means whereby a policy, as a response to a problem, is implementedn(1 992, 11). The implementation of a traditional preservation policy is dependent upon instruments such as operational procedures, strategies, and plans which determine how resources are used to address perceived problems. Plans and mechanisms for preservation resource allocation, priority setting, collections management activities, and for access to holdings are instruments which should have their basis for authority in a preservation policy. Forrnal agreements with partner institutions are also instruments through which policy goals are realized. Communications, awareness and advocacy activities

(e.g., publications, exhibitions, participation in working groups and cornmittees) are effective instruments used by institutions to implement preservation policy aimed at extemal clients and the general public. 4.2 Principles for e-Preservation Policy

The terrn "preservation" is an umbrella under which most librarians and archivists cluster ail of the policies and options for action, including conservation treatments. It has long been the responsibility of librarians and archivists - and the clerks and scribes who went before thern - to assemble and organize documentation of human activity in places where it can be protected and used. The ethic of preservation as coordinated and conscious action to increase the likelihood that evidence about how we live, how we think, and what we nave accompiisheci wiii survive, nowever, is a recent phenornenon. Traditional preservation as "responsible custody" is successful when the value of the evidence exceeds the cost of keeping it, when this evidence has a physical form, and when the roles of evidence creators, evidence keepers, and evidence users are rnutually reinforcing. (Conway 1999, 2)

The shift described by Conway from an approach to presetvation based on "responçible custodyn(where the act of collecting and holding a physical object constituted adequate preservation) to one which is more concerned with preserving evidence and context is representative of the transformation of preservation principles he described in a chapter of

Preservation of Archival and Library Materiais: A Manual. His work is relevant to this examination of the evolution in preservation policy as it suggested how preservation principles, which are the basis of policy formulation4, are transforrned by the digital age. Conway proposed five core principles of traditional preservation practice (longevity, choice, quality, integrity, and access) and concluded they remain relevant, but are transforrned, in the digital world. The transformations he described are each the result of different aspects of technology (i.e., obsolescence, capture and display technologies, communications) and are described as shifts in emphasis from object-oriented concerns (Le., physical formats, physical access, image quality standards) to content-oriented issues (Le., intellectual integn'ty, data authenticity, data capture efficiency) (1999). The difficulty in applying Conway's work is that it is also a discussion of digital imaging technology and the questions raised when this activity is included as an aspect of digital preservation. The two subjects are linked (digitization can play a role in a comprehensive

The importance of pnnciples as the basis of policy was expressed by UNESCO in their definition of policy in the cultural sector as 'a body of operational principles, administrative and budgetary practices and procedures which provide a basis for action by the statem(1970). 69 digital preservation program), but the author does not adequately separate them into clear statements on the transformation of the overriding principles for digital preservation and statements on contributing or supporting principles for digitization.

A shift in ernphasis to preserving the informational content and context of the archival record over its physical form suggests that content and form have becorne independent aspects of a digital object to be preserved. The literature discusses the need to migrate data through successive physical carriers to preserve access to the digital information but explores to a lesser extent the degree to which the physical carrier has value as part of the record. Technical discussions see the principle issue as being the persistence of data over tirne, not the preservation of the physical carrier, and treat the "digital object" as something dissociated from its physical carrier (Conway 1999; Hamey 1995; Rothenberg 1999). This is a logical reaction given the problems of technological obsolescence and media longevity. There exists also a counter-argument for digital collections which asserts that a record only exists when it has physical form and that intellectual content is always dependent on its physical carrier to relay meaning. An explanation may be that content and form are interdependent in a physical sense but not in a logical sense. For example, content and physical form are interdependent attributes which must exist together to constitute an archival record, but the logical format of the content data and the type of physical media are not interdependent and rnay change without affecting the value or status of the other. The placement of ernphasis on the long-term preservation of the original content data pushes the content-form debate into the background in the preservation-oriented Iiterature.

Conway argued that there is continued relevance for his five traditional principles in the digital age. Their transformation into more outward-looking and technologicallytentred principles is consistent with the general internationalizationof cultural policy discussed in

Chapter 2 and with the globalizing and converging nature of technology expiained in Chapter 3.

The intent of the following text is to examine further the transformation of preservation principles by digital technology from a perspective closer to the process and structure of policy 70 development and within the same framework presented earlier in section 4.1 (purpose, scope, objectives, structure, determinants, instruments).

Purpose

The purpose of a digital preservation policy will remain essentiaily the same as one for traditional materials, but it will seek to extend its scope and objectives to include those areas where technology has broadened the reach of preservation. For exampte, the purpose of a preservation policy to communicate institutional principles, intent, and actions for the long-term preservation of holdings will remain the focus but it will also be communicated further to higher levels of political and public sector control, to information creators, to technology and standards creators, to the private commercial sector, to other cultural heritage institutions, and to a wider section of the general public. The purpose of broader communication is to influence external policy determinants such as how digital objects are created, how they are used by clients, the quality of commercial products (e.g., physical formats, equipment), and the creation and implementation of standards (e.g., for metadata, physical and logicat formats, communications protocol).

The preservation principles comrnunicated by the policy will reflect a greater recognition of the impact of the pervasive use of digital technology to capture and document evidence of contemporary society and the externalization of institutional activities. These principles should also reflect or promote the most conternporary application or interpretation of the professional ethics and standards of the broad cultural heritage cornmunity.

Scope

The scope of policy for digital preservation is broadened to include new types of technologydependant records, the preservation of technologid systems (records, their originating software environment, and possibly their originating hardware configuration), new preservation processes and strategies for digital data, the entire records life-cycle (from creation to disposition), new processes aimed at satisfying increasing demand for access (i.e., digitization), and anticipated new technological deveiopments (e.g., next-generation Intemet, post-digital formats). This suggests that the impact of digital technology is felt more strongly throughout the operations of a collecting heritage institution. Therefore, the scope of preservation as a participant or leader in most, if not all, key activities of the institution is also widened. This extends the traditional principle that preservation is a corporate activity and a responsibility shared by everybody in the institution.

A strategy for distributed custody or management of digital objects as promoted by many archives and librariesSirnplies a greater scope for providing preservation advice and direction to creators, monitoring and supporting their practices, and in participating in cooperative ventures to an extent not required or encouraged by traditional media presewation. A wider scope for preservation policy encourages cooperation between parties and a convergence of principles beîween professional disciplines engaged in heritage preservation. The convergence of technologies described in chapters 2 and 3 is echoed here as a convergence of principles towards reaching a broader series of stakeholders (from creators to users) and accomplishing several complernentary goals (intellectual control, presewation, access) through a single

A strategy for leaving certain categofies of archival electronic records in the custody of their creators has been suggested as an effective means for their long-terrn preservation and accessibility. For one description of this strategy, see the Cook article Leaving Archival Electronic Records in Institutions: Policy and Monito;.ing Anangements at the National Archives of Canada. This strategy is invoked for electronic records when it is deterrnined that the record has a greater likelihood of long-terrn survival if it is retained by the originator rather than transferred to an archives at the point of appraisal. The cost of transfer (which may involve copying or migration), the active status of the record, the logical nature of the record(s) (e.g., a cumulative database, a bibliographic system), and other factors, are determinants considered by archivists when making acquisition decisions which may lead to the "leaving our of archiva1 records (1995). A parallel approach exists in libraries for a distributed preservation/access responsibility. The abundance of on-line publications in the lntemet environment has prompted libraries to consider a distributed approach to archiving and providing access to these digital objects. One example is the PANDORA project for Australian on-line publications where national and regional libraries collaborate as networked repositories for the national digital irnprint (see http://pandora.nla.gov.au/pandora/). A model for distributed management of Canadian on-line publications has not been developed but is being explored by the Canadian Initiative on Digital Libraries (CIDL, see http:/hwwv.nlc-bnc.calcidI). framework (digital preservation policy, plans).

Objectives

The objectives of a digital preservation policy, as with its purpose and scope, are consistent with those general objectives typically identified in a policy for traditional media but are broadened or extended to account for new media and processes, and new priorities for their use and access. "Digital preservation typically centers on the choice of interim storage media, the life expectancy of a digital imaging system, and the expectation to migrate the digital files to future systems while maintaining full functionality and the integrity of the original digital systemn

(Conway 1999, 9). Here Conway listed three broad objectives to illustrate the transformation of the five traditional preservation principles of longevity, choice, quality, integrity and access withiri his technology-centered approach. From this statement we understand that meeting technological challenges in the choice of storage media, rnanaging obsolescence of digital systems, and rnigrating data forward are supporting objectives to the overtiding objective of maintaining the original character and content of the digital object over tirne, presumably for the purpose of continued access by clients. A more content-centered interpretation of this staternent would suggest that the principle of respect for originality is transformed from a concern for the integrity of the original physical form to a respect for the integrity of the informational content.

