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This framework document provides the guiding principles under which the legal deposit libraries of the UK and Ireland will develop their approach to collecting and sets out their priorities for the period 2023 to 2030. It will be used to guide decisions on use of resources and shared work across the legal deposit libraries, and inform the six individual libraries' respective strategies. This framework updates and replaces the Joint Collecting Framework for UK Legal Deposit, 2015-2020.
Throughout the document there is a focus on the value of legal deposit across a wide range of users and stakeholders. There is also a focus on the resources required to maintain collecting at the levels established since the introduction of non-print legal deposit regulations, and to extend collecting to an increasingly diverse and complex range of publications. This covers the whole collection life-cycle, from identifying publications through to acquisition, processing, description, preservation, discovery and access.
The experience of the past ten years of digital legal deposit implementation has shown that it is not desirable or practical to consider digital legal deposit in isolation from print. Therefore, while the balance of focus in this Framework remains on digital challenges, it considers legal deposit as a whole, including print and digital works.
As described in the Post Implementation Review, implementation of digital legal deposit is a complex and gradual process. During the period covered by this Framework, it is expected that the libraries will develop from collecting at scale the most commonly published formats (‘Phase 1’), and developing ingest for digital maps and music scores (‘Phase 2’) through to ‘Phase 3’, which supports the collection of published material in complex formats. The Framework supports this development by identifying the key challenges, priorities and resource needs for the libraries. It is organised under the following headings:
The libraries are committed to setting up a user forum to help understand user needs and concerns. The focus here is access, including support for the growing volume of publications made available under Open Access terms. Changing research methods, including the use of computational methods and analysing data at scale, will require new ways of supporting users.
Ensuring that the services and access to legal deposit content is not disabling to our users, and support the use of assistive technologies. Libraries should work with publishers, including through JCLD, to advocate for accessibility, eg in promoting the adoption of appropriate standards in publications.
This is at the heart of the Framework, and impacts across all stages of collection management. The data that we collect about publications in the UK and Ireland should support inclusivity in collecting. We should respond to complexity in publishing, whether that is through the use of new technologies or through changing behaviour. Additional research and data gathering should enable us to define in greater detail the full range of publications which are encompassed by legal deposit. More research is needed, for example, into self-publishing behaviours. Continued development is needed for the tools and services that support deposit from small and independent publishers.
Experience of the past ten years of legal deposit shows that choice of format for deposit is not neutral. The libraries should assess the distribution of print and digital collecting and ensure that this is an appropriate fit with the expectations of readers and authors.
This is key to delivering the Framework. This section recognises the large scale of digital legal deposit achieved so far and the resources needed to maintain this. The period for the Framework will see significant infrastructure change, and the requirements for legal deposit need to be central to these changes. Legal deposit implementation will require continued investment and development of technology, staff roles and skills, and support for collaboration and resource-sharing, including through international networks. The scale of legal deposit means that support for cataloguing is essential to enable discovery in the ways that users’ need. Sustainability will also require collection management in a way that that makes most efficient use of resources and minimises environmental impact.
There is a need to more actively communicate the value of legal deposit to a range of audiences: public, readers, authors and publishers. 2023, the 10 year anniversary of digital legal deposit regulations, represents an opportunity to re-invigorate communications. We should develop awareness of legal deposit as a collaborative network and present the value of legal deposit collections across all six libraries. There will be an important role for communications in preparing for the consultations that are expected following the Post Implementation Review.
Legal deposit ensures that the nations' publishing heritage and intellectual output - expressed through published works - is preserved and made available for consultation, research and inspiration.
The primary principle is that the legal deposit libraries, collectively and comprehensively, acquire and store permanently the national published outputs of print, non-print media and digital publications. These are then made discoverable and accessible, reflecting as far as possible user needs and preferences.
The value of legal deposit lies in its comprehensiveness and its commitment to preservation over the very long term. It aims to collect all published material from the UK and Ireland and is largely successful in that aim. Whether print or digital, academic or popular, official publication or self-published blog, this historical and current archive is an outstanding resource, freely available to all kinds of researchers, whatever their interests, in the reading rooms of the libraries, in geographical locations across the UK and Ireland. The duplication of the collection across multiple sites safeguards the publishing history of these islands in a unique manner for future generations.
The comprehensive nature of the collection process supports inclusion and reflects diversity in published communication in the UK. Though individual libraries might choose not to accept all possible additions to their collections the legal deposit system as a whole strives not to actively discriminate as regards content, recognising that the strength of the collection lies in its breadth. In addition, ensuring the output of small publishing ventures is collected, often ensures the inclusion of more marginalised groups and voices, thus further ensuring diversity in our collections.
