Digital Libraries I: Library Automation and its Standards; Barcode, RFID, QR Code, Biometric and Smart Card Technologies; Digitisation; Digital Libraries, their Architecture, Standards, Formats and Protocols, and the DOI; and Digital Preservation

Unit VIII applies the technology of Unit VII to the library itself. This chapter covers items 1 to 5: library automation, its areas, planning, selection of hardware and software, implementation, evaluation and standards; the identification technologies of barcodes, RFID, QR codes, biometrics and smart cards; digitisation from planning to process and issues; the digital library, its genesis, characteristics, types and architecture, its standards, formats and protocols, and the Digital Object Identifier, with a worked ISBN check digit; and digital preservation, its need, standards such as OAIS, methods and projects.

1. Library automation: areas, planning, selection, implementation, evaluation and standards

Library automation is the use of computers to perform library housekeeping and services. An integrated library system (ILS) has modules sharing one database: acquisitions, cataloguing, circulation, serials control, the OPAC, inter-library loan and administration with reports. Newer library services platforms, usually cloud-hosted, add management of electronic resources and discovery. Planning begins with a feasibility study and needs assessment, sets objectives, estimates costs and staff, and prepares a request for proposals. Software is selected on functional requirements, compliance with standards, Unicode support, usability, vendor or community support, cost of ownership, scalability and data migration; hardware on server and storage capacity, client machines, network, backup and power supply. Implementation covers installation and configuration, data conversion (retrospective conversion of card records, often by copy cataloguing), barcoding or RFID tagging, staff training, a parallel run and going live. Evaluation checks performance, reliability, user and staff satisfaction and cost against the objectives.

SoftwareOriginNotes
CDS/ISIS and WinISISUNESCO, from the mid-1980sFree text-database software, widely used in Indian libraries before integrated systems
SOULINFLIBNET, from 2000Software for University Libraries; MARC 21 and Unicode compliant
e-GranthalayaNational Informatics CentreFree for government libraries; cloud-based versions
KohaNew Zealand, 2000 (Horowhenua Library Trust)The first open source ILS; widely adopted in India
Evergreen and NewGenLibGeorgia, USA (2006); India (NewGenLib, released as open source)Open source systems for consortia and Indian libraries
  • Standards for library automation: MARC 21 and ISO 2709 for records; Z39.50 and SRU for searching; Unicode for scripts; NCIP (ANSI/NISO Z39.83) for circulation interchange between systems; SIP2 for self-check machines; ISO 28560 for the data model of RFID tags in libraries; OAI-PMH for metadata harvesting; COUNTER and SUSHI for e-resource usage statistics.

2. Barcode, RFID, QR code, biometric and smart card: features and applications

TechnologyFeaturesLibrary applications
BarcodeLinear (one-dimensional) pattern of bars read optically by a scanner in line of sight, one item at a time; symbologies such as Code 39 and Code 128; books carry EAN-13 barcodes encoding the ISBNAccession and member identification, circulation, stock verification
RFID (radio-frequency identification)A tag with a microchip and antenna read by radio without line of sight; many tags can be read at once; tags can be rewritten; libraries usually use passive high-frequency tags at 13.56 MHz; ISO 28560 defines the library data modelSelf-check-out and return, security gates (the same tag gives theft detection), fast inventory with handheld readers, automated book drops and sorting
QR codeA two-dimensional matrix code invented by Denso Wave (Japan, 1994), read by phone cameras, storing far more data than a linear barcode, typically a URLLinks from shelves, posters and handouts to e-books, guides, videos and catalogue records
BiometricsIdentification by physical or behavioural traits: fingerprint, face, iris, voiceEntry control, attendance, secure self-service; raises privacy and data-protection issues
Smart cardA card with an embedded chip, contact or contactless, that stores data and can process itMulti-purpose membership cards for borrowing, printing payments, access and campus services

The ISBN-13 printed as an EAN-13 barcode ends in a check digit that lets systems catch keying errors. The first twelve digits are weighted alternately 1 and 3, the products are added, and the check digit is the amount needed to reach the next multiple of 10. For 978-0-306-40615-?, the weighted sum is 9 + 21 + 8 + 0 + 3 + 0 + 6 + 12 + 0 + 18 + 1 + 15 = 93; the next multiple of ten is 100, so the check digit is 7 and the ISBN is 978-0-306-40615-7. The ISBN has had 13 digits since 1 January 2007; the ISSN has 8 digits and uses a different, modulus 11 check, which is why an ISSN can end in X.