Setting priorities for the allocation of scarce preservation resources is a fundamental objective which relies on a clear articulation of principles from the highest level of management in the institution. Principles for digital preservation priorities will follow a traditional model where al1 objects are respected equally as heritage resources with a detemined value and importance, and priority will be given to those most threatened with irreversible damage or loss. But unlike the traditional model, those digital objects which are no longer accessible (due to obsolescence) will not warrant a higher priority for preservation attention since they canot, with current technology, be made useful again6. In the digital realm, this translates to priority being given to those objects ctosest to being rendered inaccessible by technological obsolescence, regardless of the value of their informational content (assurning they have enough value to warrant retention), or their demand for client access. In practice this is a much more cornplex situation when other priorities come into play. For instance, when prionty must be decided between the urgent needs of traditional and digital collections, or behveen what should be preserved for purposes of current access (e.g., in support of digitization projects) versus what needs to be preserved (near-obsolete formats) for future use.

Archival concems over the authenticity and integrity of data are implied in the quote above but deserve more attention. In archives, maintaining the value of digital holdings rneans assuring that the information accessed by the user is the sarne information that was initially acquired and described and which still relays its context and structure. As explained earlier, the ease of manipulation of digital data, either intentional or accidental, makes possible the alteration or deletion of information wittiout any trace or evidence of the act. A principle objective for archives must therefore be the docurnented management of the digital record over time to guarantee the reliability of its content and meaning. In this case, archival principles for maintaining and docurnenting the integrity and authenticity of a record over time and the principle of docurnenting preservation treatrnents converge into forms of rnetadata.

Preservation principles of minimal intervention and reversibility of treatments are significantly transformed in rneaning, if not rendered obsolete, in the digital age. An objective of digital preservation policy will be to clarify and extend the application of these ideas to new media or to introduce new concepts. Respect for the history, provenance, and physicality of the

In an article describing the preservation practices of the National Digital Library Program of the Library of Congress (USA), Ams described "digital archaeologyn as a lastditch method for the preservation of obsolete digital data. She explained this method as "figuring out how to read stored bits and work out what they mean when systernatic archiving has not been perfomed". This approach is problematic as it is speculative and like emulation, relies heavily on future technology and expertise. The article supports the use of refreshing and migration as a strategy to avoid reliance on emulation or archaeology (2000). 74 object dictates thàt only preservation treatments with the least potential for disturbing or obliterating these subtle quatities will be applied, if required. The certainty of obsolescence of digital formats and the transitory value of the physical object suggest that the concept of minimal intervention has more relevance when considering preservation actions for the information of a digital object than for the physical object itself. Treatments applied to the information (e.g. refreshing, migration) should be "minimalnto the extent that they should disturb to the least extent possible the potential to reproduce the look, feel and content of the original presentation in their new state. But these treatment procedures, the replication or transformation of bit strearn data into new formats (same or different), are discrete and absolute, offering no real variation in degree of intervention. Degrees of intervention could only be considered in the context of choice where refreshing could be considered less interventionist than migration, or where reformatting a file to a lossless format would be considered a lesser intervention than refomatting to a compressed format. As for physical media, minor interventions (e.g., surface deaning, tape re-tensioning) are routinely perforrned (manually or as part of the access systern) but more signiftcant treatments on such media have not developed as damage to the original carrier would probably render the informational content inaccessible and it would be more effective to copy any accessible and uncompted data to a new carrier.

The traditional principle of reversibility is a concept not well suited to digital preservation either as, while copying of digital data between logical and physical formats is theoretically perfect ad infinitum, and therefore cornpletely reversible, there would be no preservation purpose to returning data, by backward migration, to its original obsolete Iogical or physical format (even if the software, hardware and expertise was available to do so). Where this principle retains lirnited meaning is in its relationship to the preservation and continuity of the object's authenticity and integrity. In the traditional worid the removal of repais, supports or inpainting frorn preserved objects will retum the object to an earlier known state should it be required for legal or research purposes. In the digital worid, the addition of any data to the original content of the object (e-g., preservation metadata, access logs, data integrity check 75 results, original operating or viewing software) for the purpose of maintaining authenticity must be distinguishable from the original content and be removable (erasable) without altering the original bit stream.

The maintenance of a technical infrastructure to facilitate long-term preservation and access is a management objective. Traditional media require a physical infrastructure of "bricks and mortar" (e-g., buildings, storage space, containers, shelving, transportation devices, elevators, laboratones etc.) to facilitate their preservation. The infrastructure for digital media can be quite different depending to what extent holdings are retained on- or off-line. In addition to the physicâl infrastructure for preserving physical objects Iisted above, the institution must also commit to maintaining an adequate technical infrastructure (e-g., computer servers, networks, communications systerns, display systems) that will support the rapidly evolving and resource demanding activity of digital preservation and access. This principle of providing maximum protection to on-line or off-line digital holdings extends to practices of data security, back-up routines, and access control.

Traditional policy typically focuses on the long-term preservation of collections. It was suggested by Webb that to meet the same long-term goal, objectives for digital preservation should have a series of shorter tirne-lines and should be incrementai in nature to accommodate the rapidly changing technological environment (1996). This recommendation illustrates the transformation of the pnnciple of longevity suggested by Conway: longevity as a chain of links

(migration of information through successive physical format carriers) rather than a single unbroken line (preservation of the physical object) (1999).

Digital preservation policy will have as an objective the timely provision of advice or support to the coltections acquisition function. This is crucial in the digital worîd as technological obsolescence introduces an aspect of urgency to the acquisition and intellectual control activity of the institution. It also means that the institution must bring the object under 'preservation control" (ensuring current and future access) white the technology necessary to access its infornational content is stitl available. These hoactivities are naturally linked and mutually dependent. This issue becomes critical when the institution has acquisitions or preservation projects backlogged due to resource shortfalls or other delaying factors.

Large or specialized institutions will include leadership as an objective for their digital presewation program in support of the principle of collaboration. Many authors have highlighted this need to collectively tackle the ovenvhelrning array of challenges in this new and evolving field (Hedstrorn and Montgomery 1998; Task Force on Archiving of Digital Information 1996;

Webb 1996). The cal1 for collaboration often crosses traditional boundaries of discipline as archives, libraries and museurns, for example, increasingiy work together to solve common problems.

Structure

The structure of a policy document, as mentioned earlier, is normally tailored to accommodate the needs and character of the institution; therefore, any predeterrnined or recomrnended structure should be used only as a starting point for building a document relevant to the particular organization. However, there are two aspects which can significantly alter the structure and content of a preservation policy: the level of authority it will hold, and the breadth of media it will include.

The level of authority a policy holds will determine the level of detail in direction it will contain. A policy document intended for approval at higher levels of authonty will be broader and more visionary in nature; it will emphasize strategic direction and goveming pn'nciples. In the absence of a formal policy document, other plans and implementation strategy documents which are operational in nature can be considered together as a collective statement of strategic

policy direction7.

The breadth of media to be included within a preservation policy will influence its

Pal noted that in addition to formai documents. public policy can also be expressed by the collective meaning of related plans, procedures, directives or actions, or even by the conscious decision not to act in response to a problem or other stimulus (1992). structure. It is possible for digital media to be included within a preservation policy which addresses al1 types of media in an institution, or a separate policy may be prepared to complement or augment an existing policy for hurnan-readable collections. Figure 1 suggested a format for a geneflc preservation policy for traditional media; Figure 2 uses this generic format and, with the addition of three additional headings, presents a revised structure which can accommodate al1 media types and ail digital presewation issues discussed in this thesis.

Figure 2. Generic Outline for a Preservation Policy to lnclude Digital Holdings (Modifications to the headings presented in Figure 1 are in bold text.)

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1.0 Purpose 2.0 Application 3.0 Authorities 4.0 Definitions 5.0 Roles and Responsibilities 6.0 Policy Staternents Preservation Principles identifies any fundamental differences in preservation approach between human-readable and technologydependent holdings. identifies where traditional preservation principles have different meanings or emphasis for digital holdings includes principles to maintain reliability and integrity of digital holdings introduces new principles for digital preservation Accommodation Acquisition Management Resource Allocation and Priorities Preventive Preservation Examination and Treatment Copying Preservation Research and Development Preservation Information Security and Disaster Contingency Planning Use of Collections Copyright statements which define the limits of digital preservation activities which are controlled by forrnal copyright Iegislation, Le., copying of copyrighted works for collections management or treatmect purposes Preservation Training Leadership in Preservation institutions may state their intent to be innovative in specific or broad areas of preservation, particularly in the development of processes for digital preservation encourage research and development activities encourage collaborative ventures promotes the provision of advice or direction to creators of digital objects 6.16 Special Considerations 7.0 Audit and Evaluation 8.0 Promulgation 9.0 Appendices

Uôfemifiriants

Detetminants external to the institution have a greater impact on digital preservation policy than those internal: technological devetopment is the dominant force shaping how institutions manage their digital holdings. Obsolescence, new communications technology for access and transmission, product survival in the commercial marketplace, and the creative use of new and converged technologies for the creation of records and publications are external forces which exert the greatest pressure on the degree of control that heritage institutions have over their collections and their preservation functions. In addition, the advantages of digital technologies actually increase the strength of traditional external forces such as client expectations (for quick and easy access to holdings), and influence frorn parent political and cultural bodies (such as in recent government initiatives to provide more sewices to citizens on- line8)on the activities of the institution.