Legal deposit ensures the long term preservation of publications. UK legal deposit libraries do not dispose of legal deposit material from their collections. It is retained in perpetuity (though this might be achieved by change of format). This helps inform the ‘long view’ taken by the libraries that they collect not simply for contemporary users and their needs but also for all future users who might have very different requirements from those of today and helps smooth out any contemporary biases as to what may or may not be important. Such an undertaking demands the adherence to long term preservation for traditional print materials and more problematic and continually evolving digital formats.
We collect publications so that they may be used for research, inspiration and enjoyment, either now or in the future. Our collecting therefore should be informed by our intent to make legal deposit content accessible, in consideration of our users and our knowledge about their needs and preferences. All legal deposit libraries consult with their readers, either through regular forums or surveys or both. In addition, the libraries collectively have committed to establishing a user forum for legal deposit, so that we can understand reader preferences for access and use. This will inform our planning for legal deposit collection development and services.
Access is a key consideration. Legal deposit collections should be accessible to readers regardless of where they are in the UK. Most activity is centred on the reading rooms of the legal deposit libraries. This means that we will continue to invest in developing our infrastructure for viewing digital legal deposit, whether that is books and journals, sheet music, archived web or digital maps.
For digital publications, we know that reader preferences are for remote access, and in ways that enable use with their own devices and software. While access for most content will remain at library premises, using library managed terminals, there are opportunities to enhance access for a proportion of content. This will be within the regulations governing legal deposit, and where enhanced access reflects the agreed intent of publishers. The clearest example of this is in Open Access publishing, where there is a very clear intent that publications should be shared. We will also investigate whether remote access could be negotiated additionally with some publishers.
A user-centred approach also helps us understand the types of access that our readers need. For example, for digital sheet music this includes the ability to navigate within a work to discover and access parts, and for access to embedded audio recordings within more complex digital publications such as apps. User needs might include the ability to use the data in a publication, for example with some digital maps, music scores or official publications. It could also include the ability to analyse large numbers of publications, or the metadata created about such publications, at scale. This will require greater understanding of the types of methods and tools used for such research.
The UK Web Archive is an important case, where there has been a strong user response that the restrictions on remote access and data analysis have a detrimental effect on research and influence researchers to use collections held outside the UK. This means we will follow up on the recommendations of the Post Implementation Review (PIR) to undertake a public consultation to understand how access to the UK Web Archive can be increased while protecting rights holders.
A user-centred approach should extend beyond considerations of access. Our content development decisions must respond to a range of factors, including ensuring continuity and coherence of legal deposit collections for the long term, and the needs of users in the future. The needs of users now are an important factor. We will benefit from better understanding user preferences for formats of publications, and also where priority should be given to collecting publications at high risk of loss. Discovery is also an important consideration, especially for publications that exist only online or that are not distributed through mainstream commercial channels.
All readers should be able to discover and access legal deposit publications. The services built around legal deposit should not be disabling, and should support the use of assistive technologies. The Equality Act 2010 requires the libraries to support equal access to collections where it is reasonable to do so.
This accessibility principle is key to the ongoing development of digital legal deposit. There is consensus among libraries and publisher representatives that any restrictions in legal deposit law that disable readers should be remedied. This means that the recommendations of the PIR to consult with relevant groups and push for changes to legislation should be followed up, and momentum maintained to achieve this.
Assistive technology is highly personalized and will depend on a person’s needs. Ultimately, allowing this technology to work fully can only be achieved by allowing access via user owned devices. We will continue to advocate for equality of access to legal deposit publications for all readers.
Some parts of our collection present particular challenges with regard to accessibility. Significant formats such as maps and music (and by their nature, Emerging Formats) present accessibility challenges and we should understand better the nature of those challenges and ways to improve access. Therefore we should develop or favour access solutions that will allow specialist accessibility software to be used. We will continue to liaise with expert colleagues to better understand and address these matters.
Accessibility should also be considered with regard to communications about legal deposit, and will reflect the fact that the Libraries have a high level of engagement with the public/community/external readers who have a wide spectrum of abilities, technological knowledge and equipment.
Accessibility is also an important consideration for decision-making around the collections that we build. This may be through choice of format to select for deposit, or through how we prioritise publishers and support inclusion within our collections. The level of accessibility that we can provide for a particular digital publication will to a large degree depend on adherence to good practice and standards on the part of the publisher depositing the work.