⚠️ RFID does not need line of sight
A barcode must face the scanner and is read one at a time; RFID tags are read by radio through covers and in stacks, so a pile of books can be issued together and shelves can be inventoried by sweeping a reader along them. The trade-offs are higher cost per tag and privacy concerns.

3. Digitisation: planning, selection, hardware, software, process and issues

Digitisation converts analogue materials, texts, images, maps, audio and film, into digital form, to widen access, reduce handling of fragile originals and support preservation. Planning defines the purpose and audience, checks copyright, estimates cost, and sets technical standards and metadata. Selection weighs intellectual and historical value, demand, uniqueness, physical condition (fragile items may need special handling), copyright status and whether the item has already been digitised elsewhere. Hardware includes flatbed scanners, overhead (planetary) book scanners that capture bound volumes face up without damaging spines, high-resolution cameras, and microfilm and slide scanners. Software handles image capture, processing, optical character recognition (commercial tools and open source ones such as Tesseract, which supports many Indian scripts), metadata creation and delivery through a digital library system.

  • Process: select and prepare items (conservation checks, collation); capture archival master images, typically uncompressed TIFF at 300 to 600 pixels per inch depending on the material; check quality; create smaller access copies (JPEG, PDF); run OCR for searchable text; add descriptive, structural and administrative metadata; store masters with backups; and publish through a digital library platform.
  • Formats: TIFF and JPEG 2000 for image masters, PDF/A (ISO 19005, first part 2005) for archival documents, WAV for audio masters, and open, well-documented formats wherever possible.
  • Issues: copyright and permissions; high cost and staff time; selection bias; OCR accuracy for Indian scripts and old print; long-term sustainability; and the fact that digitisation is not preservation unless the digital files are themselves preserved.

4. Digital libraries: genesis, characteristics, types, architecture, standards, formats, protocols and the DOI

The idea of the digital library runs from Vannevar Bush's Memex (1945) and J. C. R. Licklider's Libraries of the Future (1965) to the US Digital Libraries Initiative, funded from 1994 by the National Science Foundation, DARPA and NASA at six universities (a Stanford project in it is where the Google search engine began), and its second phase from 1998. The Digital Library Federation's 1998 definition describes digital libraries as organisations that provide the resources, including specialised staff, to select, structure, offer intellectual access to, interpret, distribute, preserve the integrity of and ensure the persistence over time of collections of digital works, so that they are readily and economically available to a defined community. Characteristics are digital collections, access at any time from anywhere, simultaneous use by many, full-text searching and linking, and services beyond physical walls. Types are digitised collections, born-digital collections, hybrid libraries that combine print and digital, and virtual libraries that give access to resources held elsewhere.

Layer or standardContent
ArchitectureRobert Kahn and Robert Wilensky's framework (1995) of digital objects, unique handles and repositories; in practice a content layer (repository and storage), a services layer (ingest, indexing, search, browse, access control) and an interface layer; software includes Greenstone (New Zealand Digital Library Project, University of Waikato, with UNESCO), DSpace, EPrints and Fedora
FormatsText (HTML, XML, PDF, EPUB), images (TIFF, JPEG, JPEG 2000, PNG), audio (WAV, MP3), video (MP4), with PDF/A for long-term archiving
Metadata standardsDublin Core, MODS, METS, PREMIS (Unit V)
ProtocolsOAI-PMH (the Open Archives Initiative Protocol for Metadata Harvesting, 2001; version 2.0, 2002) for harvesting metadata; Z39.50 and SRU for searching; OpenURL (ANSI/NISO Z39.88) for linking to licensed full text; IIIF for sharing images
Persistent identifiersDOI, Handle, ARK, URN and PURL

The Digital Object Identifier (DOI) is a persistent identifier managed by the International DOI Foundation (founded 1998) and standardised as ISO 26324 (2012). It is built on the Handle System and has a prefix beginning "10." that identifies the registrant and a suffix chosen by the registrant, as in 10.1000/182. Resolving the DOI through doi.org sends the user to the current location of the object, so a citation keeps working when the publisher's website changes. Registration agencies assign DOIs: Crossref (2000) for scholarly publications, DataCite for research data, and others.