Interna1 constraints such as resource levels, available expertise, urgent preservation requirernents of traditional materials, and the continued use of real, as opposed to virtual, means of access to collections (e.g., print publications, on-site exhibitions, on-site reference, loans to other institutions) are still prevalent but are no longer the issues which drive the development of new institutional policy nor do they benefit from reallocated resources.

The federal government announced a Govemment On-tine initiative in 1999 to provide on-line access to al1 govemment information senrices by 2004. The direction to governrnent departments and agencies is to further develop opporkinities for 'single-window" e- service delivery (McKeough 2000). Heritage institutions have responded to this directive with projects to provide on-line access to digital images of collection objects, to collections catalogues and finding aids, to information and enquiry senrices, and increasingly for transactions involving purchase or payment. A similar initiative exists in Australia, see http:/~.naa.gov.au/recordkeeping/gov~online/summary.html. Operational procedures, strategies and plans remain the prirnary instruments within an institution for accomplishing interna1 objectives set out in policy documents. For digital preservation initiatives with external partners, outreach activities, fomal agreements, and cooperative working retationships take on a greater importance and relevance.

Wthin the federal government, forrnal procedures and practices for the creation and management of digital data may be promufgated in acts or guidelines, such as in Treasury

Board directives to federal departrnents and agencies, or as best practices described by interdepartmental cornmittees and working groups. These instruments car, influence or regulate the creation of digital resources in ways which will enable their long-term preservation and access. In Canada the federal government encourages the adoption of best practices and standards in the digital environment through the coordinating work of, for example, the

Information Management Forumg, and the Canadian Initiative on Digital Libraries (CIDL)lO. The

National Archives of Australia exhibits this type of policy instrument also in their comprehensive e-permanence program to encoqrage the use of prescribed standards for the creation of al1 forms of records, including electronic records, in government recordkeeping systems".

Outside governrnent, institutions may exert influence (a policy objective) through participation in the activities of organizations such as the Canadian Council of Archives, the

Canadian Library Association, the Canadian Museums Association or the Canadian Association

The Information Management Forum, chaired by the National Archives of Canada, is composed of senior officiais of government with responsibility for recordkeeping and information management in the public sector and was established to enable collective discussion and resoluticrn of common interest in this broad field. Much of the work of the Forum centres around the effective creation and management of electronic records. See: http:Ihvww.irnforumg i.gc.ca/rnenu-e. html

'O Although nota govemment body, ClDL includes permanent representation from the National Library of Canada on its Steering Committee and acts to coordinate and promote digital Iibrary programs at a national and international level. See: http://www.nlc-bnc.ca/cidi/aboute.htm

" See the National Archives of Australia e-permanence website: http:lhivww.naa.gov.aulrecordkeeping/splash/intro.html 80 for Conservation of Cultural Property, or through participation in research, standards or pilot project activities.

4.3 Summary

Tradition, experience and a successful track record are solid footings on which to launch any new endeavour. In the case of digital preservation they provide a starting point for the developrnent of a new policy model for the information age which builds on existing knowledge and scholarship and incorporates added layers of technological and professional concems.

Traditional preservation policy offers such a foundation as it represents a mature approach to the preservation of varied collections of cultural heritage and reflects advances in professional ethics and institutional vision.

The limits of relying on traditional precedents to explain new paradigrns in the digital age have also been highlighted. Established preservation principles of respect for the integrity of the original, minimal intervention, reversibility, as well as concepts of preventive preservation, custody and access can only partially support the demands of digital coltections. It is more accurate to daim that traditional preservation principles are so substantially transformed when applied to digital materials that in practice they eventually fail to meaningfully describe reality.

More debate on the nature and relevance of preservation in a digital world in the preservation community, and in other related communities (e.g., archivists, librarians, curators, managers, politicians, consumers, manufacturers), is necessary to clarify principles which encompass the preservation of al1 cultural resources, digital or not.

The information presented thus far: an overview of the cultural environment; an understanding of digital technology; an appreciation of changing preservation principles and new approaches; and the role of policy-making represents a reasonable basis for constructing a model for digital preservation policy. The following chapter will add one more source of input to this exercise by considering the direction taken in curent digitai preservation policies from selected national heritage institutions. 4.4 Works Cited in Chapter 4

Arms, Caroline R. 2000. Keeping Memory Alive: Practices for Preserving Digital Content at the National Digital Library Program of the Library of Congress [On-line newsletter]. RLG DigiNews, vol. 4, no. 3, fcited 23 June 20001. Available from: http:/~.rlg.org/preservtdiginews/diginews4-3.html

8erthûi1, Hilarj, md CûhWbb. 2GGG. Th+ hioving ifonlier: Archiking, Preservalion and Tomorrow's Digital Heritage. Canberra: National Library of Australia. Available from: http:/Ewww.nla.gov.au/nla/staffpaper/hberthon2.html

Conway, Paul. 1999. The Relevance of Preservation in a Digital World. ln Preservation of Archival and Library Materials: A Manual, edited by S. Ogden. Andover, MA: Northeast Document Conservation Center. Available from: http:llwww.nedcc.org/plam3/tleaf55.htm

Cook, Terry. 1995. Leaving Archival Electronic Records in Institutions: Policy and Monitoring Arrangements at the National Archives of Canada. Archives & Museum Informatics: Cultural Herifage lnformatics Quarterly 9 (2):141 -1 49.

Cunha, George M. 1988. Methods of Evaluation to Determine the Preservation Needs in Libraries and Archives: a RAMP Study with Guidelines. Paris: United Nations Educational, Scientific and Cultural Organization.

Cunha, George M., and Dorothy Grant Cunha. 1972. Conservation of Library Materials: A Manual and Bibliography on the Care, Repair and Restoration of Library Matenals. 2nd ed. 2 vols. Metuchen, N.J.,: The Scarecrow Press.

Harvey, Ross. 1995. The Longevity of Electronic Media: from Electronic Artefact to Electronic Object. Paper read at Multimedia Preservation: Capturing the Rainbow, at Brisbane. Available from: http:lhyww.nla.gov.au/niac/rneetings/npo95rh.thml

Hedstrom, Margaret, and Sheon Montgomery. 1998. Digital Preservation Needs and Requirements in RLG Member Institutions. Mountain View, CA: Research Libraries Group. Available from: http:/hiww.rfg.org

International Council on Archives. 1997. Guide for Managing Electronic Records From an Archival Perspective. Paris.

Jensen, Craig W. 1987. Developing a Conservation Policy: The Harold B. Lee Library. In Conservation of Library and Archive Matenals and the Graphic Arts, edited by G. Petherbridge. London: Butterworths, Society of Archivists, lnstitute of Paper Conservation.

Lawrence, Sandra. 'l989. Consewation Policies for Museurns. ln Shared Responsibilities: Proceedings of a Seminar for Curators and Conservators, edited by B. A. Ramsay- Jolicoeur and 1. N. M. Wainwright. Ottawa: National Gallery of Canada.

Matero, Frank. 2000. Ethics and Policy in Consewation. The Getty Consewation lnstitute Newsletter 15 (1):5-9.

McKeough, Tim. 2000. Govemment On-Line - Delivering Information and Services to Canadians Via the Intemet [On-Line Article]. Government of Canada, [cited 13 June 20001. Availabte from: http://www.brancher.gc.ca/en/ar/l 01 1-e. htm

Pal, Leslie A. 1992. Public Policy Analysis, An Introduction. 2nd ed. Scarborough: Nelson Canada.

Rikenthaler, Mary Lynn. 1983. Archives and Manuscnpts: Conservation - A Manual on Physicai Care and Management. Chicago: Society of American Archivists.

Fiû:hs;;berg, JzK 7 3s.;ivuidiïîg Te~hnoiogicaiûuicksand. Finding a viaoie Ïechnicai Foundation for Digital Presewation. Washington: Council on Library and Information Resources. Available from: http://www.clir.org/pubs/abstract/pub77.html

Swarhburg, Susan G. 1980. Preserving Library Materials: A Manual. Metuchen, N. J.: Scarecrow Press.

Task Force on Archiving of Digital Information. 1996. Preserving Digital Information: Report of the Task Force on Archiving of Digital Information. Washington: The Commission on Preservation and Access and the Research Libraries Group. Available from: http://www.rlg .org/ArchTF/

UNESCO. l97O. Cultural Policy: A Preliminary Study. Paris: United Nations Educational, Scientific and Cultural Organization.