If content is not produced in line with accessibility standards access will be problematic for some users. This is out of the libraries direct control, but the libraries or the Joint Committee on Legal Deposit (JCLD) could have a role in promoting adoption of accessibility standards. Therefore we should advocate for the adoption of accessibility standards for the materials that are deposited.
Publishing in the UK and Ireland is rich in diversity. This includes content, people represented, types of publication, publishing patterns, and formats used. Publishing in the UK and Ireland includes some of the largest global publishers and extends through a very long tail of independent, small and self publishers. It also includes many organisations and individuals who do not think of themselves as publishers at all (for example some charities, campaigning organisations, and interest groups). All these types of publication and publisher are important to our legal deposit collections.
There is an important preservation principle at stake. Although acquisition some years after publication is sometimes possible, the best way of ensuring that we collect and therefore preserve publications is through collecting as close to the point of publication that we can. This requires good quality data about publications that is as broad as it can be. We should review the sources of data that we use to identify publications, and aim to extend this to include information about publications that are less easily identified. This will require collaborative work across the legal deposit libraries.
Good quality data about publications, that has breadth of coverage, is essential for understanding what it is that we need to collect, the challenges that arise from new publication behaviours, and how well we are succeeding in collecting. This will require investigation into what data sources exist to supplement those that we use, and will require research into publishing trends. The evidence and data that we will generate will add detail to the task of collecting under legal deposit, and support communications with publishers, authors and other creators.
In some cases, collecting can be supported by working with the people, organisations and communities that produce or use certain publications. This will help build awareness of the value of legal deposit, and ensure that libraries are aware of publications early. This is particularly important where there has been low representation within our collections, or a low level of engagement in collecting. The UK Web Archive thematic collections provide one example of shared curation for building legal deposit collections.
Our tools and infrastructure that enable collecting at large scale are vital in ensuring that our collections are representative, given the scale of publishing in the UK. Although our aim is to be comprehensive, there are some cases where our ability to collect at scale does not meet the volume and complexity of publishing. Some limitations are manifest in long waiting times to process newly received digital content or to create the necessary workflows for deposit by a new publisher. There are other cases where we have not yet developed the capability to collect (eg for some types of social media, or publications that are delivered as dynamic databases). In exceptional cases, the libraries have decided to exclude a type of published material, where there is no identifiable benefit for long term preservation or access (eg items of stationery that have no editorial content), in order to conserve resources.
We should continue to invest in the tools and services that support deposit by smaller publishers. These are, and will continue to be, a mix of “pull” methods, where the libraries use a mix of data sources to identify, collect and describe publications available openly on the web; and “push” methods, to provide easy-to-use tools for publishers to deposit their work directly with the libraries. Such tools are also useful in promoting the benefits of legal deposit to smaller publishers and organisations that may not think of themselves as publishers.
Inclusivity in our collections also refers to the types of publication that we collect. For digital legal deposit, a growing complexity in form of publication is a significant challenge that must be addressed. This includes some types of publication that have become very familiar to users, such as journal articles that contain content in multiple formats (eg text with audio visual, data or software). It also includes the very large volume of official publishing which is digital only and presented in a variety of formats (eg HTML5, ODF, datasets). Similarly, digital maps and sheet music are produced in a variety of different formats, which can present challenges for preservation, discovery and access.
Other types of complex digital object show greater use of innovation in technology, to engage readers in new ways and recognise reader agency. The legal deposit libraries have taken an experimental and research-led approach to these types of publication, under the heading of ‘emerging formats’. The aim is to document the changing use of technology and innovation in writing, in ways that support research, creativity and further innovation. These types of publication can also support wider aims for inclusivity in collecting, given the diversity of authors creating such works.
In developing the legal deposit collections, it is important to understand the culture around certain formats, and whether particular audiences and sections of society might be more represented by those formats than in other, perhaps more commercially sustainable formats. For example, interactive narratives are used as a means of expressing personal experience related to mental health. Platforms that support the creation of fan fiction can encourage younger writers and writers with a variety of lived experiences. Although a decision not to pursue a particular format might be understandable based on technical capacity, or even the scope of the legislation itself, we need to be aware of the social and cultural implications of those decisions and how they can impact on representation in the collections.