5. Digital preservation: need, purpose, standards, methods, techniques and projects

Digital objects are more fragile than paper. Storage media decay and fail; hardware and software become obsolete, so files cannot be opened; formats go out of use; links break; and without documentation the context and authenticity of a file are lost. Digital preservation is the set of managed activities that keep digital content accessible, usable and authentic for as long as it is needed. Its standards are the OAIS reference model (Open Archival Information System, from the Consultative Committee for Space Data Systems; ISO 14721, first 2003, revised 2012), which defines six functional entities, ingest, archival storage, data management, administration, preservation planning and access, and three information packages, the submission, archival and dissemination packages (SIP, AIP and DIP); the PREMIS data dictionary for preservation metadata (2005); ISO 16363 (2012) for auditing and certifying trustworthy digital repositories, derived from the earlier TRAC checklist; and PDF/A for archival documents.

MethodWhat it does
RefreshingCopying bits to new media of the same kind before the old media decay
MigrationConverting files to newer formats or platforms so current software can read them (for example, old word-processor files to PDF/A)
EmulationRecreating the original hardware and software environment on modern machines so the original file runs as it did
ReplicationKeeping multiple copies in different places, as LOCKSS ("Lots Of Copies Keep Stuff Safe", Stanford) does
Technology preservationKeeping old hardware and software working, a "computer museum" approach, useful only in the short term
Normalisation, encapsulation and fixity checkingConverting files at ingest to a few preferred formats; packaging an object with its metadata and rendering information; and checking checksums regularly to detect corruption

Projects include, internationally, LOCKSS and CLOCKSS for e-journals, Portico (2005) as a dark archive for scholarly content, the Internet Archive (1996) with its Wayback Machine for web archiving, and UNESCO's Charter on the Preservation of Digital Heritage (2003); and in India, the Centre of Excellence for Digital Preservation at C-DAC, Pune, under the national digital preservation programme, which has developed standards and tools for Indian archives, alongside repository-level preservation by national institutions.

🧠 OAIS in one line
Producers send a SIP, the archive stores an AIP, consumers receive a DIP. Six functions look after it: ingest, archival storage, data management, administration, preservation planning and access.

Key takeaways

  • An ILS integrates acquisitions, cataloguing, circulation, serials and the OPAC; automation runs through planning, selection, implementation and evaluation; software includes CDS/ISIS, SOUL (2000), e-Granthalaya, Koha (2000), Evergreen (2006) and NewGenLib; standards include MARC 21, Z39.50, Unicode, NCIP (Z39.83), SIP2 and ISO 28560.
  • Barcodes need line of sight and read one at a time; RFID (13.56 MHz HF in libraries) reads many without line of sight and gives security; QR codes (Denso Wave, 1994) link to web content; biometrics and smart cards control access; the ISBN-13 check digit for 978-0-306-40615 is 7.
  • Digitisation runs from selection and preparation to capturing TIFF masters, quality control, access copies, OCR, metadata and storage; issues are copyright, cost, OCR accuracy and sustainability.
  • Digital libraries trace from Bush (1945) and Licklider (1965) to the Digital Libraries Initiative (1994); Kahn and Wilensky's architecture (1995); software Greenstone, DSpace, EPrints, Fedora; protocols OAI-PMH (2001), SRU and OpenURL; the DOI (IDF 1998, ISO 26324) resolves through doi.org.
  • Digital preservation counters media decay and obsolescence using OAIS (ISO 14721; SIP, AIP, DIP), PREMIS, ISO 16363 and PDF/A, and methods of refreshing, migration, emulation and replication (LOCKSS); projects include Portico, the Internet Archive and C-DAC Pune's centre of excellence.

Practice questions (10)

Attempt each one before opening the answer. Every explanation names the tempting wrong option as well as the right one, because that is where marks are lost.

  1. Compute the ISBN-13 check digit for 978-0-306-40615-?, weighting the first twelve digits alternately 1 and 3. Type the digit.

    Numerical answer — type the value.

    Show answer

    Answer: 7

    Weighted sum = 9×1 + 7×3 + 8×1 + 0×3 + 3×1 + 0×3 + 6×1 + 4×3 + 0×1 + 6×3 + 1×1 + 5×3 = 9 + 21 + 8 + 0 + 3 + 0 + 6 + 12 + 0 + 18 + 1 + 15 = 93. The next multiple of 10 is 100, so the check digit is 100 − 93 = 7.
  2. Which standard defines the data model for RFID tags used in libraries?