Webb, Colin. 1996. Future Directions in Access and Preservation Technologies and New Electronic Formats. Canberra: National Library of Australia. Available from: http:l/www.nla.gov.au/nla/staffpaperlcwebb3.html CHAPTER 5

A MODEL FOR DIGITAL PRESERVATION POLlCY

The challenges posed by digital information have increasingly led to recognition of the interdependence between the stages of creation, use and presenration of digital resources and the importance of the legal and economic environments in which they operate. The potential volume of information which could be acquired or digitised, and the need to make the most cost-effective use of limited resources, have emphasised the need for setection, standards and co-operation between different organisations. Organisations are develo ping interna1 policies for the creation, management, and preservation of digital resources and increasingly are sharing their experience in this field. (Beagrie and Greenstein 1998, 11)

The quote above surnmarizes key areas for the attention of heritage institutions when developing policy for digital preservation. It describes a plan for action, and for a preservation policy model to guide this action, which emphasizes managing external pressures (legal, economic), technological challenges and opportunities (volume of data, standards), and the precedents and principles for digital preservation (life-cycle management, appraisal and selection, coIlaboration). These three areas of emphasis were the subjects of discussion in chapters 2, 3 and 4 and will forrn the overall framework for the construction of a theoretical model for preservation policy in this chapter. The content of such a model can be structured according to the outline discussed in the previous chapter. These areas can also be regarded as environments (cultural, technological, policy) in which policy-rnaking operates and which interact as layers in a complex process, each exerting pressure to varying degrees at different tirnes. It is possible that not al1 environments or aspects of them will have relevance in al1 policy-making situations depending on the nature, rote or type of institution. For example, a national archive will 85 be more affected by the cultural and political environment than a local or municipal archive.

Primary sources consulted in the development of this chapter include various preservation policy and strategy documents from selected national institutions which have contributed significantly to the literature on the preservation of digital collections: the Public

Records Office of the United Kingdom (PRO) (United Kingdom 1999a: United Kingdom 1999b). the National Archives of Austrafia (NAA) (Australia 1997a; Australia 1997b; Australia 1997~;

Australia 1997d), the National Library of Australia (NLA) (Australia 1995a; Australia 1995b;

Australia 1999), ScreenSound Australia (SSA) (Australia 1997e), the National Archives and

Records Administration (NARA) of the United States (United States 1997; United States 1998;

United States 2000a; United States 2000b; United States 2000c), and the National Archives of

Canada (NAC) (Canada 1998; Canada 1999; Canada 2000). Citations are made only when the documents are specifically mentioned or when text has been directly quoted, otherwise the institution acronym is used to identify the source of examples or practice. This collection represents information available at the time of writing (July, 2000) as adopted (published) policies, internal working documents (unpublished drafts), and persona1 correspondence with officials in these institutions. It must be recognized that where documents are described as drafts their final version may differ from the state referred to here, as policy documents are subject to revision.

Documents consulted show a range of stnictlire, levels of authority, and intended audience. Included, for example, is a national policy document addressing preservation of cultural property at al1 levels of govemment and in the private sector (Australia 1995a), institutional policy documents intended for internal use and for extemal information (NARA, NAC, NU), and documents which address implementation issues and procedures (SSA, PRO, NAC) within institutions. The classic three-level hierarchy of policy documents (policy, strategy, implementation') are not always apparent in the examples consulted here. For example, policy documents also suggest strategies to follow, and strategies include detailed implementation plans and production targets. This should not be seen as an impediment to policy development or implementation, as local circumstances and the needs of the institution are the most important determinants of policy structure, content and authority.

It is not suggested here that one model for digital preservation policy is appropriate for al1 institutions, but that from documentation consulted for this chapter and from the concepts and technologies exarnined earlier, a theoretical model could be constructed by referring to those policy environments which have specific impact on the institution and which address their problems at the appropriate level. It must also be noted that the objective here is not to analyze existing policy to determine their appropriateness or success, but to show how leading national institutions have chosen to formulate their policy to address the environrnents in which they operate. Policy development in this area of preservation is still at an early stage and a formal evaluation would be premature2.

The objective in this chapter is to illustrate options and direction for the construction of digital preservation policy. In each environment, the following question will guide the analysis:

What are the dominant pressures in each environment and how do existing rnodels for digital

' The three levels or stages in policy development are identified by Howlett and Ramesh: 'Afler a public problem has made its way to the policy agenda, various options have been prepared to resolve it [policy] and a govemment has made sorne choice arnong those options [strategy], what remains is putting the decision into practice [implementationJn(1 995).

The policy-making pmcess is described as a recumng cycle of problem-solving stages of agenda-setting, policy formulation, decision-making, policy implementation and policy evaluation (Howlett and Ramesh 1995). A cycle suggests evaluation would occur at regular intervals (baring any unforseen circumstances) and afier results can be obsewed. The length of time between cycles will depend on the nature of the activity governed by the policy. Cycles of obsolescence in digital technology impose a correspondingly short policy-making cycle of 3-5 years as refiected in the documentation: the NAC suggests a 3-5 year strategy; the PRO recommends review of its policy at 5 year intervals; a comparable length of tirne passed between the previous (1993) and current (1997) versions of the SSA preservation policy (Juddery 2000); and the NLA reports having made revisions to its policy "every couple of yearsn (Webb 2000). preservation policy guide actions toward solutions to these pressures?

5.1 Cultural Environment

The broader cultural environment in which hentage institutions live has an increasingiy direct impact on policy for the management of movable cultural property. In addition to relaying important empirical information and evidence for scholarship, cultural heritage objects hold meaning for personal and group identity, accomplishrnent, and ambition. As such, heritage collections now relate to a wider audience and have a role to play in larger cultural movements and trends.

5.1.1 Cultural Nationalisrn

The appropriation of movable cultural property for nationalist cultural goals is demonstrated in Canada by the increasing use of heritage collections in support of national unity and identity? Pressure on heritage institutions to support such govemment-wide goals is evident and is ultimately expressed in the text of their policy documents. Preservation policy documents promote notions of national unity, character, pride or accomplishment through vision or mission statements which express institutionai principles at the highest level within the organization. Statements typically relate the use of collections for documenting the "national experience" (United States 1997, 9), as "evidence of the cultural richness and diversity of

Australian people, past and present" and to "define who we arem(Austratia 1995a, l), and as

keeping the "national archival heritage" (Canada 2000, art. 6.1 .A). Such statements are usuaIty

Examples include the application of radio and television broadcasting to nationalist policy goals since the 1930ts, the creation of new cultural heritage institutions following the Massey Commission report (1951), and the development of single-window access points for govemment cultural services and resources (Le., Canadian Hen'tage's planned Canada Place website, or the government portal website http:lhAMnrv.canada.gc.ca). 88 only found in documents which operate at higher strategic levels (NARA, NLA, NAC) rather than in documents which concentrate more on practice and procedures (PRO,SSA).

The case of Australia is interesting to note here as a national preservation policy for movable cultural property was wntten in 1995 which provides a level of policy coordination not seen so explicitly in the documentation from the other countries considered here (Australia

1995a). The existence of this policy document, which descnbes strategic policy objectives for preservation at the national level, connects institutional preservation policy to higher govemment objectives, and delineates more clearly a scope for institutional policy documents on this subject.

Such an overriding policy document also suggests a cohesive attempt by the state to attain its cultural policy goals through heritage collections.

Policy models acknowledge the increasing importance placed upon cultural heritage resources by government and society. The promotion of cultural nationalist goals is also facilitated by efforts emanating from within cultural institutions to increase awareness of the importance of their collections to society. Policies emphasize access to collections and increased use of thern by more segments of society (e.g., youth, genealogists), and in new ways made possible by digital technology, in an effort to link institutional goals with larger government objectives and to bring cultural heritage to "homes, schools and workplaces nationwide" (United

States 1997, 14).

5.1.2 Cultural Democracy

A democratic approach (e.g., decentralization of power and authority, participation by stakeholders in decision-making, equitable access, transparency and accountability in governance) to develop and implernent preservation policy is encouraged in the documents consulted.

Decentrakation of authority, implying greater cooperation and collaboration between parties, is exernplified by networks of institutions engaged in distnbuted custody or management of digital collections (such as by the Australian Distributed National Collection and the Canadian

Hentage Information Nehivork4)and in the development of standards, procedures and best practices for preservation. This kind of decentralization is not only an idealistic political and management objective, but is a rnovement encouraged and. to a laroe extent, determined by the nature of technology. Poiicy documents consistently suggest that no one institution can afford to work in isolation: digital preservation relies on decentralized and coordinated responsibility for research and development to enable preservation and access.

Participation in decision-making by those affected by outcomes is endorsed in policy documents as a way of achieving transparency in process, credibility in policy content, and authority sternming from respect in the intemal (government) and extemal (professional) communities. Documents from NARA, the NU,and the NAC in particular note the inclusion of

extemal clients, specialists, and groups in the elaboration of institutional policy. This participation takes the form of invited consuItations, "town hall" sessions with public groups, on-going input

from professional associations and non-govemmental organizations, and participation in government information management cornrnittees.