The introduction of non print legal deposit regulations in 2013 has transformed the contemporary collections held by the legal deposit libraries. A key objective has been to prove capability to collect digital publications at large scale. This has included both digital only material (eg through the UK Web Archive) and also the transition of deposit from print to digital where publications exist in both forms. The latter has been achieved through agreements with publishers that apply at the level of all relevant books or journal articles from that publisher. The effect has been that roughly half of all books and half of all journal titles received by legal deposit are now received as digital. This includes books from some of the largest publishers of literary and academic works.
The legal deposit libraries have noted some unintended consequences of such a rapid change, in particular with regard to the services offered to readers and reader experience and preference. One consideration arising from a user-centred approach to legal deposit is that formats are not “neutral” for readers. The choice of publication format has an impact in terms of reader preference and on how a work may be used and interpreted. There are many advantages to digital publication, and the legal deposit libraries recognise the need to continue to invest in and develop the services required for access to digital publications. However, there are some cases where print is the preferred form for access, and where print offers continued advantage compared to a digital alternative.
The scale of publishing in the UK and Ireland means that it is not possible to make decisions on format of acquisition at an individual title level. However, there is a desire to assess the distribution of print and digital collecting within our legal deposit collections, to ensure that this is the most appropriate fit with the expectations of readers and authors. This will be different for each library as there will be differences in specialisation and audience. As with other areas of legal deposit collecting, sharing of experience will help improve collections and services across all libraries.
The experience of implementation of digital legal deposit has resulted in a huge expansion in collections and entirely new collections in digital formats. As of March 2022, more than 8 million journal articles and 700,000 books have been received and made available. The UK Web Archive contains billions of files and in excess of 1 PB data.
This expansion in digital deposit has occurred alongside continuing high levels of print deposit. Although digital collections have different management processes to print, the principles around collaborative support for preservation and access are similar. Print collections are preserved as multiple copies held across the libraries, and digital through a shared infrastructure with multiple storage nodes. The shared digital infrastructure has meant that decisions to transfer publishers from print to digital deposit have been made collectively by the libraries, and there is a tight link between digital collection management decisions and print collecting.
One aim of implementation of digital legal deposit has been to prove the ability to manage digital deposit at large scale. While this has been successful, the result is a large and growing requirement on systems and processes, and specialist roles, to keep adapting to changes in publisher formats and metadata, and to manage a growing volume of digital deposit. The system is highly complex, which presents challenges when there are needs to change. As noted in a previous section (‘Mind the gaps’), there is evidence that our current capacity does not keep pace with the volume and complexity of digital publishing. Our ability to “add” new publishers to digital ingest workflows is constrained, and there is a delay to processing for some publishers that are already depositing in digital form. In addition there are different types of publication (eg databases, or journal articles with embedded video) that are commonplace in research publishing but for which the libraries do not yet have the ability to manage.
The period of this framework will see significant changes to the infrastructure by which the libraries manage the processing and preservation of digital publications. Close engagement with this change process will require resources and effort. This includes the continued maintenance and development of systems while they remain in use, and for any systems which are not included in infrastructure change.
The recommendations from the Post Implementation Review identify areas to improve the functioning of legal deposit and in particular improve the delivery of public value of legal deposit (for example, by supporting accessibility). Changes to regulation would create new demands. Significant change would be introduced for example through enabling remote access to resources archived from the open web. An important consideration here would be changes to allow the deposit of digital facsimiles, for example for newspapers or magazines currently received as print.
The increase in scale adds more complexity for discovery, and requires rethinking of discovery services in some cases (for example, with the UK Web Archive). There are also new requirements, or requirements with increasing urgency, raised by our changing priorities. Management of rights, to include the ability to recognise Open Access content, would be one example. Others include the ability to identify publications within the archived web collection (‘Document Harvester’) and the continued maintenance and development of the tools that we use to support collection and deposit from smaller publishers.
Resource for cataloguing and discovery is a key consideration for supporting user needs. More resource for cataloguing is needed, as are approaches to cataloguing that support scaling up of deposit. This includes support for digital serials published only to the web, and publications that take the form of multiple files published online from the same location. As with other activities, there is a continuing need for support and training as requirements change.
The implementation of Non Print Legal Deposit, from 2013, has required new roles and re-focusing of roles across many areas of curation, cataloguing, collection management and access and engagement. Digital legal deposit has involved very many staff across all the legal deposit libraries, and the UK is recognised as leading in terms of practical implementation.