    1. ISO 2709
    2. ISO 28560
    3. ISO 14721
    4. ISO 26324
    Show answer

    Answer: B — ISO 28560

    ISO 28560 specifies the data elements and encoding for library RFID tags, so tags from different vendors interoperate. ISO 14721 is OAIS, ISO 26324 the DOI system, and ISO 2709 the bibliographic exchange format.
  3. In the OAIS reference model, the package that the archive stores for the long term is the:

    1. Preservation Description Package (PDP)
    2. Dissemination Information Package (DIP)
    3. Archival Information Package (AIP)
    4. Submission Information Package (SIP)
    Show answer

    Answer: C — Archival Information Package (AIP)

    Producers submit a SIP, the archive transforms it into an AIP for storage, and consumers receive a DIP. There is no "Preservation Description Package" among the three; preservation description information is part of the AIP.
  4. Which advantages does RFID have over barcodes in library circulation? Select all that apply.

    1. Tags cost less than printed barcode labels
    2. Several items can be read at once
    3. The same tag can serve for theft detection
    4. No line of sight is needed
    Show answer

    Answer: B — Several items can be read at once; C — The same tag can serve for theft detection; D — No line of sight is needed

    RFID reads by radio without line of sight, handles several items together and doubles as a security tag. It is more expensive per item than a printed barcode, so the last statement is false.
  5. Which digital preservation method recreates an obsolete computing environment on modern hardware so that an original file can run unchanged?

    1. Migration
    2. Emulation
    3. Normalisation
    4. Refreshing
    Show answer

    Answer: B — Emulation

    Emulation mimics the old environment and leaves the file untouched. Migration converts the file to a newer format, refreshing copies bits to fresh media, and normalisation converts files at ingest to preferred formats.
  6. Assertion (A): A DOI keeps a citation working even when the publisher moves the article to a new web address. Reason (R): The DOI system is standardised as ISO 2709. Choose the correct option.

    1. Both A and R are true, and R is the correct explanation of A
    2. Both A and R are true, but R is not the correct explanation of A
    3. A is true, but R is false
    4. A is false, but R is true
    Show answer

    Answer: C — A is true, but R is false

    A is true and R is false. A DOI resolves through doi.org to whatever location the registrant records, so it survives a change of URL; but the DOI system is standardised as ISO 26324 (2012), while ISO 2709 is the bibliographic record exchange format.
  7. Which protocol is used to harvest metadata from repositories into service providers such as aggregators and search services?

    1. OAI-PMH
    2. SMTP
    3. NCIP
    4. SIP2
    Show answer

    Answer: A — OAI-PMH

    The Open Archives Initiative Protocol for Metadata Harvesting (2001; version 2.0 in 2002) lets service providers harvest Dublin Core and other metadata from data providers. SMTP sends e-mail, SIP2 connects self-check machines, and NCIP exchanges circulation data.
  8. Which of the following are functional entities of the OAIS reference model? Select all that apply.

    1. Access
    2. Ingest
    3. Circulation
    4. Preservation planning
    Show answer

    Answer: A — Access; B — Ingest; D — Preservation planning

    OAIS has six functional entities: ingest, archival storage, data management, administration, preservation planning and access. Circulation is a module of an integrated library system, not part of OAIS.
  9. Every DOI begins with a directory indicator followed by a dot and the registrant code. What number is that directory indicator? Type the number.

    Numerical answer — type the value.

    Show answer

    Answer: 10

    All DOI prefixes begin "10.", followed by the registrant code (as in 10.1000/182); the suffix after the slash is chosen by the registrant. The "10" identifies the DOI namespace within the Handle System.
  10. Greenstone digital library software was developed by:

    1. MIT and Hewlett-Packard
    2. INFLIBNET
    3. The University of Southampton
    4. The New Zealand Digital Library Project at the University of Waikato, with UNESCO
    Show answer

    Answer: D — The New Zealand Digital Library Project at the University of Waikato, with UNESCO

    Greenstone came from the New Zealand Digital Library Project at Waikato and was distributed with UNESCO's support. DSpace came from MIT and Hewlett-Packard (2002), EPrints from Southampton, and INFLIBNET developed SOUL and runs Shodhganga.