Providing access to information is a strongly stated goal of digital preservation. Ensuring

democratic equitable access is a concem at higher institutional and national levels as well as

being the goal of irnplementation and operational plans. For exarnple, the NARA Strategic Plan

asserts that access to collections and information is a public right and a foundation of democratic

process which will ernpower ciüzens to protect their rights (high level goal) and it also inctudes

ln Australia, the Distributed National Collection is "the sum of al1 movable cultural property of significance to the nation, including cultural heritage collections and objects which are in the custody of a wide range of organisations and individuals including govemments and the private, community and non-governmental sectof (Australia 1995a, 2). Technology brings this collection together in the form of a national databsse to enable access to it. A similar goal in Canada is the objective of the national coordination of heritage collection databases by the Canadian Heritage information Network (CHIN), and more tecent efforts by the Department of Canadian Heritage to provide single-window lnternet access to on-line heritage collections. 90 detailed plans and targets, with dates, to accomplish its goal to make collections "easy to access regardless of where it is or where users are for as long as needed." (United States 1997, 25).

Transparency and accountability in the govemance of preservation policy is established in statements regarding rotes and responsibilities, and by audit and review functions. Documents which are operational in scope include more information on grou? and individual responsibilities for deciding or implementing policy. There is an interesting exarnple of transparency in responsibility for digital preservation in the United States: NARA regulations5govern the management of pemanently valuable govemrnent electronic records whether they are still in the custody of the originating agency or whether they have been transferred to NARA custody for long-term retention. In this mode1 the same responsibilities exist for whoever maintains physical custody of records appraised as archival. The PRO exhibits a sirnilarly transparent approach to digital preservation with respect to which records fall under the govemance of their policy. Their approach is to examine al1 "ingest" digital objects, whether they are potential acquisitions of electronic records or digital files created in-house through digitization projects with long-term value, for their conforrnity to stated principles and standards. AI1 digital files to be maintained by the PRO are evaluated for acquisition under the same stated criteria.

5.1.3 lnternationalism

Attitudes of connectedness and collectivity are positive attributes of the internationalist trends made possible by advances in telecommunications technology. In digital preservation these attitudes are weJl developed and expressed in policy documents. Each of the documents consulted make reference to the necessity and benefits of collective action to address

Referred to here is the National Archives and Records Administration Regulations: 36 CFR Part 1234 (1998)) Electronic Records Management. Available at: http:lhÿww.nara.gov/naralcFr/cfrl234.htm1 91 technological and policy problems. The global nature of the digital preservation problem calls for collaboration on sotutions, and policy documents concur with statements assuring participation and leadership in digital preservation research and development. Participation by national heritage institutions in international digital preservation initiatives is illustrative of the local/global mode1 of globalization (as per section 2.1.3) as institutions promote participation at the international level as long as they can result in benefits for their (local) collections. International participation is not lirnited to exchange between like organizations. Documents describe digital preservation collaborations existing between heritage institutions and advaried computer research facilities (as in the case of NARA and the San Diego Supercornputer Centre), university information technology centres (seen in the relationship between the PRO and the University of

London Computer Centre), and international policy research "think-tanks" (such as the work conducted by RAND Europe for the Dutch National Archives).

In the cultural sector, internationalism is also the setting for the promotion of cultural diversity. As introduced in chapter 2, the homogenizing influence of globalization has brought about a counter-movement at the international level supporting distinct cultural identities in a global world where domination by Arnerican cultural product is still perceived as a threat. The promotion of cultural diversity as a policy goal is not explicit in any of the institutional-level documents consulted but is seen as a higher level objective and guiding principle of cultural policy in the heritage sector in the example provided by the Australian national preservation policy

(Australia 1995a). While Canada is a strong supporter of international cultural diversity we have no equivalent national cultural policy for preservation which makeç this link between national and institutional policy goals so clear.

Several institutions state in their policy documents their intention to be or become centres of excellence for digital preservation (NAC, SSA, PRO). This intent signals the willingness of these institutions to participate intemationally on issues of comrnon concern. 5.2 Technological Environment

The examples provided above to illustrate the incorporation of cultural nationalist, democratic, or intemationalist principles or trends are equally the result of technological pressures. In some cases the technological explanations for their existence are probably more convincing and practical. For example, the willingness of institutions to participate in international projects is as much, if not more, about an attempt to align with other leaders in the field to share technical knowledge and experience as it is to satisfy broad goals of democratic or global participation. In fact both pressures coexist (layers of cornplexity) and encourage the internationalization of digital preservation efforts.

Addressing tect-inological issues is one of the most cornplex aspects of developing preservation policy for digital collections. Pnnciples, guidance, regulations and procedures to address issues in this field are the focus of policy documents. 60th the literature on digital preservation and the policy documents consulted emphasize the importance of rnanaging technological issues from the earliest point in the life of the object (creation) through to the point of disposal: the Iife-cycle for digital preservation is extended and is the frame in which issues are discussed.

5.2.1 Born Digital

Digital objects in heritage collections were either acquired in this form or were created within the institution (e.g., business records, digitization activities). Policy documents place significant importance on the role of national institutions to influence how digital records and publications are created, whether in-house or not: effective creation is the foundation for long-term presenration and access. This objective implies the use of standards and &est practices wherever possible when creating digital objects of heritage value as a way of delaying the next inevitable cycle of obsolescence. In archives, this also means influencing the design and use of recordkeeping systems for electronic documents in office and business environments to ensure their provenance and authenticity as evidence. In libraries, this means trying to influence publishers to adopt standards for on-line and physical media digital publications. By these two aspects of influence, attention is directed to the early stage of the digital object's life, prior to its designation as having archivai or lasting value.

National archives typicaily have the statutory responsibility for collecting and preserving the record of government. This role has led these institutions to provide direction to government agencies in how best to manage their records of business and how to eventually transfer them to the custody of their national archives. Part of this direction relates to the choice of logical and physical formats for the transfer of digital records, the management of descriptive information related to these records (metadata), and the organization of multiple records, for example.

Extensive information for government records management practice is produced by the NAC,

NARA, PRO and NAA for their government clients.

The NAC Electronic Records Policy states that the institution '%riIl play an active, strategic roIe with records creators in the Government of Canada in order to rnaximize the extent to which their policies, systems and activities produce reliable records with meet their needs as well as those of the National Archives" (Canada 1998, art. 5.23). Priority is given here to meeting the needs of the records creator, then to the needs of the archival repository (i.e., long-term preservation). The implication is that institutions do not wish to restrict or unduly influence how records are created if it restricts how well evidence is recorded. This intent is also evident in the

PRO policy where it states: " ... it is not the PRO'S role to constrain government in its choice of formats for the creation of records..." (United Kingdom 1999a, 6). The approach commonly adopted is to recornmend (with varying degrees of authority and emphasis) the use of certain formats and media for the creation of electronic records (influencing best practice), and to mandate through regulations a Iimited number of formats and media (standards) for records transfer to facilitate effective preservation management.

5.2.2 Tuming Digital

Digitization activities within heritage institutions create large numbers of potential electronic records to be preserved6. This activity is directed predominately towards providing on-

Iine access to records or publications whose original form is analog. Preservation policy documents recognize the products of digitization projects in different ways. The unit in NARA which is responsible for the preservation of electronic records is not involved in the digitization of analog holdings, suggesting these files are exempt from preservation requirernents. The PRO accepts that not al1 digitization projects will produce files with lasting value and preservation requirements, but concludes that al1 digitization projects must consider preservation needs as part of their initial proposal to determine the value to be assigned to these digital objects. The NAC states that "al1 copies, when a version of them is kept by the NA (i.e., al1 copies except client photocopies), have preservation value ..." (Canada 2000, art. 6.8. l),and further accepts that

"access copying in digital form also entails, as for al1 electronic records, maintenance and repeated cycles of migration of the whole body of digitized records, together with its metadata"

(Canada 2000, art. 6.8.7) suggesting a greater acceptance of digital surrogates of analog originals as objects with relative (to other types of copies) long-term value.

Where policy documents are not digital-specific (NLA, NAC) digitization is included as one copying option among others (including transcription, photocopying, microfilm, photography,

A goal of the National Digital Library Progarn (begun in 1995) of the U.S. Library of Congress is to create 5 million digital copies of analog originals available for Internet access. A forthcoming (Fall, 2000) report by the National Academy of Sciences' National Research Council on the state of the Library's digital preparedness wams that the Library must accelerate efforts to manage digital collections if it is to rernain a leading institution. See the press release Library of Congress Must lmprove Handhng of Digital Information (July 26, 2000) at http:liwww4.nationalacademies.org/news.nsf/isbni072600?0penDocument 95 film, rnagnetic tape, etc.) which can be ernployed to satisfy access requests, with the choice of copy medium left to respond to particular requirements for use. The NAC policy acknowledges various copying options but indicates a desire to satisfy access copying requests through digital techniques wherever possible.