The UK Web Archive is one example where there are both technical and curatorial specialist roles, with dedicated web archivists at the British Library, National Library of Scotland and National Library of Wales. Librarians across all the legal deposit libraries participate in building and managing web archive collections. Similarly, official publications librarians have adapted to digital-only publishing for UK, Wales, Scotland and Northern Ireland governments. In both cases, there have been successful examples of collaborative working, and sharing of specialised knowledge across the libraries to support collection development. These are just two examples of how roles are changing across all the legal deposit libraries to meet the challenges raised by the complexity of publishing and changing practices across all the nations of the UK.
Specialisms have developed across the collection-management lifecycle, including metadata normalisation, pre-ingest processing, and digital preservation. This has been a rapid adaptation in many cases, and capability can be restricted by the small number of specialist roles and knowledge at some points of the collection management chain. There are risks of “single points of failure” at key points of collection management processes, and succession planning can be hard to manage.
In some cases, engagement and participation in international networks can support both skills development and also in sharing resources and know-how for resolving specific issues. This is the case for both web archiving (the International Internet Preservation Consortium) and digital preservation (the Digital Preservation Coalition and Open Preservation Foundation).
At the same time there is an increased focus, across the UK and internationally, on sustainable use of resources and reducing the environmental impact across all processes. Legal deposit libraries have a responsibility to contribute towards efforts to achieve net zero use of carbon in their processes. This impacts on decision making for digital acquisitions and collection management as well as for print; there are different lifecycle costs which will influence decision-making. Environmental impact is of concern also to publishers, who are reviewing and changing aspects of their production processes, including distribution and use of print on demand models.
Legal deposit libraries contribute more widely to environmental sustainability through their collections, reflecting current research as well as historic information and data. Providing access to this information, to users across academic research, business and professions, will support the generation of new knowledge and innovation.
The six UK legal deposit libraries individually are well-known nationally and internationally. Amongst researchers, there is generally a good understanding of the range and breadth of collections held. However, public knowledge about legal deposit itself, how it contributes to the libraries’ collections, and how libraries engage with publishers on legal deposit is less well known. This can lead to misunderstandings about the content held and how it may be accessed, a lack of awareness of some content, and also a low awareness of the importance of ongoing relationships with publishers to ensure that collections are maintained and developed. There is a need to more actively communicate the value of legal deposit to a range of audiences. A key part of this will be to develop an awareness of the legal deposit libraries as a collaborative network, and to present the value of legal deposit collecting and collections across all six libraries.
Some parts of our legal deposit collections are better known than others, and there may be a need to focus activity on some parts which may be less well-known, eg UK Web Archive, and complex digital formats.
Readers and researchers value the collection created rather than the processes of collection. The emphasis in communications should be on a collection that is relevant to, and reflects the activity of, the whole of the UK. Collectively, the legal deposit libraries provide a network to ensure long term preservation and access at locations across the UK and Ireland.
Access is a key part of effective engagement with readers and researchers, and this aim should support and be informed by a user-centred approach.
For authors, including corporate authors as well as individuals, there is similarly a value from inclusion, and preservation, as well as being represented within legal deposit collections. Not all authors are the same, or have the same values. Important considerations will include how well we are able to: respect the rights of authors, including when a work has been published using Open Access terms; include authors who are self-published; include a variety of formats and technologies; and respect the intent of an author with regard to format of publication.
Communications with authors and creators is important for our collecting of complex digital objects, as it helps the libraries to understand the intent in creating a work, and to identify what characteristics of a complex work will require particular attention.
For publishers, a sense of partnership with the libraries will be important. As with authors, publishers differ in values, objectives and expectations and there needs to be flexibility in our approach. Communications to and with publishers should emphasise the value of the legal deposit process and collections to the publishers themselves. The long term preservation intent of legal deposit is especially important in this regard.
>Equally, it is important to emphasise how much the deposit of publications is valued by the libraries and their users. This is important for publishers that the libraries have existing relationships with and also for new publishers and the people and organisations who produce publications but don’t think of themselves as publishers. As noted earlier, the legal deposit libraries want to ensure that their collections are inclusive and represent the full diversity of published communication. Communications should build awareness of the value of legal deposit with new publishers, and also support the libraries in gathering data about new publications.
The tools used by the libraries to collect publications are also an opportunity to communicate. The emphasis here might be on ensuring that deposit of publications is a simple process and that any barriers to participation are identified and resolved.
During the period covered by this framework, we expect there to be a public consultation in line with the conclusions of the Post Implementation Review. Communications should support this, and help to ensure wide participation in and engagement with a consultation.