Digital surrogates, Iike traditional analog copies, can sometimes substitute for the originai object during use, thereby reducing exposure of lhe fragile originai to risk of darnage.

The value of digitization as a preservation activity is expressed in policy documents in this context of substitution. For example, from the NLA: "The Library encourages the use of surrogates rather than originals for service in cases where the original material is not suitable for regutar use - such as rare or fragile items, or rnaterial in special formats - such as sound tapes.

Subject to copyright, surrogates may be created using microforrns, photocopies, transcripts, video and optical discs or other technologies." (Australia 1999, 7). Documents do not suggest digitization of analog originals for the purpose of long-term preservation: the NAC policy stipulates that conservation copies must have the sarne or higher level of performance or permanence as the original. To date, there is no indication that institutions consider digital media to have a level of permanence comparable to the original analog media, or comparable to traditional surrogate media (e-g., paper, microfilm, polyester film stock, magnetic tape).

5.2.3 Staying Digital

lnfluencing the creation of digital objects is a regulatory or advisory role served by policy documents airned at externat clients such as government agencies, public or private publishers, or private citiiens. lntemal institutional policy documents are naturally concerned with what happens to the digital collection once it has been physically acquired by the archive or library, and consequently deal more specifically with keeping digital objects in a usable form and compatible with current technology.

Policy documents accept the notion that there is no one solution to digital preservation and that different so~~~tionsmay apply to preservation at different points in the object's life cycle.

This idea is most clearly articulated by the PRO's policy:

The PRO's digital preservation strategy recognizes that in the short terni no one preservation system or solution is likely to meet al1 needs or be implementable in the timescale required for current pressing presewation needs. It allows, therefore, for a range of solutions to be implemented or operated in-house or by outsourcing. (United Kingdom 1999a, art. 3.2.1)

Options for dioital presewation are still limited and are still being tested and developed.

Documents dernonstrate an acceptance of three technical approaches to preservation (not mutually exclusive): reliance on standards and best practices; preservation of technology; and digital preservation treatments (refreshing and migration). Supporting these processes are other important considerations for keeping digital collections such as knowledge development

(training, education and research) and procedures for managing the preservation needs of distributed or Ieft-out collections.

Standards and Best Practices

The adoption of standards (formal or ad-hoc) and best practices are objectives of each country's digital preservation policy document. Statements such as "the adoption of best practices and standards is essential* (Australia 1995b, 4), and "the NA seeks to be a Centre of

Excellence for the implementation and dissemination of archiva1 standards and techniques ...O

(Canada 2000, art. 6.1 -2)typify such broad insistence on the use of standards wherever possible in areas such as metadata, storage and handling, digitkation, refreshing and migration, logical format, physicaf media, data verification, security, authenticity, and access, among others, and best practices for presewation copying, treatment, and risk management.

Higher level policy documents follow the generic pattern above and leave the actual choice or selection of standards at the operational level, leaving open the influence of particular situations or environments which might make non-standard media or practices acceptable.

More detailed policy and strategy documents will take the next step and recommend a list of standards for use. This is particularly the case with logical and physical formats where the 97 number of options and the particularly volatile nature of the environment could lead to confusion over choice. PRO and NARA policy documentation specify certain standards for logical formats and physical media for long-term presewation. In both of these cases the formats chosen are those recommended to records creators, employed for the transfer of governrnent records to the archives, and for their long-terni preservation once received into the custody of the archives. A negative aspect of recommending or imposing the use of certain standaids for the creation or transfer of digital objects is the potential to dissuade or alienate clients resulting in the loss of collections. The NAA is less restrictive in its list of acceptable logical formats by accepting, in addition to selected non-proprietary formats, textual records in any file "readable from Microsoft

Word and readable from Microsoft Excelnthereby accepting a wide range of proprietary formats which can be imported into these two established and widely used commercial software programs (Australia 1997b, 3). Documentation from SSA and the NAC indicate their preference to not restrict in any significant way the range of incoming formats in favour of capturing al1 essential records.

Best practices endeavour to reduce risk to collections. Management of risk is a growing aspect of the digital presewation literature which has not yet been reflected in an equally prominent way in the policy documentation. A recent report from the Council on Library and

Information Resources explored risk management techniques as a tool for evatuating the threat of information loss during logical file format migration and concluded that such techniques effectively udeconstmct"such processes and provide important information for decision-making.

A degree of risk management is implied in a number of policy documents which state that

"automated mass storage systems should allow transfer of content [migration] without significant

loss from generation to generationn(Australia 1997e, art. 5.2),that 'any media chosen should be available from more than one supplier and should be available for a range of system types"

(United Kingdom 1999a, art. 4.3.3), and that 'experience in managing media rotation and

storage management in existing digital archives shows that, where physical transport of media

between sites is necessary for checking off-site copies, four copies are required to minimize 98 risks due to human enor." (United Kingdom 1999a, art. 3.5.3). These three examples describe precautions to be taken to mitigate risk in the loss of information during treatrnent (migration), storage or use. The NAC policy most explicitly addresses risk management in relation to overall responsibilities for preservation management of digital collections when it states that

"preservation priorities will also be determined in accordance with a Preservation Strategy which reffects the reality that preservation management is risk management of the holdingsn (Canada

2000, art. 6.5.2) and for treatment activities which "entails managing the risk of error in assessing technology change and of preserving contextual information which might be lost during data migrationn(Canada 2000, art. 6.9.3). Risks to the longevity of digital collections are perceived to be greater in number and magnitude than for traditional collections as a result of the fieeting windows of opportunity for preservation action imposed by technological obsolescence, the vast quantity of information generated, and the volatile commercial environment.

Preservation of Technology

The maintenance of technology such as computer hardware, software, and digital audio- visual playback equipment for the purpose of accessing obsolete digital formats is a strategy pennitting the presentation of the digital object in its original context. The literature suggests this approach has short to medium-term applicability in the digital environrnent (Berthon and Webb

2000; Rothenberg 1999; Russell 1999). SSA acknowledges this limitation when it states

"rnachinery for reproducing and handling preservation (and duping) formats shall be supported with adequate preventive maintenance, spare parts and documentation for the projected life of the format" (Australia 1997e, art. 4.3.2). The projected lifetime of logicai and physical formats are short and not usually corresponding. Chapter 3 noted that life expectancies for physical formats can Vary widely, with 10 to 30 years of usable life being a conservative scenario under proper storage conditions. The projected Iife-time of logicai formats is expected to be considerably less. Therefore, preserving equipment and software to access logidformats will 99 be necessary to perform data refreshing, and up to the point of their eventual migration to the next generation of logical, and possibly physical, format. Following migration, in theory, the rationale to maintain the equipment and software required to access the now-obsolete format would no longer exist as the original format is no longer the archival record. The advantages of new logical formats (e.g., irxreased functionality, more widely adopted standard), and the limitations of older formats, controls the Pace of data migration rather than physical media degradation, as noted by Lawrence et al: "The threat to aging digital information has surpassed the danger of unstable media or obsolete hardware. The most pressing problems confronting managers of digital collections are data format and software obsolescence." (2000, 1). The short Iife-times of logical formats suggest that preservation of digital machinery and the software to fun on them is no more than a responsible capital purchase and maintenance plan which acquires the capacity to accommodate new digital formats once they show up in collections or once they have become adopted as a target medium for transfer, and which provides enough overlap in time with the older technology to accomplish timely migration.

Highly interactive digital media (e.g., computer games, virtual reality) which rely heavily or exclusively on specific (usually proprietary) equipment to reproduce an environment for the experience of the content will prove to be a much greater preservation challenge. Reliance on the initial technological environment to relay content is much stronger than with simple multimedia or "unimediandigital objects. SSA addresses this issue in a general way by noting that ' when the experience of media requires a particular setting, ..., or interacting with multimedia on a particular computer platform, the means of reproducing the event must be maintained, along with the content" (Australia 1997e, art. 6.2). This general approach leavos the door open to apply a preservation of technology approach or to employ future techniques such as emulation.

Digital Presewa tion Treatment (Refreshing and Migration)

Policy and strategy documents irnplicitly or explicitly accep! the refreshing-then- 100 migration model of digital preservation for ensuring continued access to digital holdings. Mile seeing these strategies as the most widely applicable and effective techniques available today, institutions acknowledge them, and migration in particular, to be less-than-ideal solutions and cite the potential for loss of contextual information or of certain essential attributes of the digital object during the conversion process . Cumulative data loss of this type could one day result in a sudden, not gradual, failure of the record, publication, or collection to be read, understood or successfully migrated.

The interrelationship between preservation activities and other institutional priorities cm be seen when additional copies (usually of lower resolution, compressed, or enhanced) of digital objects are produced at the same time as they are refreshed or migrated to satisfy on-line access requirements, for security or disaster rnitigation (copies for off-site storage), or conversion into other formats (e.g., CD-ROM products, hardcopy output). In many cases the sarne quatity of file can be used for each of these purposes, without any interim manipulation or conversion. An integrated institutional preservation program will take advantage of each instance of digital file creation or conversion to satisfy as many objectives as possible. All of the digital preservation policies consulted promote integration of preservation concepts and actions throughout their institutions and during the entire fife cycle of the digital object. Mechanisms for policy integration in higher-Ievel documents include reference to institutional mission and mandate statements, and by citing links to other intemal policies (e.g., for acquisition, access).

Strategy-level documents identify actual positions, committees or operational mechanisms for integration such as, for example, the mention of organization groups, departrnents and units in the PRO document with responsibility for cooperation and collaboration on digital projects.

The documentation illustrates consistency in the suggestion that digital preservation treatments can be performed effectively in an autornated environment. The alreadydigital nature of such collections lend themselves to "batch processingn or 'rnassn treatment, as well as for other related access, survey, preservation management, and administrative functions, when stored on-line or near-line (i.e., human or robotic delivery of physical media to computer servers 101 as required). For example, the NAC notes a planned Electronic Archives Preservation System, the SSA describes preservation functions as part of an automated mass storage system, the

PRO wants to "evolve towards a point where a single preservation systern (integrated with accessioning, cataloguing and public access) serves al1 its needs" (United Kingdorn 1999a, art.

2.2.2), and NARA reports on enhancernents to an existing Archival Preservation System for electronic records. It is in this context also that some institutions (PRO, NARA) realize their partnership goals by working with advanced informatics centres, as noted in section 5.1.3 above. Such initiatives also airn to put integration of activities (acquisition, preservation and use) objectives into practice.

Knowledge Developmen t (Training, De velopment and Research)

Knowledge development activities are encouraged and supported in al1 policy documentation, recognizing the fast Pace of technological change and the need to hold on to, and pass on, the knowledge to maintain and operate legacy systerns. Institutions propose to accomplish this by encouraging continuous leaming (NLA, NAC), participating in the development of new standards (NLA), by undertaking research projects alone or in collaboration with others (NARA, NAC, NAA, PRO), by offering and undertaking internship programs (NAC), by developing centres of excellence (PRO, NAC, NARA, SSA) and by linking employee's training and development plans to the institutions' strategic goals (NARA).

Delegated Preservation Management

"The best prospects for preserving access to archival electronic records will be to retain those records within a technological environment: which can maintain accessibility to the records in question; maintaining authenticity, in conformity with the changes and developments in technology as they occur over time. In most cases, this environment will not be found in the custody of the Archives, but in the custody of the Commonwealth agencies which have generated the records originally or have actively rnanaged them in the course of their operations." (Australia 1997c, 1)

Of the documents consulted, the Australian institutions exhibit the most aggressive program for delegating responsibility for the long-term preservation of archival electronic records 102 and publications to their clients. In the case of the NAA, leaving electronic records in the custody of their creators is the accepted practice; bringing electronic records into the custody of the archives is the exception. The distributed custody of Australian library collections managed by the NLA has been described earlier in section 4.2. On the other end of the spectrum, the

NARA encourages the transfer of electronic materials to their custody with the incentive of taking over the requirements contained in records management regulations on behalf of the creator.

NARA does note in their Strategic Plan an indication to develop strategies for the leaving-out of government records, suggesting a rnove towards greater acceptance of the distributed approach

(United States 1997). NAC and PRO documentation indicate appraisal on a case-by-case basis to determine whether records are physically acquired or left out.

5.2.4 Always Digital?

Maintaining authentic digital records and publications over time will be the result of meeting a wide range and a challenging array of technical problems. Equally important to institutions are the professional and theoretical issues considered below in the policy environment.

5.3 Policy Environment

Changes in the cultural and technological environment have led to the development of new or revised digital preservation policy to effectively manage collections. White precedents and traditional principles for preservation are invoked wherever possible, documentation shows that the intent of new policy is also to shift attitudes and paradigms from traditional rnodels that no longer provide a context for the demands of digital collections. Bold or tentative, policy documents exhibit rnovement towards creating a more dynamic, relevant and inclusive environment for preservation. There is a fundarnentaf change in the tone of policy from a mode! 1O3 which constructs a centralized and rigid foundation for preservation to one which tacitly

acknowledges the shifting grounds and "moving targetn of digital longevity, promotes flexibility,

and facilitates the distribution of responsibility. Two new approaches to digital preservation seen

in the documentation (the two policies which are currently in draft form) illustrate where ground is

shifting.

The NAC Presewation Policy encompasses both traditional and digital collections

(Canada 2000). This wide scope forces certain consideration of priority, attitude and approach for

records which are human-readable and those which are technology-dependent (including digital).

This policy document asserts that these two classes of records are significantly different to require

two distinct paradigms in which to considet their preservation. This concept suggests that

commonly accepted preservation principles are more than just transfomed or stretched in the

digital world, as discussed in chapter 4, but that they ultimately fail to support adequately the

theories developing for digital preservation and that a new and different set is required.

The PRO proposes a new paradigm for considering the integration of al1 institutional

activities that may have digital preservation requirements. The PRO evaluates al1 activities which

create or bring digital objects into the institution against preservation criteria to judge their

potential for longevity, regardless of their source. Digital material may be the result of in-house or

outsourced digitization projects, or they may be electronic records transferred from government

agencies under records management requirernents. Their relative value may influence the extent

or type of treatment they receive once inside the institution, but they are al1 evaluated in the same

way. The policy documents of other institutions examined do not consider the integration of digital

files generated from within the institution (such as from digitization projects) in such a transparent

way.

5.4 Summary 1O4

A model for digital preservation policy is evolving where greater attention is paid to outward-looking activities which connect heritage institutions to the cultural, national and international arena in which they operate in this new wired world. There is a great amount of relevance and status to be gained in the eyes of the public and of politicians by actively contributing and interpreting digital content via the information highway and by preserving this content for future generations. To achieve this end, policy models document analyses of and current solutions to the main technological hurdles which block the way. There is tentative acceptance now of the principle strategies for digital preservation while research continues for more cornprehensive solutions. It is in the area of professional principles and theories (in preservation, archival, library and computer science) where digital preservation models are

moving in new and provocative directions. 5.5 Works Cited in Chapter 5

Australia. 1995a. National Conservation and Preservation Policy for Movable Cultural Heritage. Canberra: Heritage Collections Committee of the Cultural Ministers Council, Commonwealth of Australia. Available from: http://www.nla.gov.au/niac/policy/cult.html

Australia. 1995b. Statement of Principles for the Preservation of and Long-Term Access to Australian Digital Objects. Canberra: National Library of Australia. Availabte from: htlp:;~hww.nla.gov.au/niaa'digiiai;ptinc.himi

Australia. 1997a. Commonwealth Recordkeeping. Canberra: National Archives of Australia. Available from: http:l~.naa.gov.au/recordkeeping/splash/intro.htrnl

Australia. 1997b. Keeping Electronic Records, Appendix A - Transfer Records to the Custody of the Australian Archives: Technical Requirements. Canberra: National Archives of Australia. Available from: http://www.naa.gov.au/recordkeeping/er/keepige/p pendhtml

Australia. 1997~.Keeping Electronic Records, Retaining Electronic Records in Agency Custody: Requirements. Canberra: National Archives of Australia. Available from: http:llwww.naa.gov.aulrecordkeepinglerlkeepingerlretaining~er. html

Australia. 19974. Managing Electronic Records, The Strategy. Canberra: National Archives of Australia. Available from: http:/~.naa.gov.au/recordkeepinglerlmanage~erlstrategy.html

Australia. 1997e. Preservation Policy. Canberra: ScreenSound Australia. Available from: http:/lwww.screensound.gov.a~l~hatwedo/policieslpreseton.htm

AustraIia. 1999. Preservation Policy. Canberra: National Library of Australia. Available from: http:lEwww.nla.gov.aulpoIicy/pres.html

Beagrie, Neil, and Daniel Greenstein. 1998. A Strategic Policy Framework for Creating and Presewing Digital Collections. London: Arts and Humanities Data Service. Available frorn: http://ahds.ac.uk/manage/framework. htm

Berthon, Hilary, and Colin Webb. 2000. The Moving Frontier: Archiving, Preservation and Tomorrow's Digital Heritage. Canberra: National Library of Australia. Available from: http:lhivww.nla.gov.aulnla/staffpaperlh8erthon2.html

Canada. 1998. Electronic Records Policy. Ottawa: National Archives of Canada.

Canada. 1999. Electronic Records Strategy. Ottawa: National Archives of Canada.

Canada. 2000. Preservation Policy (Unpublished Draft, 28 May 2000). Ottawa: National Archives of Canada.

Howlett, Michael, and M. Ramesh. 1995. Studying Public Policy: Policy Cycles and Policy Subsystems. Toronto: Oxford University Press.

Juddery, Mark. 2000. Re: Preservation Policy (electronic mail message to John Grace, 17 July, 2000): ScreenSound Australia. Lawrence, Gregory W., William R. Kehoe, Oya Y. Rieger, William Walters, and Anne R. Kenney. 2000. Risk Management of Digital Information: A File Format Investigation. Washington: Council on Library and Information Resources. Available from: http://www.clir.org/pu bslreportslpub93/pu b93.pdf

Rothenberg, Jeff. 1999. Avoiding Technological Quicksand: Finding a Viable Technical Foundation for Digital Preservation. Washington: Council on Library and information Resources.

Russell, Keily. 1599. Digitai Preservation: Ensuring Hccess io Üigiiai Maieriais inio ine Future. Leeds: The Cedars Project, University of Leeds. Available from: http:l/www.leeds.ac.uklcedarslChapter. htm

United Kingdom. 1999a. A Digital Preservation Strategy for the PRO (Unpublished Draft, 2 November 1999). London: Public Records Office.

United Kingdom. 1999b. Guidelines on the Management. Appraisal and Preservation of Electronic Records, 1999. London: Public Record Offke. Available from: http://www.pr0.gov.u Wrecordsmanagement~eros/default.htrn

United States. 1997. Ready Access to Essential Evidence - The Strategic Plan of the National Archives and Records Administration, 1997-2007. Washington: National Archives and Records Administration. Available from: http://www.nara.gov/nara/vision/naraplan.html

United States. 1998. National Archives and Records Administration Regulations: 36 CFR Part 1234 - Electronic Records Management. Washington: National Archives and Records Administration. Available from: http://www.nara.gov/nara/cfr/cfrl234.html

United States. 2000a. Electronic Records lnformation for Archivists, Records Managers and IRM Personnel. Washington: National Archives and Records Administration. Available from: http://www.nara.gov/nara/electroniclrrnirmpge.html

United States. 2000b. lnformation About the Center for Electronic Records. Washington: National Archives and Records Administration. Available from: http:f/www.nara.gov/nara/electronic/gil36.html

United States. 2000~.National Archives and Records Administration Regulations: 36 CFR Part 1228.270 - Transfer of Electronic Records. Washington: National Archives and Records Administration. Available from: http://www.nara.gov/nara/electronic/transfer.html

Webb, Colin. 2000. Re: Preservation Policy (Electronic mail message to John Grace, 17 July, 2000): National Library of Australia. CHAPTER 6

CONCLUSION

Adapting preservation policy to the digital age relies on the coordination of a complex set of layered determinants of a cultural, a technological and a professional nature. This requires an

appreciation of the larger cultural context for institutionai policy and a significant knowledge of

digital technology systems and trends; it means evaluating current preservation practices and

principles against a new digital paradigm, and finally, it demands new attitudes to the presewation

of cultural heritage collections in digital form.

This work has shown that Canadian government objectives of nationalism, cultural

democracy and intemationalism are supported by institutional digital presewation policies which

are outward-looking in their intent and which address the dominant technological and globalizing

pressures of the wired world. The international policy models examined for this thesis

acknowledge the relevance of preservation in this broader context of cultural policy devefopment.

They recognize also that new communications technology is increasingly able to bring digital

collections to citizens and thus enable heritage institutions to play a more significant role in

broader state objectives. Therefore, digital preservation is the means of access to collections and

an instrument for the realization of national cultural policy goals.

This thesis contends that technology, and the internationalism it fosters, are the dominant

pressures shaping preservation policy today in heritage institutions. They dominate due to their

complexity, to their number, and to the attention they receive in the literature, but they are not

necessarily the most difficult to overcome: technological problems can be solved with 1O8 technological answers. Examples of digital preservation policy show that institutions are coming to a consensus on technological strategies for managing digital collections. Preservation policies acknowledge the depth and variety of technological challenges in this field, and their interrelationships, and show a cautious but rational approach to meeting them.

More diffÏcult for institutions to address are challenges presented by technology to the application of precedents and traditional models of preservation policy to digital preservation practice. While early examples of digital preservation policy show consistency in the technical strategies they employ and a confidence in the direction research and development in this field is going, there is not yet agreement on the extent to which institutions can rely on traditional concepts and principles to support their actions for digital preservation. Consequently, authors of

new policy will have confidence in adopting technological strategies for preservation but face more

difficulty in deciding between whether to rely on traditional precedents and preservation principles

to guide action, or to explore and adopt more radical concepts for preserving digital collections

which challenge existing organizational attitudes and operational practices.

It is in this area of principles and practice where it is hoped that the most significant

contribution is made by this thesis: that with an appreciation of the Canadian cultural context, an

understanding of digital technology, and an awareness of precedents for preservation policy, al1

presented from a preservation perspective, managers and policy-rnakers in heritage institutions

will be adequately informed to be able to analyze and evaluate new concepts and paradigms for

preservation in the digital world and to contribute new policy options in this dynamic and

challenging field of preservation management.

Further work is encouraged on the subject of digital preservation policy. Resufts of policy

and strategy direction already taken for digital preservation will become apparent in the very near

future as the evaluation stage of the policy cycle begins for the earliest digital preservation

policies. Exploration of the transformation and relevance of traditional preservation principles in

the digital age is another area touched on in this work which deserves greater attention and exposure in the preservation community. APPENDIX A

Glossary of Digitaf Format and Media Acronyms Cited in Text

LOGICAL FORMATS

ASCl l American Standard Code for Information lnterchange (alpha-numeric data, punctuation). ISO 8859-4.

JPEG Joint Photographic Experts Group (images)

TlFF Tag(ged) lndependent File Format (images)

MPEG Motion Picture Experts Group (moving images and associated audio). MPEG-1: IS0 1 1172-1 to -5 MPEG-2: IS0 1381 8-1 to -9

MP3 MPEG Layer 3 (audio). ISO 11172-3

PDF Portable Document Format (al pha-numeric, images) from AdoberM

HTML Hypertext Mark-up Language (alpha-numeric, multi-media)

SGML Standard Generalized Mark-up Language (alpha-numeric, multi-media), ISO 8879

XML eXtended Mark-up Language

PHYSICAL FORMATS FOR DIGITAL MEDIA

CD Compact Disc

CD-R Compact Oisc - Recordable

CD-ROM Compact Disc - Read Only Memory

CD-WORM Compact Disc - Write Once Read Many

CD-i Compact Disc - interactive

DAT Digital Audio Tape

DVD Digital Versatile Disk, or Digital Video Disk

DVD-R Digital Versatile Disk - Recordable Generic Outline for a Traditional Prese~ationPolicy - Headings and Description

Purpose states the purpose of the policy

Application describes which activities will be governed by the policy

Authorities

+ identifies the legal or institutional authority under which the policy operates

Definitions a list of terms used in the text of the policy

Roles and Responsibilities identifies who has responsibility for the approval, implementation and monitoring of the policy

Policy Statements a series of detailed statements which elaborate on decisions taken as to how, when, why and by whom preservation activities are undertaken

Accommodation direction on how and where collections will be accommodated describes best practices

Acquisition explains preservation concerns and involvement in acquisition activities

Management describes how preservation activities will be managed withing the management hierarchy of the institution

Resource Allocation and Priorities indicates priorities for preservation action and the allocation of human afid financial resources may reflect chronic, urgent, or planned programs for preservation action

Preventive Conservation describes the scope and contribution of preventive conservation/presen/ation activities may describe best practices rnay indicate priorities

Conservation Examination and Treatrnent describes conditions for the application of conservation treatments on holdings may describe best practices may indicate priorities 6.6 Copying describes conditions for the duplication or copying of holdings by various (analog) means rnay describe best practices rnay indicate priorities

6.7 Conservation Research and Development indicates institutional cornmitment or involvement in research and developmental activities which support preservation rnay ciescrioe reiationships or partnerships with other institutions

6.8 Conservation Information describes the extent to which the institution provides information to others on preservation matters describes the type of preservation information to be made available within or outside of the institution

6.9 Security and Oisaster Contingency Planning identifies activities and responsibilities for ongoing physical security of holdings describes the extent and type of preservation services available in the event of a disaster rnay indicate cooperation or partnerships with other institutions

6.10 Use of Collections indicates preservation actions and precautions to be taken when collections are used or consulted may include best practices

6.11 Copyright notes any copyright limitations or restrictions as they pertain to preservation activities

6.12 Conservation Training describes the commitment of the institution to the traimg of staff and others in preservation activities rnay include cooperation or partnerships with other institutions

6.1 3 Special Considerations describes procedures for managing unforseen preservation dernands or events rnay describe special cooperative arrangements with other institutions

7.0 Audit and Evaluation confirms cornmitment to ongoing review and audit of the preservation functions governed by the policy rnay include a timetable for review

8.0 Promulgation describes how and where the contents of policy will be communicated

9.0 Appendices supporting text, tables, images, or other information not appearing in the body of the policy